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Federal-Aid Highway Program Funding “Strategic Use of Flexibility” June 13, 2008 Ron Rigney, P.E. & P.L.S. Director Division of Program Management

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Federal-Aid Highway Program Funding“Strategic Use of Flexibility”

June 13, 2008

Ron Rigney, P.E. & P.L.S.

Director

Division of Program Management


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The federal-aid highway program funding is in accordance with the current federal transportation act, “Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU).”


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Legislative approval by Congress for SAFETEA-LU was signed into law by President Bush on August 10, 2005.Normally, a transportation act covers a period of six years, but SAFETEA-LU only covers five years – FY 2005 through FY 2009. With SAFETEA-LU scheduled to expire at the end of FY 2009 (October 1, 2009), preliminary work has already begun on the next transportation act.


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Congressional into law by President Bush on August 10, 2005.Procedures


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Kentucky Statewide Transportation Improvement Program into law by President Bush on August 10, 2005.(STIP)&Federal Discretionary Funding Programs


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KYTC projects that are funded through the federal transportation funding (FD52) programs must come through an “Enacted Highway Plan (SYP),” however, federal regulations require that KYTC prepare and submit to FHWA and FTA a Statewide Transportation Improvement Program (STIP).


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The STIP identifies the transportation programs and projects within Kentucky that will utilize federal funding. The STIP is prepared in the summer of even number years and includes highway, public transit, aviation, transportation enhancement, Safe Routes to School and recreational trail projects. Each of the programs contains a listing of scheduled projects and scheduled costs for the next four Federal Fiscal Years. The scheduled costs of the projects listed in the STIP must be fiscally constrained.

We will start preparing the 2008 STIP when we have the 2008 Enacted Highway Plan.


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The Division of Program Management is responsible for monitoring the approved STIP and verifying that funding requests for proposed projects are identified within the STIP.


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In addition to the STIP requirements, federal funded projects located within the nine Metropolitan Planning Organizations (MPO) areas must be identified within their MPO Transportation Improvement Program (TIP) before project funding can be authorized. If a project is not identified within the MPO TIP, KYTC must request the MPO to amend their TIP to include the project, and this process may take several months to complete.

MPO Areas

  • KIPDA Jefferson, Bullitt, Oldham Counties, KY Clark, Floyd Counties, IN

  • OKI Boone, Kenton, Campbell Counties, KY Butler, Clermont, Hamilton, Warren Counties, OH Deerborn County, IN

  • FIVCO Boyd and Greenup Counties, KY

  • EUTS Henderson County, KY

  • GRADD Daviess County, KY

  • BRADD Warren County, KY

  • LTADD Hardin County, KY

  • CMCRPC Christian County, KY

  • LFUCG Fayette and Jessamine Counties, KY


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Tracking Federal-Aid Highway Program Funding projects located within the nine Metropolitan Planning Organizations (MPO) areas must be identified within their MPO Transportation Improvement Program (TIP) before project funding can be authorized. If a project is not identified within the MPO TIP, KYTC must request the MPO to amend their TIP to include the project, and this process may take several months to complete.


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“Formula Funds” normally break down the federal-aid into the following three (3) general types of funds: - the distribution of federal funds using a formula provided in law and the distribution of funds is called apportionments.

The “Formula Funds” apportionments are broken down into various federal funding categories, such as the following core programs: Interstate Maintenance (IM), National Highway (NH), Bridge (BR), Congestion Mitigation (CM), Safety (SAF), and Surface Transportation (STP).

The Bridge, Safety, and Surface Transportation core programs are broken down into additional various funding categories, and each category has different eligibility requirements.


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“Non-Formula Funds” normally break down the federal-aid into the following three (3) general types of funds: - the distribution of federal funds through allocations as earmarked within the Transportation Act as defined by Congress (High Priority Projects), Equity Bonus, and Appalachian Development Highway System (APD) funding.

