Federal Aid Programs For Hwy Admin

Work Program Instructions Tentative Work Program FY 12/13 16/17
Revised: November 1, 2011 September 9, 2011
Table of Contents
Part IV Federal Aid Programs Administered by Federal Highway Administration (FHWA)
CHAPTER 1: OVERVIEW OF MAJOR PROGRAMS ........................................................................... 1
Introduction:.................................................................................................................................................... 1 Section A: National Highway System ............................................................................................................ 2 Section B: Interstate Maintenance Program .................................................................................................. 3 Section C: Surface Transportation Program ................................................................................................. 5 Section D: Highway Bridge Replacement and Rehabilitation Program ......................................................... 8 Section E: Congestion Mitigation and Air Quality Improvement Program ..................................................... 9 Section F: Highway Safety Improvement Program ..................................................................................... 11 Section G: Equity Bonus Program ............................................................................................................... 13 Section H: Safe Routes to School Program ................................................................................................ 15 Section I: State Planning and Research Program ....................................................................................... 16 Section J: Metropolitan Planning ................................................................................................................. 17 Section K: Recreational Trails Program ...................................................................................................... 19 Section L: Forest Highways Program .......................................................................................................... 21 Section M: Highways for Life Pilot Program (new) ...................................................................................... 22 Section N: Ferry Boats and Ferry Terminal Facilities .................................................................................. 23 Section O: Innovative Bridge Research and Deployment Program (name change) ................................... 24 (Replaces Innovative Bridge Research and Construction Program) ............................................................ 24 Section P: Interstate Maintenance Discretionary ........................................................................................ 26 Section Q: Public Land Highways ............................................................................................................... 26 Section R: National Scenic Byways ............................................................................................................ 28 Section S: Transportation, Community, and System Preservation Program............................................... 29 Section T: Tolling Programs ........................................................................................................................ 30 1. Value Pricing Pilot Program .................................................................................................................... 30 2. Interstate System Reconstruction & Rehabilitation Toll Pilot Program .................................................... 31 3. Interstate System Construction Toll Pilot Program .................................................................................. 31 4. Express Lanes Demonstration Program ................................................................................................. 31 Section U: Work Zone Safety Grants (new) ................................................................................................ 32 Section V: Truck Parking Facilities (new) .................................................................................................... 33 Section W: Emergency Relief Program ....................................................................................................... 34 Section X: State Infrastructure Bank Program ............................................................................................ 35 Section Y: Transportation Infrastructure Finance and Innovation Act (TIFIA) ............................................. 36 Section Z: High Priority Projects Program ................................................................................................... 38 Section AA: Transportation Improvements .................................................................................................. 40
CHAPTER 2: FINANCIAL PROVISIONS ........................................................................................... 42

Section A: Section B: Section C: Section D: Section E: Section F: Section G: Section H: Federal Obligation Limitation (a.k.a Obligation Authority) .......................................................... 42 Federal Highway Trust Fund and Taxes .................................................................................... 43 Guaranteed Funding .................................................................................................................. 44 Use of Toll Credits toward Non-Federal Share (Soft Match) ..................................................... 46 Advance Construction Program ................................................................................................. 46 Transferring Federal Funds ........................................................................................................ 47 Federal Indirect Costs ............................................................................................................... 58 Inactive Federal Projects ........................................................................................................... 58
CHAPTER 3: FEDERAL STEWARDSHIP ......................................................................................... 60

Section A: FHWA Oversight Program ......................................................................................................... 60 Section B: Use of Federal Funds on Tolled Roads, Bridges ....................................................................... 60 Section C: Financial Plans for Major Federal Projects ................................................................................ 60
Part IV Federal
Section D: Value Engineering Analysis ....................................................................................................... 63
CHAPTER 4: ANNUAL FEDERAL DISCRETIONARY PROJECT SOLICITATION PROCESS ..................................................................................................................... 64

Section A: Section B: Section C: Section D: Schedule of Activities/Events ..................................................................................................... 64 Responsibilities for Program Coordination ................................................................................. 65 Discretionary Programs Contacts .............................................................................................. 71 Summary of FHWA Discretionary Programs ............................................................................. 73
CHAPTER 5: OTHER FEDERAL PROGRAM CHARACTERISTICS ................................................ 76

Section A: Using Federal Funds for early stages of a Project (PD&E, PE and/or R/W) but not Construction 76 Section B: Federal and State Funded Projects under a single Contract ..................................................... 77 Section C: Projects with minimal shares of Federal Funds ......................................................................... 77 Section D: Districtwide and General Consultant Contracts ......................................................................... 77 Section E: Repayment of Federal Funds for Preliminary Engineering and/or Right of Way if Construction is not to be completed ...................................................................................................................................... 78
CHAPTER 6: STATEWIDE AND LOCAL TRANSPORTATION IMPROVEMENT PROGRAMS (STIP AND TIPS) .................................................................................... 80
Section A: Section B: Section C: Section D: Section E: Section F: Section G: Requirements to obtain Approved Federal Authorization .......................................................... 80 State Transportation Improvement Program (STIP) .................................................................. 80 MPOs Transportation Improvement Program (TIP) .................................................................. 81 Projects Administered by Federal Transit Administration (FTA) ................................................ 81 Amending the STIP and TIPs .................................................................................................... 82 Roll Forward Projects in new TIP ............................................................................................... 86 Administrative TIP amendments for amending old TIP after new TIP is adopted on July 1st ... 87
CHAPTER 7: AUTHORIZING FEDERAL PROJECTS WITH FHWA ................................................ 88

Section B: Department Procedure No. 350-050-005 Federal Project Authorizations ................................. 89 Section C: Defining the Federal Project ...................................................................................................... 89 Section D: Common Criteria for all Federal Projects ................................................................................... 90 Section E: Authorizing Highway Planning and Research Projects .............................................................. 91 Section F: Authorizing Metropolitan Planning Projects ............................................................................... 93 Section G: Authorizing Preliminary Engineering Projects (including PD&E) ............................................... 93 Section H: Authorizing Right of Way Projects ............................................................................................. 93 Section I: Authorizing Construction Projects ............................................................................................... 95 Section J: Authorizing Design/Build Projects .............................................................................................. 96 Section K: Authorizing Local Agency Program (LAP) Projects ................................................................... 99 Section L: Authorizing National Bridge Inspection Program ...................................................................... 101 Section M: Authorizing Intelligent Transportation System (ITS) Projects .................................................. 101 Section N: Authorizing Projects in Local Government Advance/Reimbursement Program where repayment is with Federal Funds ................................................................................................................................. 101 Section O: Authorizing Projects with State Infrastructure Bank (SIB) Loans where repayment is with Federal Funds ............................................................................................................................................ 101 Section P: Authorizing Projects with Transportation Infrastructure Finance & Innovation Act (TIFIA) Loans 102 Section Q: Authorizing Federal Lands Highways Projects ........................................................................ 102 Section R: Authorizing Federal Earmarks ................................................................................................. 103 Section S: Required Statistical Information in FAMS and FMIS ................................................................ 105 Section T: Using the Comments and Notes fields in FAMS and Other Miscellaneous Information ..... 106
Part IV Federal
September 9, 2011
CHAPTER 1: OVERVIEW OF MAJOR PROGRAMS

