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INTRODUCTION TO FEDERAL HIGHWAY FUNDING AND ELIGIBILITY Mike Morrow Field Operations Engineer (503) 587-4708 PowerPoint Presentation
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Mike Morrow (Field Operations Engineer) 503-5874708 INTRODUCTION TO FEDERAL HIGHWAY FUNDING AND ELIGIBILITY Mike Morrow Field Operations Engineer (503) 587-4708 EXPECTATIONS How the FAHP is financed Legislation Apportionment formulas Major funding requirements

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slide1

Mike Morrow

(Field Operations Engineer)

503-5874708

INTRODUCTION TO FEDERAL HIGHWAY FUNDING AND ELIGIBILITY

Mike Morrow

Field Operations Engineer

(503) 587-4708

expectations
EXPECTATIONS
  • How the FAHP is financed
  • Legislation
  • Apportionment formulas
  • Major funding requirements
  • Discretionary – Earmarked funds
characteristics of the federal aid highway program
Characteristics of the Federal-Aid Highway Program

State Administered, Federal Stewardship

Funding tied to specific “systems”

Requires States to have Highway Agency or locals to have responsible individual

States/locals pay for routine maintenance

Matching requirements

Reimbursable program

Contract authority

federal state and local relationship federal responsibilities

State DOT

Apportionment

or

Allocation

Federal, State and Local RelationshipFederal Responsibilities
  • Review and approve state/local proposals
  • Develop regulations and guidance
  • Promulgate standards
  • Provide technical assistance
  • Distribute line of credit
  • Reimburse States their eligible expenses
slide5

Federal, State and Local Relationship

State and Local Responsibilities

  • Conceive, prioritize, plan, design, and construct, and projects
  • Maintain and operate highways
safe accountable flexible effient transportation equity act a legacy for users safetea lu
Safe, Accountable, Flexible, Effient Transportation Equity Act –A Legacy for Users (SAFETEA-LU)
  • Highways, highway safety, transit
  • 5-year legislation - 2005-2009
  • Signed into law August 10, 2005 (P. L. 109-59)
  • $244 billion authorized over 5 years
    • (12% increase over TEA-21)
    • Highways - $193 billion
    • Transit - $51 billion
slide7

Contract Authority

Authorization Act

(SAFETEA-LU)

Distribution of funds

Unobligated

Balances

Total funds available

Obligation

Limitation

Obligation of funds

Appropriations

Act (annual)

Reimbursement

Liquidating

cash from HTF

distribution of funds
Distributed by formula

specified in law

Distributed on October 1

Withdrawn only by law

All eligible States are

recipients

No method specified in law

Distributed throughout year

Can be withdrawn by administrative action

Only some States are recipients

Distribution of Funds

Allocations

(Bridge Discretionary, Scenic

Byways, COF, etc.)

Apportionments

(STP, NHS, Bridge, CMAQ, etc.)

slide9

Minimum Guarantee

Guaranteed Return on Contributions

State’s share of apportionments and high priority

projects will be not less than 92% of the State’s

share of its contributions to the Highway Account

of the Highway Trust Fund:

State apportionments*

US apportionments

State contributions

US contributions

92%

>

=

* Includes High Priority Projects

types of penalties
Types of Penalties
  • Transfer Apportionments (serious)
    • Open Container
    • Repeat Offenders (Section 164)
  • Withhold Apportionments (very serious)
    • Minimum Drinking Age
    • Zero BAC Tolerance
  • Withhold Project Approval (most serious)
    • Maintenance of Federal-aid Projects
slide11

Interstate

Maintenance

NHS

STP

Bridge

CMAQ

90%

Federal Lands

Emergency Relief

80%

Matching Share

100%

Matching Share

Federal Share

slide12

Reimbursement

Contractor

does work

LPA pays

Contractor

A

c

t

i

o

n

s

State pays contractor

State pays LPA

State submits

State submits

voucher to FHWA

voucher to FHWA

FHWA sends

FHWA sends

to Treasury

to Treasury

Treasurer wires

Treasurer wires

money to State

money to State

Time

slide13

Rate of Liquidating Cash

How fast obligated funds become expended

41

27

% by

Year

16

5

3

3

2

2

1

Number of years until expenditure

slide14

Obligations

  • State Request, Federal Approval
    • Commits State’s Line of Credit
    • Commits Federal Government to Reimburse State
  • Based on Estimates
  • Protects Funds from Lapsing
  • Traditional Point of Budgetary Control
slide15

Obligation Limitation

(Obligation Ceiling)

What is it?

  • A budgetary mechanism to control Federal spending

Who does it?