The eligibility of “Non-Formula Funds” is determined by the type of funds. The High Priority Projects (HPP) project funding is only eligible for the specific projects as defined by Congress. The Appalachian Development Highway System (APD) funding is only eligible for projects associated with the completion of the APD system in Kentucky, which is limited to the US 460 coordinator in Pike County and US 119 in Letcher County. The Equity Bonus funding has the flexibility that it can be used on any federal project, but we use the Equity Bonus to cover projects that would normally fall under the STP funded projects.


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Discretionary Funds normally break down the federal-aid into the following three (3) general types of funds: - yearly allocations of federal funds through the various federal discretionary programs, such as Interstate Maintenance, Ferry Boats, Public Lands Highways, Scenic Byways, Transportation and Community and System Preservation Program. Projects receiving yearly federal Discretionary funding is normally announced by Congress, and the discretionary funding is only eligible for the specified project as defined by Congress.


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Federal-aid normally break down the federal-aid into the following three (3) general types of funds:Highway Program “Funding Terms”


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“Authorization Act” normally break down the federal-aid into the following three (3) general types of funds: is the Congressional legislation that establishes or continues Federal programs or agencies and establishes an upper limit on the amount of funds for the program(s). The current Transportation Act, SAFETEA-LU, is for the federal-aid highway program.

“Appropriations Act” is the Congressional legislation that makes federal funds available for expenditure with specific limitations as to the amount, purpose, and duration. For the federal-aid highway program, the appropriations act specifies amounts of funds that Congress will make available for the fiscal year to liquate obligations.

“Apportionments” distribution of federal funds using a formula provided in law and the distribution of funds is called apportionments.

“Allocations” are the distribution of federal funds through allocations as earmarked within the Transportation Act as defined by Congress (High Priority Projects), Equity Bonus, Appalachian Development Highway System (APD), and yearly Discretionary funding allocations earmarked by Congress or FHWA.

“Project Agreement” is the federal-aid highway programming document (PR-1) outlining the location of the project, the phase of the project, the project scope, type of work, type and amount of federal funds, and state matching funds, which is signed by KYTC and FHWA. The FHWA approval date is the official date that state expenditures are eligible for reimbursement with federal funds.


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“Obligation” normally break down the federal-aid into the following three (3) general types of funds: is the term used for the federal government’s legal commitment (promise) to reimburse the state for the federal share of a project’s eligible costs.

“Obligation Authority” is the total amount of funds that may be obligated in a fiscal year.

“Obligation Limitation” is a restriction or ceiling on the amount of federal funds that may be obligated during a specified time period.

The obligation authority or obligation limitation does not change the distribution of apportionments or allocations of federal funds; it controls the amount or rate at which the funds may be obligated. In order to obligate federal-aid funding, you must have available the corresponding amount of funding apportionments/allocations and you must have available the corresponding amount of obligation authority.

Normally, each year the total federal apportionments and allocations are greater than the obligation authority. At the end of the federal fiscal year, the remaining apportionment/allocation amounts are carried forward into the next fiscal year. However, yearly obligation authority made available for the “Formula Funds” must be obligated during the fiscal year, or the state loses the remaining available obligation authority associated with the “Formula Funds.” The obligation authority for the “Non-Formula” and “Discretionary” funding can be carried forward into the next fiscal year.


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“Rescissions” normally break down the federal-aid into the following three (3) general types of funds: are when unused balances of previous apportionments or allocations are cancelled through legislative actions of Congress. The designated rescission amount reduces available funding apportionments or available funding allocations, and normally does not reduce obligation authority.


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“End of Year Redistribution of Additional Obligation Authority”

In late July or early August of each year, FHWA submits an official notice to each state requesting the state to prepare a request for “End of Year Redistribution of Additional Obligation Authority” for federal-aid highway “Formula Funding.”

However, before you can request additional obligation authority, first you must prove that you can use the current remaining obligation authority.

Second you must prove that you have projects available so you can obligate the federal funds before the end of the federal fiscal year (October 1).

And, third you must have available funding apportionments within the category of “Formula Funds” that you want to obligate, if provided additional obligation authority through the redistribution of additional obligation authority process.