Introduction:
On August 10, 2005, the President signed into law the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). This multi-year (2005 through 2009) federal transportation legislation amends a number of provisions in Title 23, United States Code, and replaces the previous federal transportation act, TEA-21. Basic Federal Core Programs SAFETEA-LU continues the basic federal core programs and establishes a new Safety core program (funds in core programs are apportioned to states by formula): A. B. C. D. E. F. National Highway System Interstate Maintenance Program Surface Transportation Program Highway Bridge Replacement and Rehabilitation Program Congestion Mitigation and Air Quality Improvement Program Highway Safety Improvement Program
Other Federal Programs Apportioned to States by Formula SAFETEA-LU continues other apportioned federal programs and adds the new Safe Routes to School Program: G. H. I. J. K. L. Equity Bonus Program (Replaces TEA-21s Minimum Guarantee Program) Safe Routes to School Program State Planning and Research Program Metropolitan Planning Recreational Trails Program Forest Highways Program
Other Federal Programs Allocated based on Need and/or through Application to FHWA SAFETEA-LU continues some allocated and discretionary federal programs and adds several more. Listed below are those pertinent to Florida: M. N. O. P. Q. R. S. T. Highways for Life Pilot Program (new) Ferry Boats and Ferry Terminal Facilities Innovative Bridge Research and Construction Interstate Maintenance Discretionary Public Land Highways National Scenic Byways Transportation, Community, and System Preservation Program Tolling Programs, including 1. Value Pricing Pilot Program 2. Interstate System R & R Toll Pilot 3. Interstate System Construction Toll Pilot 4. Express Lanes Demonstration Program U. Work Zone Safety Grants (new) V. Truck Parking Facilities (new) W. Emergency Relief Program
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The following discretionary federal programs were eliminated by SAFETEA-LU: Bridge Discretionary (last year is FY 2005) National Corridor Planning and Development Program (last year is FY 2005) Coordinated Border Infrastructure Program (last year is FY 2005) ITS Deployment (last year is FY 2005)
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Programs offering other types of non-grant project assistance X. State Infrastructure Bank Program Y. Transportation Infrastructure Finance and Innovation Act (TIFIA) Congressionally Designated Programs/Projects In additional to congressionally designated projects within the various federal discretionary programs (which are usually designated in annual federal appropriations acts), SAFETEA-LU creates several new sections for congressionally designated projects. Those pertinent to Florida include: Z. High Priority Projects Program AA. Transportation Improvements
Section A: National Highway System

The National Highway System is a 163,000-mile system of significant rural and urban roads serving major population centers, international border crossings, intermodal transportation facilities, and major travel destinations. It includes the Interstate System, other urban and rural principal arterials, highways that provide motor vehicle access between the NHS and major intermodal transportation facilities, the defense strategic highway network, and strategic highway network connectors. Program Purpose The program provides funding for improvements to rural and urban roads that are part of the NHS, including the Interstate System and designated connections to major intermodal terminals. Under certain circumstances, NHS funds may also be used to fund transit improvements in NHS corridors. Statutory References SAFETEA-LU Section(s): 1101(a)(2), 1103, 6006 Other: 23 USC 103, 104(b)(1) Funding/Formula Funded by contract authority that will remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. A State may transfer up to 50% of its NHS apportionment to its Interstate Maintenance, Surface Transportation (STP), Congestion Mitigation and Air Quality Improvement, Highway Bridge Replacement and Rehabilitation, or Recreational Trails apportionment. Up to 100% may be transferred to the STP if approved by the Secretary and if sufficient notice and opportunity for public comment is given. National Highway System funds will not be allocated to the Districts. They will be managed on a statewide basis in support of the Interstate Highway System and the highway component of the SIS that is on the NHS.
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Part IV Federal

WPA Fund Codes
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Depending on the nature and location of the project, several WPA fund codes may be applicable for use on the National Highway System. Effective July 1, 2010, funding specific to eligible activities on the NHS will carry the ACNH fund code for projects to be authorized in AC mode, and the NH fund code for projects to be authorized directly to the federal fund. Eligible use of Funds Construction, reconstruction, resurfacing, restoration, and rehabilitation Operational improvements Construction of, and operational improvements for, a federal-aid highway not on the NHS and construction of a transit project eligible under the Federal Transit Act in the corridor of fully access-controlled NHS routes. These projects must be cost effective and improve the level of service on the NHS segment. Highway safety improvements Transportation planning, highway-related technology transfer activities and research and development Start up costs for traffic management and control (limited to 2 years) Fringe and corridor parking facilities Carpool and vanpool projects Improvements necessary to accommodate other transportation modes Development and establishment of management systems (highway pavement, bridge, highway safety, traffic congestion, public transportation facilities and equipment, and intermodal transportation facilities and systems) Wetland mitigation Bicycle facilities and pedestrian walkways adjacent to an NHS route Infrastructure based intelligent transportation systems capital improvements Environmental mitigation and pollution abatement Control of terrestrial and aquatic noxious weeds and establishment of native species
Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93% (except that projects on the Interstate are not eligible for the sliding scale adjustment in Florida). When the funds are used for Interstate projects to add High Occupancy Vehicle (HOV) or auxiliary lanes, but not other thru lanes, the Federal share may be 90 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section B: Interstate Maintenance Program

The 46,000 mile Dwight D. Eisenhower National System of Interstate and Defense Highways retains a separate identity within the National Highway System. The Interstate Maintenance Program was established to provide for the on-going work necessary to preserve and improve Interstate highways. Program Purpose The Interstate Maintenance (IM) program provides funding for resurfacing, restoring, rehabilitating and reconstructing (4R) most routes on the Interstate System.
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Statutory References SAFETEA-LU Section(s): 1101(a)(1), 1111 Other: 23 USC 119, 104(b)(4), 118(c) Funding/Formula
September 9, 2011
Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. A State may transfer up to 50% of its IM apportionment to its National Highway System, Surface Transportation, Congestion Mitigation and Air Quality Improvement, Highway Bridge Replacement and Rehabilitation, or Recreational Trails apportionment. WPA Fund Code Effective July 1, 2010, funding specific to the Interstate Maintenance Program will use the ACIM fund code for projects to be authorized in AC mode and the IM fund code for projects to be authorized directly to the federal fund. Eligible Use of Funds Eligible uses include resurfacing, restoring, rehabilitating and reconstructing (4R) projects on the Interstate System. 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; Projects on routes on the Interstate System, except those added under 23 USC 103(c)(4)(A) that were not previously designated future Interstate under former 23 USC 139(b), as well as any segments that become part of the Interstate System under Section 1105(e)(5) of ISTEA are eligible for funding. Under the provisions of 23 U.S.C. 119(d), construction of new capacity thru lanes, other than high occupancy vehicle (HOV) or auxiliary lanes, is not eligible for IM funding. IM program funds may not be used on a facility where tolls are being collected under the Interstate System Reconstruction and Rehabilitation Pilot Program [TEA-21 1216(b)] or the Interstate System Construction Toll Pilot Program. [1604(c)(7)] 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. Federal Share The Federal share is generally 90 percent, subject to the sliding scale adjustment. The sliding scale adjustment is not available to Florida for the Interstate Maintenance Program. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
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Section C: Surface Transportation Program