  • Congress -- through legislation

Why?

  • To be responsive to current budget policies
slide16

Contents of FHWA Budget

  • Obligation Limitation
  • General Operating Expense Obligation Limitation
  • Liquidating Cash Amount
  • Budget Authority (permission to obligate)
  • Revenue Aligned Budget Authority (RABA) amount
highway trust fund safetea lu of 2005
Highway Trust FundSAFETEA-LU of 2005
  • Extended authorization for FY2005-2009
  • Extended HTF through FY 2011
  • (Woops – Missed the target here a little bit )
  • Congress added six billion with hopes of getting through 2009
slide18

Federal Gasoline Tax

18.4 cents

0.1 cent

L.U.S.T.

Trust Fund

15.44 cents

2.86 cents

Highway Account

Mass Transit Account

Effective October 1, 1997

In cents per gallon

slide19

Federal Diesel Tax

24.4 cents

0.1 cent

L.U.S.T.

Trust Fund

21.44 cents

2.86 cents

Highway Account

Mass Transit Account

Effective October 1, 1997

In cents per gallon

slide20

Highway Trust Fund Income

Gasohol- $1.1 B

Diesel - $7.0 B

Gasoline - $17.6 B

Truck Sales - $3.3 B

Truck Use - $0.9 B

Tires - $0.4 B

Other - $0.01 B

Total = $30.3 B

slide21

Functional Classification

Eligibility for Federal Financial Assistance

Interstate - 1%

(Included in NHS %)

NHS - 4%

Local - 76%

Other - 20%

Ineligible

Eligible

Out of 3.9 million miles of roads in the U.S., less than 1 million miles are eligible for

federal financial assistance.

slide22

Authorizations 2005 - 2009

Highway, Highway Safety, and Rail Programs

Minimum Guarantee

$37.8 B

Highway Safety - $5.0 B

Research - $2.2 B

Other/Admin - $8.1 B

High Priority

Projects - $14.8 B

Fed Lands - $4.3 B

IM - $25.2 B

Appalachia - $2.3 B

Total =

$193 B

CMAQ - $8.6 B

NHS - $30.5 B

STP - $32.5 B

Bridge - $21.6 B

general eligibility
General Eligibility
  • Roadways eligible for Federal-aid funding:
  • publicly owned and open to public
  • be functional classified higher than rural minor collectors or local roadways
  • meet the requirements of the specific Federal funding program
general categories of federal aid funds
General Categories of Federal-aid Funds
  • Interstate Maintenance (IM)
  • National Highway System (NHS)
  • Surface Transportation Program (STP)
  • Highway Bridge Program
  • Congestion Mitigation & Air Quality (CMAQ)
  • Emergency Relief
  • Discretionary Programs
  • Earmarked Projects
interstate maintenance types of work eligible
Interstate Maintenance Types of Work Eligible
  • 4R’s (Resurfacing, Restoration, Rehabilitation, and Reconstruction)
  • Bridges, Interchanges and Overcrossings on Existing Interstate
  • Safety, ITS, and Operations
  • Preventive Maintenance (Scheduled Activities)
  • HOV, auxiliary lanes, truck climbing (not new through lanes)
interstate maintenance state distributions
Interstate MaintenanceState Distributions
  • 33-1/3%: Interstate lane miles (%)
  • 33-1/3%: VMT on Interstate (%)
  • 33-1/3%: HTF contributions (%)

attributable to commercial

vehicles

national highway system types of work eligible
National Highway SystemTypes of Work Eligible
  • Construction and 4R’s (NHS)
  • Operational Improvements (NHS)
  • Safety Improvements (NHS)
  • Transportation Planning
  • (23 USC 134 &135)
national highway system types of work eligible28
National Highway SystemTypes of Work Eligible
  • Highway research and technology transfer
    • Chapter 5 of Title 23, USC
  • Traffic monitoring, management and control

facilities/programs, ITS,

  • Carpool, vanpool,
state distribution national highway system
State DistributionNational Highway System
  • 25 %: Lane Miles (principal arterials)
  • 35%: VMT (principal arterials)
  • 30%: Diesel Fuel (used on highways)
  • 10%: Lane Miles/Population (lane miles on principal arterials, population in Oregon)
nhs map for oregon
NHS Map for Oregon
  • http://www.fhwa.dot.gov/planning/nhs/maps/or/or_oregon.pdf
surface transportation program stp state distribution
Surface Transportation Program (STP)State Distribution
  • 25%: Lane miles on Federal Aid Highway System (%)
  • 40%: VMT on FAH (%)
  • 35%: HTF contributions (%)
surface transportation program types of work eligible
Surface Transportation ProgramTypes of Work Eligible
  • Title 23, U.S.C. & Chapter 53 ,Title 49,

U.S.C. eligible

  • Construction, 4R, operational improvements

(FAH System & Off-System Bridges).