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Often times you will hear us refer to programming the federal funds as “Advance Construction (AC).”The federal “Advance Construction” process provides states the ability to request and receive approval from FHWA to conduct designated project activities in advance of having to use current apportionments and obligation authority of federal-aid highway funds, and that expenditures associated with the designated project activities will be eligible for federal reimbursement when the advance construction amount is converted using available apportionment and obligation authority of federal-aid funds.“Advance Construction” is like using the state’s federal-aid funding credit card, and project expenditures will be paid with state funds and reimbursement of expenditures will not be requested until federal-aid funding apportionments and obligation authority is available to convert the advance construction amount.


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“FIXED COST” ITEMS:

* DEBT SERVICE

* MAINTENANCE

* RESURFACING

* STATE POLICE & OTHER AGENCIES

* GENERAL ADMIN. & SUPPORT

* REVENUE SHARING

* VEHICLE REGULATION

* HIGHWAY OPERATION

* CAPITAL CONSTRUCTION

* JUDGEMENTS & OTHER

* SECRETARY’S CONTINGENCY

The 2000 General Assembly changed the funding authorization process to allow the Cabinet to authorize funding based on projected expenditures. Going from an authorization base to an expenditure base required the Cabinet to develop a “Cash Management Balance” process and model. The Cash Management Balance process and model is used to determine the bottom line cash balance to cover current fixed cost items, current expenditures of currently authorized projects, current modifications to existing projects, and proposed new funding requests.


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$76,800,000 federal funds as (10)

$512,400,000(9)

$728,500,000(1)

FED-AID BRIDGE REPLACEMENT

(6)

FEDERAL FOREST HIGHWAY FUNDS

$143,100,000(2)

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$852,000,000(8)

STATE CONSTRUCTION FUNDS EXPECTED

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TO BE AVAILABLE FOR OBLIGATION ("SP")

$1,049,400,000(3)

FEDERAL APPALACHIAN HIGHWAYS FUNDS

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FED-AID CONGESTION MITIGATION

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$441,100,000(6)

$841,000,000(4)

$138,800,000(5)

2008 Recommended Highway Program Anticipated Funding Levels

FED-AID INTERSTATE MAINTENANCE

(1)

FEDERAL SAFETY PROGRAM FUNDS

(2)

FED-AID SURFACE TRANSPORTATION

(3)

PROGRAM

(Includes Trans. Enhancement and Metro-specific funding categories

FED-AID NATIONAL HIGHWAY SYSTEM

(4)

FEDERAL HIGH PRIORITY PROJECTS

(5)

TOTAL ESTIMATED 2008 HIGHWAY PROGRAM = $4.8 BILLION

NOTE: FEDERAL-AID FUNDING LEVELS INCLUDE ANY PLANNED STATE MATCHING FUNDS.

FEDERAL & STATE HIGHWAY FUNDING LEVELS AVAILABLE FOR OBLIGATION FROM 2009 THRU 2014(As estimated by the Kentucky Transportation Cabinet)

Federal

State & Local Match

State Projects “SP”


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*Includes 20% state match federal funds as

**Reflects 2% takedown for SPR; toll credits for match

***Reflects 2% takedown for SPR; 10% set aside for TE Program



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Appalachian Development (APD) Funds federal funds as

Eligibility - The funds may be used for the construction, reconstruction, or improvement of highways on the designated 3,090 miles of the Appalachian Development Highway System (ADHS).


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Highway Bridge Program (HBP) Funds federal funds as

Formerly the Highway Bridge Replacement and Rehabilitation Program (HBRRP), includes Bridge Replacement On-System (BRO), Bridge Replacement On/Off-System (BRX), and Bridge Replacement Off- System (BRZ).

Eligibility - HBP funds may be used for:

-The total replacement of a structurally deficient or functionally obsolete highway bridge on any public road with a new facility constructed in the same general traffic corridor,

-The rehabilitation that is required to restore the structural integrity of a bridge on any public road, as well as the rehabilitation work necessary to correct major safety (functional) defects,

-The replacement of ferryboat operations in existence on January 1, 1984, the replacement of bridges destroyed before 1965, low-water crossings, and bridges made obsolete by Corps of Engineers (COE) flood control or channelization projects and not rebuilt with COE funds, and

-Bridge painting, seismic retrofitting, systematic preventative maintenance, calcium magnesium acetate applications, sodium acetate/formate, or other environmentally acceptable, minimally corrosive anti-icing and deicing compositions or installing scour countermeasures.