Program Purpose The Surface Transportation Program (STP) provides flexible funding that may be used by States and localities for projects on any Federal-aid road, including the NHS, bridge projects on any public road, transit capital projects, and intra-city and inter-city bus terminals and facilities. A Federal-aid road is defined to be any road in the state except for roads that are functionally classified as local roads or rural minor collectors. However, the following types of projects are not restricted to these "federal-aid roads", but may be used on any public road: Bridge projects Carpool/vanpool project Fringe and corridor parking facilities and programs Bicycle transportation and pedestrian walkways Highway and transit safety improvements and programs Hazard elimination projects Projects to mitigate hazards caused by wildlife Railway-highway grade crossings Environmental mitigation to address water pollution due to highway runoff or reduce vehicle-caused wildlife mortality while maintaining habitat connectivity, and establishment of transportation museums
Statutory References SAFETEA-LU Section(s): 1101(a)(4), 1103(f), 1113, 1603, 1960, 6006 Other: 23 USC 133, 104(b)(3), 140 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. Eligible use of Funds Highway Projects o o o o o o o o o o o o o Construction, reconstruction, resurfacing, restoration, and rehabilitation Operational improvements Highway Safety Improvements Surface transportation planning, highway and transit technology transfer activities, and research and development Capital and operating costs for traffic management and control Fringe and corridor parking facilities Carpool and vanpool projects Carpool and vanpool projects Improvements necessary to accommodate other transportation modes Development and establishment of management systems (highway pavement, bridge, highway safety, traffic congestion, public transportation facilities and equipment, and intermodal transportation facilities and systems) Wetland mitigation Bicycle facilities and pedestrian walkways adjacent to an NHS route Infrastructure based intelligent transportation systems capital improvements Advanced truck stop electrification systems
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o o o
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Projects relating to intersections that have disproportionately high accident rates, have high congestion, and are located on a federal-aid highway Environmental restoration and pollution abatement (on a 4R project the expenditures for this activity may not exceed 20 percent of the total cost of the project) Control of terrestrial and aquatic noxious weeds and establishment of native species
Transit Projects (See Instructions on Transferring STP funds to Federal Transit Administration) o o o o o o o All projects that might otherwise be eligible for funding under current FTA grant programs, excluding operating assistance. Purchase of rolling stock (buses), and other transit equipment Construction, rehab, and/or improvements of fixed rail systems and other transit facilities Programs for improved public transit and most other transportation control measures for the Clean Air Act Transit related planning, research, and development activities Car/Vanpool projects Fringe and corridor park and ride facilities
Transportation Enhancement Projects (No restrictions as to geographical area) o o o o o o o o o o o o Provision of facilities for pedestrians and bicycles Provision of safety and educational activities for pedestrians and bicyclist Acquisition of scenic easements and scenic or historic sites Scenic or historic highway programs (including the provision of tourist & welcome center facilities) Landscaping and other scenic beautification Historic preservation Rehabilitation of historic transportation buildings, structures, or facilities (including historic railroad facilities and canals) Preservation of abandoned railway corridors (including the conversion and use thereof for pedestrian or bicycle trails) Control and removal of outdoor advertising Archaeological planning and research Environmental mitigation to address water pollution due to highway runoff or reduce vehiclecaused wildlife mortality while maintaining habitat connectivity Establishment of transportation museums.
Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93% (except that the sliding scale is not available if these funds are used on the Interstate). When the funds are used for Interstate projects to add high occupancy vehicle or auxiliary lanes, but not other lanes, the Federal share may be 90 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds, with certain exceptions (see WP Fund Codes and Program Features for exceptions). This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share. Sub-allocation of STP Funds STP funds must be sub-allocated as follows: 10 percent for Transportation Enhancement activities
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56.25 percent (62.5% of the remaining 90%) of the total by population between urbanized areas over 200,000 (Transportation Management Areas, or TMA's) and the remaining areas of the state. The funds allocated to TMA's are allocated to the individual TMA's on the basis of population. Areas of less than 5,000 population must receive at least 110 percent of the 1991 federal-aid secondary apportionment from the portion that goes to areas under 200,000. 33.75 percent (37.5% of the remaining 90%) can be used by the state in any area.
WP Fund Codes and Program Features (1) Areas with populations over 200,000 SU Funds These funds must be used in the federally designated Transportation Management Areas (TMAs). The TMA designation applies to the entire metropolitan planning area. These funds have been allocated to each of the urban areas in the state. Separate Distribution Area Codes have been established in WPA to correspond to each of these urban areas, with the exception of X05 and X06 which are sub-allocations (in WPA) under the Miami federal TMA. Projects programmed with SU funds must also carry an appropriate distribution area code, as follows: Distribution Area X01 X02 X03 X04 X05 X06 X07 X08 X09 X10 X11 X12 X13 X14 Transportation Management Area Cape Coral Sarasota Bradenton Jacksonville Pensacola, FL - AL Ft. Lauderdale - Hollywood Pompano Palm Beach - Boca Raton - Delray Beach Daytona Beach Port Orange Melbourne Palm Bay Orlando Miami Tampa - St. Petersburg Bonita Springs Naples Tallahassee Port St. Lucie
Effective July 1, 2011 SU funds are soft-matched. (2) Areas with populations of 200,000 or less SL Funds These funds must be used in areas of the state that are located outside of the boundaries of the Transportation Management Areas (TMAs). Effective July 1, 2011, SL funds are soft-matched. (3) Areas with populations of 5,000 or less SN Funds These funds must be used exclusively in rural areas of the state with a population of 5,000 or less. Since June 6, 2008, Section 113(a) of the SAFETEA-LU Technical Corrections Act of 2008 (Public Law 110-244) extended the provision for up to 15% of these funds to be used on roads functionally classified as minor collectors.
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(4) Any Area in the State SA Funds
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These funds may be used in any area of the state on "federal-aid roads." There are no restrictions as to geographical area. (5) Transportation Enhancements SE Funds Qualifying activities are listed in the Eligible Use of Funds section above. Most of the SE funds are allocated to the Districts. However, an allocation of $5 million annually is allocated for statewide projects (including non-conforming outdoor sign acquisition) administered from the Central Office. Statewide Enhancement Projects The Environmental Management Office (EMO) is responsible for programming and managing the related fund allocation pertaining to statewide enhancement projects based upon qualifying applications for statewide environmental projects. The CEMO will recommend projects to the Assistant Secretary for Intermodal System Development and the Assistant Secretary for Finance and Administration for approval. To be considered a statewide enhancement project, following criteria must be met: The project has statewide significance or is part of a large system or network, or Is sponsored by a state or federal agency, or Is required for FHWA mandates (e.g., non-conforming sign removal).
A priority use of enhancement funding is for projects identified in the Statewide Comprehensive Greenways Plan for greenways and trails prepared under a cooperative funding agreement between the DOT and the Florida Department of Environmental Protection (DEP). DEP has been requested to submit potential candidates for the outer years in accordance with the Departments enhancement procedure. Refer to departmental Procedure Topic Number 525-030-300 for qualification, selection and implementation guidelines. Non-conforming Outdoor Sign Acquisition Projects will be programmed and managed by Central Office staff in the R/W Office, with assistance from the Work Program Development and Operations Office. The Central Office will program a phase 43 in each year for $40,000. This item/segment will be administered by the Statewide Program Manager (Director, Office of R/W). Separate financial projects will be established for each District under the single Central Office Work Program item number. All payments for the voluntary sale and removal of non-conforming signs under this program will be processed through the R/W Office in Tallahassee.
Section D: Highway Bridge Replacement and Rehabilitation Program