  • STP set-a-sides:

Transportation enhancements (10%)

highway bridge program hbp state distribution
Highway Bridge Program (HBP)State Distribution

Formula based on each states relative share of costs to repair or replace deficient highway bridges (on & off the Federal-aid Highway System)

highway bridge program hbp types of work eligible
Highway Bridge Program (HBP)Types of Work Eligible
  • Structure carries highway traffic
  • Is at least 20 foot clear span length (abutment to abutment)
  • 10 years since last major work
  • NOTE: At least 15% of HBP $ must be used off the Fed-aid Highway System (but on a public road). May apply for exception (Oregon Does).
highway bridge program hbp
Highway Bridge Program (HBP)
  • Replace structurally deficient or functionally obsolete bridge
  • To replace: Sufficiency Rating < 50
  • To rehab: Sufficiency Rating < 80
  • Restore the structural integrity
highway bridge program hbp36
Highway Bridge Program (HBP)
  • Replace ferryboat operations (in existence

on 1/1/84)

  • Painting, seismic retrofitting, anti-icing/

de-icing or scour counter-measures (on

bridges)

highway bridge program hbp37
Highway Bridge Program (HBP)

Prior bridge criteria only apply to the use of HBP funding. If adequate need can be established other funding types may be used for bridge work.

cmaq state distribution
CMAQ State Distribution

Formula based on population within ozone & carbon monoxide (CO) non-attainment & maintenance areas, and severity of the areas air quality problems.

congestion mitigation and air quality cmaq
Congestion Mitigation and Air Quality (CMAQ)
  • Eligible projects:
  • Projects with air quality benefits
  • Ineligible projects:
  • Projects that add new capacity for SOV
  • Maintenance Projects
discretionary
Discretionary
  • Division office authorization
  • Apply (subsequent FHWA approval)
discretionary41
Discretionary
  • Corridors & Borders
  • Innovative Bridge Research and Construction
  • National Historic Covered Bridge Program
  • Public Lands Highways
  • Ferry Boats
  • Scenic Byways
  • Transportation and Community and System Preservation Pilot Program (TCSP)
  • Highways for Life
  • Truck Parking, and Value Pricing
discretionary42
Discretionary
  • INTERSTATE MAINTENANCE
  • 4R on interstates
  • Construction
  • Funds are lost if not obligated 9/30
    • Can reapply following year
discretionary43
Discretionary
  • Transportation and Community and System Preservation Program (TCSP)
  • Planning & Construction funds
  • Title 23
  • Title 49, chapter 53
  • Has been fully earmarked recently

Unobligated funds can be returned next year

discretionary44
Discretionary
  • SCENIC BYWAYS
  • National/State Scenic Byways
  • All-American Roads
discretionary45
Discretionary
  • FERRY BOAT
  • Bridge/tunnel not feasible
  • Route must be a public road
  • Publicly owned or operated
  • State has control over fares
discretionary46
Discretionary
  • NATIONAL HISTORIC COVERED BRIDGE PRESERVATION
  • National Register of Historic Places
  • Fire protection system installation
  • Vandal/arson alarm system
  • Relocate to a preservation site
earmarked funds
Earmarked Funds
  • Law may define eligible activities
    • Reverts to program requirements
  • Written in law
  • Law makes funds available
    • Does NOT authorize project!!!
  • May have to apply (discretionary)
  • Needs FHWA authorization
  • May not get all of funds, or in one year!
lpa advertising for bids
LPA Advertising for Bids

“THOU SHALT HAVE AN FHWA

AUTHORIZATION IN THY

HANDS PRIOR TO

ADVERTISING FOR BIDS”

(or spending any money)

local responsibilities and expectations for lpa projects
Local Responsibilities and Expectations for LPA projects
  • Knowledge of Federal-aid requirements
  • ODOT/Local Partnership: early, continuous communication and coordination needed.
  • ODOT/LPA knowledge of what is happening on LPA projects (funding, work progress, inspections, etc)
local responsibilities and expectations for lpa projects50
Local Responsibilities and Expectations for LPA projects
  • ODOT provides oversight of Local Agencies and is not relieved of its responsibilities for LPA projects’ compliance with Federal regulations
  • Certification program allow LPAs to use their own procedure, forms, etc., but does not relieve them or ODOT of the responsibility to comply with all Federal and State regulations and laws