Deficient highway bridges eligible for replacement or rehabilitation must be over waterways, other topographical barriers, other highways, or railroads. The condition of bridges may also be improved through systematic preventative maintenance.


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Congestion Mitigation and Air Quality Improvement Program (CMAQ) Funds

Eligible projects/programs include:

-transportation activities in an approved State Implementation Plan,

-transportation control measures to assist areas designated as nonattainment under the Clean Air Act Amendments (CAAA) of 1990,

-pedestrian/bicycles off-road or on-road facilities including modification of existing public walkways to comply with the Americans with Disabilities Act,

-ISTEA management and monitoring systems,

-traffic management/monitoring/congestion relief strategies,

-transit (new system/service expansion or operations),

-alternative fuel projects (including vehicle refueling infrastructure, clean fuel fleet programs and conversions),

-public/private partnerships and initiatives,

-inspection and maintenance (I/M) programs,

-intermodal freight, and

-telecommunications.


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Congestion Mitigation and Air Quality Improvement Program (CMAQ) Funds continued

Eligible projects/programs also include:-travel demand management,

-project development activities for new services and programs with air quality benefits,

-public education and outreach activities,

-rideshare programs,

-establishing/contracting with transportation management associations (TMAs),

-fare/fee subsidy programs (operating subsidies have a 3-year limit),

-diesel retrofits,

-truck-stop electrification

-experimental pilot projects/innovative financing, and

-other transportation projects with air quality benefits.

Ineligible projects include:

-Construction of projects which add new capacity for single-occupancy vehicles.


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Public Lands Highways (PLHD) and Forest Highways (FH) Funds (CMAQ) Funds continuedEligibility - Public lands highways (PLHD and FH) funds shall be used to pay the cost of:-Transportation planning, research, and engineering and construction of, highways, roads, parkways, and transit facilities located on public lands, national parks, and Indian reservations;-Operation and maintenance of transit facilities located on public lands, national parks, and Indian reservations. Under the provisions of 23 U.S.C. 202(b)(5) public lands highways (PLHD and FH) shall be available for any eligible transportation project that is within or adjacent to, or that provides access to, the areas served by a forest highway or public lands highway;-Transportation planning for tourism and recreational travel including the National Forest Scenic Byways Program, Bureau of Land Management Back Country Byways Program, National Trail System Program, and other similar Federal programs that benefit recreational development.-Adjacent vehicular parking areas.-Interpretive signage.-Acquisition of necessary scenic easements and scenic or historic sites.-Provision for pedestrians and bicycles.-Construction and reconstruction of roadside rest areas including sanitary and water facilities. -Other appropriate public road facilities such as visitor centers as determined by the Secretary.


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Interstate Maintenance (IM) Funds (CMAQ) Funds continuedTypes of work eligible for IM funding include:-Projects for resurfacing, restoration, rehabilitation, and reconstruction;-Projects for the reconstruction or new construction of bridges, interchanges, and over crossings along existing Interstate routes, including the acquisition of right-of-way where necessary;-Capital costs for operational, safety, traffic management, or intelligent transportation systems (ITS) improvements (operating costs are not eligible for IM funds); and-Projects for preventive maintenance.

Under the provisions of 23 U.S.C. 119(d), construction of new travel lanes, other than high occupancy vehicle (HOV) or auxiliary lanes, is not eligible for IM funding.