Program Purpose The Highway Bridge Replacement and Rehabilitation Program provides funding to enable States to improve the condition of their highway bridges through replacement, rehabilitation, and systematic preventive maintenance.
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Statutory References SAFETEA-LU Section(s): 1101(a)(3), 1114 Other: 23 USC 144 Funding/Formula
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Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. Off-System Bridges A set aside of not less than 15% of the amount apportioned to each State in each fiscal year will be used for bridge projects that are not on a Federal-aid road. See the Bridge Chapter in Part III of these instructions for additional programming guidelines. WPA Fund Codes Effective July 1, 2010, Bridges on a Federal-aid road will use the ACBR fund code for projects to be authorized in AC mode and the BRT fund code for projects being authorized directly to the federal fund. Bridges not on a Federal-aid road (i.e. local roads) will use the BRTZ fund code.
Eligible Use of Funds Bridges must qualify as eligible under the priority system established in Title 23, Section 144, U.S.C. In addition to rehabilitating and replacing qualifying bridges, eligible activities have been expanded to include systematic preventative maintenance. States may carry out projects for the installation of scour countermeasures or systematic preventative maintenance without regard to whether the bridge is eligible for rehabilitation or replacement. Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. For those on the Interstate System, the Federal share will be 90 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section E: Congestion Mitigation and Air Quality Improvement Program

Program Purpose The Congestion Mitigation and Air Quality Improvement Program (CMAQ) provides funding for projects and programs in air quality nonattainment and maintenance areas for ozone, carbon monoxide (CO), and particulate matter (PM-10, PM-2.5) which reduce transportation related emissions. [23 USC 149(a)]
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Statutory References SAFETEA-LU Section(s): 1101(a)(5), 1103(d), 1808 Other: 23 USC 149, 104(b)(2), 126(c) Funding/Formula
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Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. Funding received for FY 2005 through FY 2009 for this program will be allocated as in previous years, to the three (3) districts (5 attainment maintenance areas) based on the formulas in TEA-21. This policy decision was made to help protect the 5-Year Adopted Work Program. Since all areas within Florida are now determined to be in attainment of the specified air quality standards, beginning in FY 2010, funding received for this program will be allocated to all districts based on statutory formula. CMAQ funds allocated prior to FY 2005 may continue to be used, as allocated. CMAQ funds allocated for FY 2005 and forward will be adjusted to the new minimum levels established in SAFETEA-LU. The districts are responsible for covering funding differences between the level of projects programmed and the adjusted allocations, using district managed funds. Based on the previous instruction of not programming projects using funds past the FY 2005 allocation, the impact of SAFETEA-LU reductions should be minimized. WPA Fund Code Projects using CMAQ funds will use the CM fund code. Eligible Use of Funds The Congestion Mitigation and Air Quality Improvement Program (CMAQ) directs funds to transportation programs and projects which will, or are likely to, contribute to attainment of a National Ambient Air Quality Standard (NAAQS). 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, Management and monitoring systems, Traffic management/monitoring/congestion relief strategies, Transit (new system/service expansion or operations), Alternative fuel projects (including vehicle refueling infrastructure), Public/private partnerships and initiatives, Inspection and maintenance (I/M) programs, Intermodal freight , Alternative fuels (including clean fuel fleet programs and conversions), Telecommunications, 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, Experimental pilot projects/innovative financing, and
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Other Transportation projects with air quality benefits. Improve transportation systems management and operations that mitigate congestion and improve air quality Involve the purchase of integrated, interoperable emergency communications equipment Involve the purchase of diesel retrofits that are for motor vehicles or non-road vehicles and non-road engines used in construction projects located in ozone or particulate matter non-attainment or maintenance areas and funded under 23 USC Conduct outreach activities that provide assistance to diesel equipment and vehicle owners and operators regarding the purchase and installation of diesel retrofits
Funds allocated after FY 2004 may be used for: Any project that would be CMAQ eligible if in a non-attainment or maintenance area (above list), or Any project that would eligible under the Surface Transportation Program.
Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. For those on the Interstate System, the Federal share will be 90 percent. Certain other activities, including carpool/vanpool projects, priority control systems for emergency vehicles and transit vehicles and traffic control signalization receive a Federal share of 100 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section F: Highway Safety Improvement Program

Program Purpose Beginning in 2006 SAFETEA-LU creates a new federal core program under Section 148 USC to achieve a significant reduction in traffic fatalities and serious injuries on all public roads. This new program is the Highway Safety Improvement Program and replaces the TEA 21 10% set-aside from the STP Program for safety activities. Section 152 USC funds previously used for safety improvements developed under the Hazard Elimination Program or for projects resulting from Community Traffic Safety Teams (CTSTs) are eliminated and these activities are now incorporated under the new Highway Safety Improvement Program under Section 148 USC Statutory References SAFETEA-LU Section(s): 1101(a)(6), 1401 Funding/Formula Funds are set aside for the Railway-Highway Crossing Program (under Title 23, Section 130) before apportioning these funds to the States. An additional set-aside is made out of States apportioned funds for construction and operational improvements on High Risk Rural Roads. Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation.
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WPA Fund Codes Highway Safety Improvement Program HSP fund code Railway-Highway Crossings: Hazard Elimination RHH fund code Protective Devices RHP fund code High Risk Rural Roads HRRR fund code Eligible Use of Funds
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States with Strategic Highway Safety Plans (SHSP) that meet the requirements of 23 USC 148 may obligate Highway Safety Program funds for all the purposes listed below. Funds may be used for projects on any public road or publicly owned bicycle and pedestrian pathway or trail. Each State must have an SHSP to be eligible to use up to 10 percent of its HSP funds for other safety projects under 23 USC (including education, enforcement and emergency medical services). It must also certify that it has met its railway-highway crossing and infrastructure safety needs. Highway Safety Improvement Project - means, under Section 148 USC, a project described in the State Strategic Highway Safety Plan that corrects or improves a hazardous road location or feature, or addresses a highway safety problem, including: An intersection safety improvement. Pavement and shoulder widening (including addition of a passing lane to remedy an unsafe condition). Installation of rumble strips or another warning device, if the rumble strips or other warning devices do not adversely affect the safety or mobility of bicyclists, pedestrians, and the disabled. Installation of a skid-resistant surface at an intersection or other location with a high frequency of accidents. An improvement for pedestrian or bicyclist safety or safety of the disabled. Construction of any project for the elimination of hazards at a railway-highway crossing that is eligible for funding under section 130, including the separation or protection of grades at railway-highway crossings. Construction of a railway-highway crossing safety feature, including installation of protective devices. The conduct of a model traffic enforcement activity at a railway-highway crossing. Construction of a traffic calming feature. Elimination of a roadside obstacle. Improvement of highway signage and pavement markings. Installation of a priority control system for emergency vehicles at signalized intersections. Installation of a traffic control or other warning device at a location with high accident potential. Safety-conscious planning. Improvement in the collection and analysis of crash data. Planning, integrated interoperable emergency communications equipment, operational activities, or traffic enforcement activities (including police assistance) relating to work zone safety. Installation of guardrails, barriers (including barriers between construction work zones and traffic lanes for the safety of motorists and workers), and crash attenuators. The addition or retrofitting of structures or other measures to eliminate or reduce accidents involving vehicles and wildlife. Installation and maintenance of signs (including fluorescent, yellow-green signs) at pedestrian-bicycle crossings and in school zones. Construction and yellow-green signs at pedestrian-bicycle crossings and in school zones.
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Construction and operational improvements on high risk rural roads. Construction of traffic circles, also known as roundabouts. Breakaway utility poles.
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Rail-Highway Crossings Program - All previous eligibilities continue under SAFETEA-LU. These funds may be used for projects on all public roads except for the interstate and turnpike systems. Eligible uses include construction of projects that eliminate hazards at rail-highway crossings, including (not limited to): Traffic control devices Grade separations Protective device improvements Reconstruction of existing railroad grade crossing structures Relocation of the highways to eliminate grade crossings.
Improvements to the railroad infrastructure other than that directly related to the improvement of safety at rail-highway crossings are not eligible under this program. High Risk Rural Roads High-risk rural roads are roadways functionally classified as rural major or minor collectors or rural local roads with a fatal and incapacitating injury crash rate above the statewide average for those functional classes of roadways; or likely to experience an increase in traffic volume that leads to a crash rate in excess of the average Statewide rate. If a State certifies that it has met all its needs relating to construction and operational improvements on high-risk rural roads, it may use those funds for any safety improvement project eligible under the Highway Safety Improvement Program. Federal Share The Federal share is generally 90 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 91.93%. The Federal share is 100% for certain safety improvements listed in 23 USC 120(c). Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section G: Equity Bonus Program

Program Purpose The Equity Bonus provides funding to States based on equity considerations. These include a minimum rate of return on contributions to the Highway Account of the Highway Trust Fund, and a minimum increase relative to the average dollar amount of apportionments under TEA-21. Selected States are guaranteed a share of apportionments and High Priority Projects not less than the States average annual share under TEA-21. This program replaces TEA-21s Minimum Guarantee program. Equity Bonus funds are allocated to the Districts via statutory formula, except a portion of Equity Bonus funds are used to supplement the statewide Bridge program and the SIS/FIHS program. Statutory References SAFETEA-LU Section(s): 1104, 1102
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Funding/Formula Funded by contract authority, to remain available for 4 years.
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Each States share of apportionments from the Interstate Maintenance (IM), National Highway System (NHS), Bridge, Surface Transportation (STP), Highway Safety Improvement (HSIP), Congestion Mitigation and Air Quality Improvement (CMAQ), Metropolitan Planning, Appalachian Development Highway System, Recreational Trails, Safe Routes to School, Rail-Highway Grade Crossing, Coordinated Border Infrastructure programs, the Equity Bonus itself, along with High Priority Projects will be at least a specified percentage of that States contributions to the Highway Account of the Highway Trust Fund. The specified percentage, referred to as a relative rate of return, is 90.5% for 2005 and 2006, 91.5% for 2007, and 92% for 2008 and 2009. States with certain characteristics will receive a share of apportionments and High Priority Projects that is the greater of the relative rate of return approach described above or their average annual share of total apportionments and High Priority Projects under TEA-21. This applies to States with: A population density of less than 40 persons per square mile and of which at least 1.25% of the total acreage is under Federal jurisdiction; or A total population less than 1 million; or A median household income of less than $35,000; or A 2002 Interstate fatality rate greater than 1 per 100M VMT; or A State with an indexed State motor fuel tax rate higher than 150% of the Federal motor fuel excise tax rate as of the date of enactment of SAFETEA-LU
In any given year, no State is to receive less than a specified percentage of its average annual apportionments and High Priority Projects under TEA-21. These percentage floors are 117% for 2005, 118% for 2006, 119% for 2007, 120% for 2008, and 121% for 2009. All but $2,639,000,000 per year is programmatically distributed to the IM, NHS, Bridge, STP, HSIP, and CMAQ programs. Of the remainder, $639,000,000 is exempt from the obligation limitation and $2 billion receives special no year limitation. [1104, 1102] WPA Fund Codes Use the EB fund code for Equity Bonus funds allocated to the Districts. Use the ACEP fund code for Equity Bonus funds supplementing the Bridge program. Use the ACEN fund code for Equity Bonus funds supplementing the SIS/FIHS program. Eligible Use of Funds Amounts programmatically distributed to other core programs take on the eligibilities of those programs. EB funds allocated to the Districts can be used for any Title 23, USC eligible activity. Federal Share The Federal share for the funds programmatically distributed to other core programs have the same Federal share as those programs. For Equity Bonus funds allocated to the districts and supplementing the Bridge and SIS/FIHS Programs, the Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93%
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additive for Florida, for a total federal share of 81.93%. For those on the Interstate System, the Federal share will be 90 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section H: Safe Routes to School Program

Program Purpose To enable and encourage children, including those with disabilities, to walk and bicycle to school; to make walking and bicycling to school safe and more appealing; and to facilitate the planning, development and implementation of projects that will improve safety, and reduce traffic, fuel consumption, and air pollution in the vicinity of schools. Funds are to be administered by State departments of transportation to provide financial assistance to State, local, and regional agencies, including non-profit organizations, which demonstrate the ability to meet the requirements of the program. Statutory References SAFETEA-LU Section(s): 1101(a)(17), 1404 Funding/Formula Funded by contract authority, to remain available until expended. Contract authority is not subject to transfer and is subject to the overall Federal-aid obligation limitation. Each year after deducting $3 million for the administrative expenses of the program, FHWA will apportion the funds to States based on their relative shares of total enrollment in primary and middle schools (kindergarten through eighth grade), but no State will receive less than $1 million. Funds will be district allocated based on primary and middle school enrollments in each respective district WPA Fund Codes Infrastructure related projects SR2S fund code Non-infrastructure related projects SR2N fund code Optional 20% to be used for either Infrastructure or non-infrastructure SR2E fund code Eligible Use of Funds The optional 20% may be used for either Infrastructure or Non-infrastructure at the District Secretarys discretion. Infrastructure Related Projects A minimum of 70% up to a maximum of 90% must be used for infrastructure related projects. Eligible activities are the planning, design, and construction of projects that will substantially improve the ability of students to walk and bicycle to school. These include:
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Sidewalk improvements Traffic calming and speed reduction improvements Pedestrian and bicycle crossing improvements On-street bicycle facilities Off-street bicycle and pedestrian facilities Secure bike parking Traffic diversion improvements in the vicinity of primary and middle schools (within approximately 2 miles)
Such projects may be carried out on any public road or any bicycle or pedestrian pathway or trail in the vicinity of schools. Non-infrastructure Related Projects A minimum of 10% up to a maximum of 30% must be used for non-infrastructure related activities to encourage walking and bicycling to school. These include: Public awareness campaigns and outreach to press and community leaders Traffic education and enforcement in the vicinity of schools Student sessions on bicycle and pedestrian safety, health, and environment Training volunteers and managers of safe routes to school programs.
Each State receiving program funds must use a sufficient amount of the funds to fund a full-time position of coordinator of the States safe routes to school program. Federal Share The Federal share is 100 percent.
Section I: State Planning and Research Program