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National Highway (NH) Funds (CMAQ) Funds continued

Eligibility - Funds apportioned to a State for the NHS may be obligated for:

-Construction, reconstruction, resurfacing, restoration, and rehabilitation of segments of the NHS;

-Operational improvements for segments of the NHS;

-Construction of, and operational improvements for, a Federal-aid highway not on the NHS, and construction of a transit project eligible for assistance under chapter 53 of title 49 if (a) such highway or transit project is in the same corridor as, and in proximity to, a fully access-controlled NHS highway, (b) the construction or improvements will improve the level of service on the fully access-controlled NHS highway and improve regional travel, and (c) the

construction or improvements are more cost-effective than improvements on the fully access controlled NHS highway would be to provide the same benefits;

-Highway safety improvements for segments of the NHS;

-Transportation planning in accordance with 23 U.S.C. 134 and 135;

-Highway research and planning in accordance with chapter 5 of title 23;

-Highway-related technology transfer activities; and

-Capital and operating costs for traffic monitoring, management, and control facilities and programs.


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National Highway (NH) Funds continued (CMAQ) Funds continued

Other types of work eligible for NH funding include:

-Fringe and corridor parking facilities;

-Carpool and vanpool projects;

-Bicycle transportation and pedestrian walkways in accordance with 23 U.S.C. 217;

-Development, establishment, & implementation of management systems under 23 U.S.C. 303;-In accordance with all applicable Federal law (including regulations), participation in natural habitat and wetland mitigation efforts related to projects funded under this title, which may include participation in natural habitat and wetland mitigation banks, contributions to statewide and regional efforts to conserve, restore, enhance, and create natural habitats and wetland, and development of statewide and regional natural habitat and wetland conservation and mitigation plans, including any such banks, efforts, and plans authorized under the Water Resources

Development Act of 1990 (Public Law 101-640) (including crediting provisions).

-Publicly-owned intracity or intercity bus terminals;

-Infrastructure-based intelligent transportation systems capital improvements;

-Environmental restoration and pollution abatement in accordance with 23 U.S.C. 328; and

-Control of noxious weeds and aquatic noxious weeds and establishment of native species in accordance with 23 U.S.C. 329.


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Elimination of Hazards at Railway-Highway Crossings Funds (CMAQ) Funds continuedincludes Railway-Highway Protective Devices (RRP) and Railway Highway Crossing Hazard Elimination (RRS)

Eligibility: All at-grade public crossing safety improvement projects meeting the eligibility description in 23 U.S.C. §130 are eligible for funding, including, but not limited to, the installation of protective devices, the elimination of hazards, and grade crossing separation including the separation or protection of grades at crossings, the reconstruction of existing railroad grade crossing structures, and the relocation of highways to eliminate grade crossings.


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Hazard Elimination (HES) Funds (CMAQ) Funds continued

Eligibility:Each State shall conduct and systematically maintain an engineering survey of all public roads to identify hazardous locations, sections, and elements, including roadside obstacles and unmarked or poorly marked roads, which may constitute a danger to motorists, bicyclists, and pedestrians, assign priorities for the correction of such locations, sections, and elements, and establish and implement a schedule of projects for their improvement.

Funds authorized to carry out this section shall be available for expenditure on—(1) any public road;(2) any public surface transportation facility or any publicly owned bicycle or pedestrian pathway or trail; or(3) any traffic calming measure.


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Surface Transportation (STP) Funds (CMAQ) Funds continued

Projects eligible for STP funds include the following:(1) Construction, reconstruction, rehabilitation, resurfacing, restoration, and operational improvements for highways (including Interstate highways) and bridges (including bridges on public roads of all functional classifications), including any such construction or reconstruction necessary to accommodate other transportation modes, and including the seismic retrofit and painting of and application of calcium magnesium acetate, sodium acetate/formate, or other environmentally acceptable, minimally corrosive anti-icing and de-icing compositions on bridges and approaches thereto and other elevated structures, mitigation of damage to wildlife, habitat, and ecosystems caused by a transportation project funded under this title.(2) Capital costs for transit projects eligible for assistance under chapter 53 of title 49, including vehicles and facilities, whether publicly or privately owned, that are used to provide intercity passenger service by bus.(3) Carpool projects, fringe and corridor parking facilities and programs, bicycle transportation and pedestrian walkways in accordance with section 217, and the modification of public sidewalks to comply with the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.).(4) Highway and transit safety infrastructure improvements and programs, hazard eliminations, projects to mitigate hazards caused by wildlife, and railway-highway grade crossings.(5) Highway and transit research and development and technology transfer programs.(6) Capital and operating costs for traffic monitoring, management, and control facilities and programs, including advanced truck stop electrification systems.