Program Purpose To provide funding for statewide transportation planning and transportation research activities. Statutory References SAFETEA-LU Section(s): 6001 Other: 23 USC 135, 23 USC 505 Funding/Formula The State Planning and Research program is funded by a 2 percent set-aside from each States apportionments for the Interstate Maintenance, National Highway System (NHS), Surface Transportation Program (STP), Congestion Mitigation and Air Quality Improvement, and Bridge programs plus the new Highway Safety Improvement Program (HSIP) and 25% of funds so set aside must be used for research, development and technology transfer. Statewide planning is an eligible activity for additional funding under the STP and NHS programs. Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation.
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WPA Fund Codes Statewide Planning Activities use HP fund code Research Activities use HR fund code Eligible Use of Funds Funds may be used for:
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Engineering and economic surveys and investigations, The planning of future highway programs and local public transportation systems, and the planning of the financing of such programs and systems including metropolitan and statewide planning, Development and implementation of management systems, Studies of the economy, safety, and convenience of highway usage and the desirable regulation and equitable taxation thereof, Research, development, and technology transfer activities necessary in connection with the planning, design, construction, and maintenance of highways, public transportation, and intermodal transportation systems, and Study, research, and training on engineering standards and construction materials for the above systems, including evaluation and accreditation of inspection and testing and the regulation and taxation of their use.
Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section J: Metropolitan Planning

Program Purpose The metropolitan planning process establishes a cooperative, continuous, and comprehensive framework for making transportation investment decision in metropolitan areas. Program oversight is a joint Federal Highway Administration/Federal Transit Administration responsibility. Statutory References SAFETEA-LU Section(s): 1107, 6001 Other: 23 USC 104, 134 Funding/Formula The Metropolitan Planning Program is funded by a takedown of 1.25 percent from the Surface Transportation, Interstate Maintenance, Congestion Mitigation and Air Quality Improvement, Highway Bridge Replacement and Rehabilitation, and National Highway System programs, and by authorizations in the transit title of SAFETEA-LU. [1107, 3007]
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Funds set aside from the highway programs are distributed to the States based on the population in urbanized areas or portion of urbanized areas in the State compared to all States. [104(f)(2)] Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. WPA Fund Code Use PL fund code Eligible Use of Funds PL funds are available for MPOs to carry out the metropolitan transportation planning process required by 23 U.S.C. 134, including development of metropolitan area transportation plans and transportation improvement programs. Eligible activities include conducting inventories of existing routes to determine their physical condition and capacity, determining the types and volumes of vehicles using these routes, predicting the level and location of future population, employment, and economic growth, and using such information to determine current and future transportation needs. Under 23 U.S.C. 134, MPOs are responsible for developing, in cooperation with the State and affected transit operators, a long-range transportation plan and a four year transportation improvement program (TIP) for the area. Both the plan and the TIP must be fiscally constrained. The TIP also must be prioritized, and consistent with the transportation plan, and must include all projects in the metropolitan area that are proposed for funding with either Title 23 or Federal Transit Act (Title 49, U.S.C., Chapter 53) money. SAFETEA-LU modifications include: Metropolitan Planning in General MPOs will be encouraged to consult or coordinate with planning officials responsible for other types of planning activities affected by transportation, including planned growth, economic development, environmental protection, airport operations, and freight movement. [6001(g)] The metropolitan planning process is to promote consistency between transportation improvements and State and local planned growth and economic development patterns. [6001(h)] Safety and security of the transportation system are separate planning factors that are to be considered during the metropolitan planning process. [6001(h)] A State will have 30 days to reimburse an MPO for planning expenses after request from the MPO for reimbursement.
Long Range Transportation Plan Will be updated every 4 years (unless the MPO chooses to do so more frequently) in non-attainment and maintenance areas. Attainment areas remain on a 5-year update cycle. [6001(i)] Intermodal connectors are added as a transportation facility. [6001(i)] Include a discussion of potential environmental mitigation activities along with potential sites to carry out the activities to be included. The discussion is to be developed in consultation with Federal, State, and tribal wildlife, land management, and regulatory agencies. [6001(i)] Transit operators are to be included in the cooperative development of funding estimates for the financial plan section. [6001(i)]
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MPOs are required to consult with State and local agencies responsible for land use management, natural resources, environmental protection, conservation, and historic preservation concerning development of the Plan. [6001(i)] Representatives of users of pedestrian walkways, bicycle transportation facilities, the disabled are specifically added as parties to be provided with the opportunity to participate in the planning process. [6001(i)] The MPO is to develop a participation plan in consultation with interested parties that provides reasonable opportunities for all parties to comment. [6001(i)] To carry out the participation plan, public meetings are to be: conducted at convenient and accessible locations at convenient times; employ visualization techniques to describe plans; and make public information available in an electronically accessible format, such as on the Web. [6001(i)] The Plan is to be published and made available electronically, such as on the Web. [6001(i)]
Section K: Recreational Trails Program