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Surface Transportation (STP) Funds continued (CMAQ) Funds continued

Other projects eligible for STP funds include the following:(7) Surface transportation planning programs.(8) Transportation enhancement activities.(9) Transportation control measures listed in section 108(f)(1)(A) (other than clause (xvi)) of the Clean Air Act (42 U.S.C. 7408(f)(1)(A)).(10) Development and establishment of management systems under section 303.(11) In accordance with all applicable Federal law and regulations, participation in natural habitat and wetlands mitigation efforts related to projects funded under this title, which may include participation in natural habitat and wetlands mitigation banks; contributions to statewide and regional efforts to conserve, restore, enhance, and create natural habitats and wetlands; and development of statewide and regional natural habitat and wetlands conservation and mitigation plans, including any such banks, efforts, and plans authorized pursuant to the Water Resources Development Act of 1990 (including crediting provisions). (12) Projects relating to intersections that-- (A) have disproportionately high accident rates; (B) have high levels of congestion, as evidenced by--(i) interrupted traffic flow at the intersection; and (ii) a level of service rating that is not better than ``F'' during peak travel hours, calculated in accordance with the Highway Capacity Manual issued by the Transportation Research Board; and (C) are located on a Federal-aid highway.


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Surface Transportation (STP) Funds continued (CMAQ) Funds continued

Other projects eligible for STP funds include the following:(13) Infrastructure-based intelligent transportation systems capital improvements.(14) Environmental restoration and pollution abatement in accordance with section 328. (15) Control of noxious weeds and aquatic noxious weeds and establishment of native species in accordance with section 329.

Location of Projects--surface transportation program projects may not be undertaken on roads functionally classified as local or rural minor collectors, unless the projects are:-bridges on all public roads of all functional classifications,-any such construction or reconstruction necessary to accommodate other transportation modes, -the seismic retrofit and painting of and application of calcium magnesium acetate, sodium acetate/formate, or other environmentally -acceptable, minimally corrosive anti-icing and de-icing compositions on bridges and approaches and other elevated structures,-mitigation of damage to wildlife, habitat, and ecosystems caused by a transportation project funded under with STP funds,-such roads on a Federal-aid highway system on January 1, 1991, and-approved by the Secretary.


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Surface Transportation (STP) Funds Allocated to Henderson (SHN), Lexington (SLX), Louisville (SLO), and Northern Kentucky (SNK)

Eligibility-STP funds suballocated for urbanized areas with over 200,000 population may be used for any of the eligible STP purposes. Fund Distribution Method: 62.5 percent of the remaining STP funds, after the seta-side for transportation enhancement activities, apportioned to a State is divided between urbanized areas over 200,000 and the remaining areas of the State in proportion to their relative share of the State's population. Funds for urbanized areas over 200,000 population are further suballocated to such areas based on each area's share of population in areas over 200,000 population in the State.


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Transportation Enhancement (TE) Funds (SHN), Lexington (SLX), Louisville (SLO), and Northern Kentucky (SNK)

Eligibility - The term "transportation enhancement activity" means, with respect to any project or the area to be served by the project, any of the following activities as the activities relate to surface transportation:

A. Provision of facilities for pedestrians and bicycles.B. Provision of safety and educational activities for pedestrians and bicyclists.C. Acquisition of scenic easements and scenic or historic sites (including historic battlefields).D. Scenic or historic highway programs (including the provision of tourist and welcome center facilities).E. Landscaping and other scenic beautification.F. Historic preservation.G. Rehabilitation and operation of historic transportation buildings, structures, or facilities (including historic railroad facilities and canals).H. Preservation of abandoned railway corridors (including the conversion and use of the corridors for pedestrian or bicycle trails).I. Inventory, control, and removal of outdoor advertising.J. Archaeological planning and research.


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Transportation Enhancement (TE) Funds continued (SHN), Lexington (SLX), Louisville (SLO), and Northern Kentucky (SNK)

Eligibility continued -

K. Environmental mitigation—i. to address water pollution due to highway runoff; or,ii. reduce vehicle-caused wildlife mortality while maintaining habitat connectivity.L. Establishment of transportation museums.Each State administers its own program and develops its own procedures to solicit and select projects for funding.

Fund Distribution Method: TE funds are 10 percent of STP Apportionments, plus 10 percent of Equity Bonus programmatically distributed to the STP. The amount set aside after FY 2005 must be at least the amount set aside in FY 2005 (SAFETEA-LU Section 1113(c)).


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High Priority Projects (HPP) Funds (SHN), Lexington (SLX), Louisville (SLO), and Northern Kentucky (SNK)

Funds are eligible for projects as defined by Congress.

Kentucky Appropriations Earmarks (KYD) Funds

Yearly allocations of federal funds are through the various federal discretionary programs, such as Interstate Maintenance, Ferry Boats, Public Lands Highway, Scenic Byways, Transportation and Community and System Preservation Program.

Eligibility-Projects receiving yearly federal Discretionary funding is normally announced by Congress, and the discretionary funding is only eligible for the specified project as defined by Congress.


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The federal-aid highway program is (SHN), Lexington (SLX), Louisville (SLO), and Northern Kentucky (SNK)not a grant program.The federal-aid highway program is a reimbursement program, which means project expenditures must be paid first with state funds, and then the state sends requests to FHWA for reimbursement of eligible costs.


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KYTC submits a weekly federal billing to FHWA requesting reimbursement of federal funds, and the turn-around time to receive reimbursement runs 6 to 10 days.


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“Explanation of Item Number Series” reimbursement of federal funds, and the turn-around time to receive reimbursement runs 6 to 10 days.

“Explanation of Item Number Series”

0 - 99 … Interstate Construction (Non-Pavement Rehab)

100 - 899 … Non-Interstate Reconstruction, Construction,

New Route, etc

900 - 999 … HES Projects

1000 - 1999 … Federal Bridge Replacement Program

2000 - 2999 ... Pavement Rehabilitation

(Interstate, Parkways or Primary Routes)

3000 - 3999 ... Transportation Enhancement Projects

4000 - 4299... County Bridge Replacement Program (State Funds)4300 - 4999 ...Guardrail Replacement Program (State Funds)

5000 - 5999 ...

Rockfall and Landslide Repairs

6000 - 6999 ... Open

7000 - 7999 ... 1998 SYP General Assembly Added Projects

8000 - 8099 ... 2000 SYP General Assembly Added Projects

8100 - 8199 ... 2002 SYP General Assembly Added Projects

8200 - 8299 ... 2004 SYP General Assembly Added Projects

8300 - 8999 ... 2006 SYP General Assembly Added Projects

9000 - Above ... Open


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The Division of Program Management is responsible for preparing the programming documents for authorization of federal funding for the Preliminary Engineering (PE) and Environmental, Design, Right-of-Way, Utility, and Construction phases of KYTC projects.


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The Division of Program Management prepares the project authorization document (TC10) and prints the unsigned TC10 to route for approval signatures.


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In addition to the TC10, the projected expenditures and required cash flow for each funding request is entered into the KYTC “Cash Management Balance” model to determine if cash is available to cover the projected expenditures.


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The Division of Program Management routes the unsigned TC10 and “Cash Management Balance” sheet through the Preauthorization Review Team (Pre-ART) Committee for their review and recommendation to the Authorization Review Team (ART) Committee for funding approval signatures.


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Upon receiving the approved signed TC10, if the TC10 is for federal funding, the Division of Program Management then begins the process to prepare the federal funding programming document (PR1) to be submitted to FHWA.


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Please keep in mind that the federal PR1 document approved and signed by FHWA serves as the project agreement between KYTC and FHWA that the corresponding project phase activities are eligible for reimbursement of federal funds in accordance with federal funding regulations.