Program Purpose The Recreational Trails program provides funds to the States to develop and maintain recreational trails and trail-related facilities for both non-motorized and motorized recreational trail uses. Although these funds are authorized by the Florida Department of Transportation (FDOT) through FHWA, it is the responsibility of the Florida Department of Environmental Protection to advise FDOT as to which projects to authorize, and to administer the projects. Statutory References SAFETEA-LU Section(s): 1101(a)(8), 1109 Other: 23 USC 104(h) & 206 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid highway obligation limitation. Apportionments must be used as follows 40 percent shall be used for recreational trail or related projects that facilitate diverse recreational trail use within a recreational trail corridor, trailside, or trailhead, regardless of whether the project is for diverse motorized use, for diverse non-motorized use, or to accommodate both motorized and nonmotorized recreational trail use. 30 percent shall be used for uses relating to motorized recreation. 30 percent shall be used for uses relating to non-motorized recreation.
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WPA Fund Code Use RECT fund code Eligible Use of Funds
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Funds are available to develop, construct, maintain, and rehabilitate trails and trail facilities. Trail uses include hiking, bicycling, in-line skating, equestrian use, cross-country skiing, snowmobiling, off-road motorcycling, all-terrain vehicle riding, four-wheel driving, or using other off-road motorized vehicles. Eligible activities include: Maintenance and restoration of existing recreational trails. Development and rehabilitation of trailside and trailhead facilities and trail linkages for recreational trails. Purchase and lease of recreational trail construction and maintenance equipment. Construction of new recreational trails, except that, in the case of new recreational trails crossing Federal lands, construction of the trails shall be o Permissible under other law; o Necessary and required by a statewide comprehensive outdoor recreation plan that is required by the Land and Water Conservation Fund Act of 1965 (16 U.S.C. 460l-4 et seq.) and that is in effect; o Approved by the administering agency of the State designated under subsection (c)(1), and o Approved by each Federal agency having jurisdiction over the affected lands under such terms and conditions as the head of the Federal agency determines to be appropriate, except that the approval shall be contingent on compliance by the Federal agency with all applicable laws, including the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.), the Forest and Rangeland Renewable Resources Planning Act of 1974 (16 U.S.C. 1600 et seq.), and the Federal Land Policy and Management Act of 1976 (43 U.S.C. 1701 et seq.). Acquisition of easements and fee simple title to property for recreational trails or recreational trail Corridors. Payment of costs to the State incurred in administering the program, but in an amount not to exceed 7 percent of the apportionment made to the State for the fiscal year to carry out this section, and Operation of educational programs to promote safety and environmental protection as those objectives relate to the use of recreational trails, but in an amount not to exceed 5 percent of the apportionment made to the State for the fiscal year. Assessment of trail conditions for accessibility and maintenance.
Eligible Grantees include private organizations, municipal, county, State, and Federal Government entities, and other government entities as approved by the State after considering guidance from the State recreational trail advisory committee established under subsection (c)(2), for uses consistent with this section. States are encouraged to enter into contracts and cooperative agreements with youth conservation and service corps to perform trail construction and maintenance. Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. Although the nominal federal share is stated above, Florida has the option to utilize toll credits to soft match these federal funds in lieu of providing matching funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. The Florida Department of Environmental Protection advises FDOT on which projects to use soft match when
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authorizing these federal funds. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share. Funds from other Federal programs outside the U.S. Department of Transportation may be used to fulfill the non-Federal share requirement, except that the combination of the U.S. DOT other Federal agency share may not exceed 95 percent. Upon approval, planning and environmental assessment costs incurred prior to project approval may be credited toward the non-Federal share cost of the project. Recreational Trails funds may be used to match other Federal program funds for purposes that would be eligible under the Recreational Trails program.
Section L: Forest Highways Program

Program Purpose The Federal Lands Highways program provides for transportation planning, research, engineering, and construction of highways, roads, and parkways and transit facilities that proved access to or within public lands, national parks, and Indian reservations. Included under the umbrella of Federal Lands Highways are the following programs: Indian Reservation Roads (IRR) (generally administered by the Bureau of Indian Affairs) Park Roads and Parkways (generally administered by the National Park Service) Refuge Roads (generally administered by the National Park Service), and (1) Public Lands Highways (PLH)
(1)
Includes the Public Lands Highways (PLH) Discretionary Program and the Forest Highways Program. The PLH Discretionary Program is described in another section of this chapter.
Forest highways are public roads that are owned by State or local agencies and serve the National Forest system. They should not be confused with forest development roads which are owned by the Forest Service. Forest highways are designated by FHWA's Federal Lands Highway Division Engineers in consultation with State department of transportation and local agencies and with the Forest Service. Forest Highway funds are administered out of the Eastern Federal Lands Highway Division in Sterling, Virginia. Statutory References SAFETEA-LU Section(s): 1119 Other: 23 USC 202, 203, 204 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. 66 percent of the allocated PLH funds shall be allocated for Forest Highway routes in accordance with the formula established in Section 134 of the 1987 STURAA with equal consideration given for funding roads providing access to and within the National Forest system determined by renewable resource and land use planning and the impact of such planning on transportation facilities.
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The other 34 percent goes to the Public Lands Highways Discretionary Program. WPA Fund Code Use PLH fund code Eligible Use of Funds
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Forest Highway funds may be used on eligible Forest Highway roads as defined in 23 U.S.C. 101 for the following purposes: Planning, research, engineering, highway construction and highway reconstruction, Transportation planning for programs to enhance tourism and recreational development, Adjacent vehicular parking areas, Interpretive signs, Acquisition of necessary scenic easements and scenic or historic sites, Pedestrian/bicycles off-road or on-road facilities including modification of existing public walkways to comply with the Americans with Disabilities Act, Construction and reconstruction of roadside rest areas, including sanitary and water facilities, Other appropriate facilities such as visitor centers.
SAFETEA-LU added: Up to $20 million per year nationally for maintenance of Forest Highways. $1 million per year nationally for signage identifying public hunting and fishing access.
The State highway agency must concur in the planning and selection of projects. Federal Share The federal share is 100 percent.
Section M: Highways for Life Pilot Program (new)

Program Purpose A new discretionary program that provides funding to demonstrate and promote state-of-the-art technologies, elevated performance standards, and new business practices in the highway construction process that result in improved safety, faster construction, reduced congestion from construction, and improved quality and user satisfaction. Statutory References SAFETEA-LU Section(s): 1101(a)(20), 1502 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. A State may obligate up to 10 percent its apportionments for one or more of the Interstate Maintenance, National Highway System, Congestion Mitigation and Air Quality Improvement or Surface Transportation programs for projects approved under the Highways for LIFE program.
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WPA Fund Code To be assigned when funds are made available. Eligible Use of Funds
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To participate in the program, States are required to submit an application that includes a description of the proposed project(s). Priority will be given to projects that: Address Highways for LIFE performance standards for quality, safety and speed of construction. Deliver and deploy innovative technologies, manufacturing processes, financing, contracting, and performance measures. Include innovation that will lead to change in the administration of the States transportation program. Are or will be ready for construction within 1 year of approval of the project proposal.
A project is eligible if it: Constructs, reconstructs or rehabilitates a route or connection on an eligible Federal-aid highway. Uses innovative technologies, manufacturing processes, financing or contracting methods that improve safety, reduce congestion due to construction, and improve quality. Meets additional criteria as determined by the Secretary.
The amount allocated for a Highways for LIFE project may be up to 20% but not more than $5 million, of the total project cost. For the period 2005 2009 at least 1 project in each State shall be approved for program participation, if possible. The maximum number of projects that may be approved in any 1 fiscal year is 15. Federal Share The Federal share for projects approved under this program may be up to 100 percent. Program funds may be applied to the non-Federal share of the cost of construction of a project under 23 USC. The Federal share for Technology Partnerships may be up to 80 percent.
Section N: Ferry Boats and Ferry Terminal Facilities