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The FHWA approval date is the beginning date that project expenditures are eligible for reimbursement, and any project expenditures occurring prior to the approval date on the PR1 are not eligible for reimbursement of federal funds.


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The Division of Program Management has developed reports and electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.

  • Federal-Aid Weekly Balance Sheet

  • Monthly Status Report

  • Project Managers Toolbox on the KYTC DOT Intranet website on the Division of Program Management’s homepage


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“Explanation of Item Number Series” electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.

“Explanation of Item Number Series”

0 - 99 … Interstate Construction (Non-Pavement Rehab)

100 - 899 … Non-Interstate Reconstruction, Construction,

New Route, etc

900 - 999 … HES Projects

1000 - 1999 … Federal Bridge Replacement Program

2000 - 2999 ... Pavement Rehabilitation

(Interstate, Parkways or Primary Routes)

3000 - 3999 ... Transportation Enhancement Projects

4000 - 4299... County Bridge Replacement Program (State Funds)4300 - 4999 ...Guardrail Replacement Program (State Funds)

5000 - 5999 ...

Rockfall and Landslide Repairs

6000 - 6999 ... Open

7000 - 7999 ... 1998 SYP General Assembly Added Projects

8000 - 8099 ... 2000 SYP General Assembly Added Projects

8100 - 8199 ... 2002 SYP General Assembly Added Projects

8200 - 8299 ... 2004 SYP General Assembly Added Projects

8300 - 8999 ... 2006 SYP General Assembly Added Projects

9000 - Above ... Open


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KEY TO INTERPRETING INFORMATION PRESENTED electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.FY 2007- FY 2012 STATUS REPORT


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KEY TO INTERPRETING INFORMATION PRESENTED electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.FY 2007- FY 2012 STATUS REPORT


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KEY TO INTERPRETING INFORMATION PRESENTED electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.FY 2007- FY 2012 STATUS REPORT

Note: The Federal Funding Program is a reimbursement program. Thus, State Funds are used first to cover the costs, and then KYTC sends weekly invoices to FHWA for reimbursement of the federal share of the costs. The normal turn around time is approximately a 7 to ten days.


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Overview of KYTC “Project Managers Toolbox” electronic processes to assist the project manager and management staff to track the current status of projects and current status of funding for each phase of the SYP projects.


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The following instructions are for accessing the KYTC Project Managers Toolbox:

  • Go to KYTC Internet home page

  • In the address bar highlight the address and type DOT

  • You will access the KYTC IntraNet home page, and under the “Resources” block select “Program Management”

  • This will take you to the Division of Program Management home page, and then select “Toolbox”

  • This will take you to the “Project Managers Toolbox” application


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  • The following applications are available in the Project Managers Toolbox:

  • SYP Project Information Center - Access budget information by entering the PCN number, the

  • TC-10 number, or the SYP Item number

  • Non-SYP Project Information Center - Access budget information by entering the TC-10 number

  • Pending, Pending - Access a list of funding requests that are waiting on TC-10s to be prepared

  • Pending - Access a list of funding requests where the TC-10s have been prepared but not approved

  • Active SYP Projects - Access information by selecting a county. A county map appears that identifies current active SYP projects within the corresponding county. Click on a yellow, orange, or blue box to access the current status information for the project and to “Zoom To” the project location on aerial photos

  • Active Construction - Access a listing of active construction projects by county, and click on the PCN number to access the current status of each project

  • TC-10 Viewer (PAS) - Access an electronic copy of a TC-10 by several means, including TC-10 number, SYP item number, county, and funding program code

  • Unscheduled Project Info - Access the Division of Planning’s “Unscheduled Projects Information” data system by entering the KYTC district, county, project description, route number, and/or SYP item number

  • Select SYP Project Information - Access awarded SYP projects or initial R/W phase funding authorizations

  • Miscellaneous - Several informational type items are available for downloading electronic files or printing hard copies


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THANK YOU. Managers Toolbox:


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