Program Purpose This discretionary program provides funding for the construction of ferry boats and ferry terminal facilities. Statutory References SAFETEA-LU Section(s): 1101(a)(13), 1801 Other: 23 USC 147 & 129(c) Funding/Formula Funded by contract authority, to remain available until expended. Funds are subject to the overall Federal-aid obligation limitation.
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In addition to the authorizations provided in section 1101, there is funding authorized from the General Fund of the Treasury of such sums as may be necessary to carry out the provisions of the program for fiscal years 2006 through 2009. These funds are subject to annual appropriation. [1801] WPA Fund Codes Use the FBD fund code Eligible Use of Funds Priority shall be given to projects that: Provide critical access to areas not well served by other modes of surface transportation Carry the greatest number of passengers and vehicles Carry the greatest number of passengers in passengers-only service
Funds shall be available to construct ferry boats and ferry terminal facilities within the States and territories of the United States. The ferry boat must operate on a route classified as a public road and not on the Interstate and be either publicly owned or operated or majority publicly owned. Except as permitted under 23 USC 129(c)(5), ferry operations cannot be operated in foreign or international waters. Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section O: Innovative Bridge Research and Deployment Program (name change) (Replaces Innovative Bridge Research and Construction Program)
Program Purpose The purpose of this discretionary program is to promote, demonstrate, evaluate, and document the application of innovative designs, materials, and construction methods in the construction, repair, and rehabilitation of bridges and other highway structures. The goals of the program include The development of new, cost-effective, innovative highway bridge applications; The development of construction techniques to increase safety and reduce construction time and traffic congestion; The development of engineering design criteria for innovative products, materials, and structural systems for use in highway bridges and structures; The reduction of maintenance costs and life-cycle costs of bridges, including the costs of new construction, replacement, or rehabilitation of deficient bridges; The development of highway bridges and structures that will withstand natural disasters;
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The documentation and wide dissemination of objective evaluations of the performance and benefits of these innovative designs, materials, and construction methods; The effective transfer of resulting information and technology; and The development of improved methods to detect bridge scour and economical bridge foundation designs that will withstand bridge scour.
A certain amount of funding each year will be obligated to conduct research and deploy technology related to high-performance concrete bridges. A certain amount of funding each year will be obligated to demonstrate the application of high-performing steel in the construction and rehabilitation of bridges. Statutory References SAFETEA-LU Section 5202(b) Other: 23 USC 503(b) Funding/Formula Funded by contract authority, to remain available until expended. Funds are subject to the overall Federal-aid obligation limitation. WPA Fund Codes Use the IBRC fund code. Eligible Use of Funds The research portion of the program allows for grants to States, other Federal agencies, universities and colleges, private sector entities, and non-profit organizations to pay the Federal share of the cost of research and development, and technology transfer concerning innovative materials. Under the construction portion, the program allows for cooperative agreements and contracts with the States to pay for the Federal share of the cost of bridge repair, rehabilitation, replacement, and new construction to demonstrate the application of innovative materials. The FHWA annually solicits candidates from State highway agencies. An FHWA panel determines whether candidate projects meet the program goals. Bridges on all public roads, including State and locally funded projects, are eligible. Additionally, funds may be used for preliminary engineering and the costs of evaluation of the innovative material performance over a reasonable time period. Federal Share The Federal share for projects approved under this program may be up to 100 percent.
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Section P: Interstate Maintenance Discretionary

Program Purpose IMD funds may be allocated to the States for resurfacing, restoring, rehabilitating, and reconstructing most existing routes or portions thereof on the Interstate System, including providing additional Interstate capacity. Statutory References SAFETEA-LU Section(s): 1101(a)(1), 1111 Other: 23 USC 119, 104(b)(4), 118(c) Funding/Formula Funded by contract authority, to remain available until expended. Funds are subject to the overall Federal-aid obligation limitation. WPA Fund Codes Use the IMD fund code. Eligible Use of Funds These funds are provided for resurfacing, restoration, rehabilitation and reconstruction of any route or portion thereof on the Interstate System. The funds could be used by any State that had: Obligated or demonstrated that it would obligate in the fiscal year all its Interstate Maintenance apportionments, except for amounts too small to pay the Federal share of the cost of a project for resurfacing, restoring, rehabilitating, or reconstructing the Interstate System which had been submitted for approval, and Indicated it was willing and able to obligate the funds within 1 year of the date they were made available, apply them to a ready to commence project, and, for construction work, begin work within 90 days of obligation.
Federal Share The Federal share is 90 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section Q: Public Land Highways

Program Purpose The Federal Lands Highways program provides for transportation planning, research, engineering, and construction of highways, roads, and parkways and transit facilities that proved access to or within public lands, national parks, and Indian reservations.
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Included under the umbrella of Federal Lands Highways are the following programs:
(1)
Indian Reservation Roads (IRR) (generally administered by the Bureau of Indian Affairs) Park Roads and Parkways (generally administered by the National Park Service) Refuge Roads (generally administered by the National Park Service), and (1) Public Lands Highways (PLH)
Includes the Public Lands Highways (PLH) Discretionary Program and the Forest Highways Program. The Forest Highways Program is described in another section of this chapter. A Public Lands Highway" as defined in 23 U.S.C. 101 is a forest road or any highway through unappropriated or unreserved public lands, nontaxable Indian lands, or other Federal reservations that is under the jurisdiction of and maintained by a public authority and open to public travel. Forest highways are public roads that are owned by State or local agencies and serve the National Forest system. They should not be confused with forest development roads which are owned by the Forest Service. Forest highways are designated by FHWA's Federal Lands Highway Division Engineers in consultation with State department of transportation and local agencies and with the Forest Service. Public Lands Highways funds are administered out of the Eastern Federal Lands Highway Division in Sterling, Virginia. Statutory References SAFETEA-LU Section(s): 1119 Other: 23 USC 202, 203, 204 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. 66 percent of the allocated PLH funds shall be allocated for Forest Highway routes in accordance with the formula established in Section 134 of the 1987 STURAA with equal consideration given for funding roads providing access to and within the National Forest system determined by renewable resource and land use planning and the impact of such planning on transportation facilities. 34 percent of the allocated PLH funds shall be allocated for the Public Lands Highways Discretionary Program for Public Lands routes, with preference being given to projects which are significantly impacted by Federal land and resource management activities proposed by States which contain at least 3 percent of the public lands in the Nation (i.e., Alaska, Arizona, California, Colorado, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, and Wyoming). WPA Fund Codes Use the PLHD fund code. Eligible Use of Funds Funds may be used on eligible Public Lands Highways and Forest Highway roads as discussed below and defined in 23 U.S.C. 101 for the following purposes:
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Planning, research, engineering, highway construction and highway reconstruction, Transportation planning for programs to enhance tourism and recreational development, Adjacent vehicular parking areas, Interpretive signs, Acquisition of necessary scenic easements and scenic or historic sites, Pedestrian/bicycles off-road or on-road facilities including modification of existing public walkways to comply with the Americans with Disabilities Act, Construction and reconstruction of roadside rest areas, including sanitary and water facilities, Other appropriate facilities such as visitor centers
SAFETEA-LU added: Up to $20 million per year nationally for maintenance of Forest Highways. $1 million per year nationally for signage identifying public hunting and fishing access.
The State highway agency must concur in the planning and selection of projects. Federal Share The federal share is 100 percent.
Section R: National Scenic Byways

Program Purpose The program recognizes roads having outstanding scenic, historic, cultural, natural, recreational, and archaeological qualities and provides for designation of these roads as National Scenic Byways, AllAmerican Roads or Americas Byways. Grants and technical assistance are provided to States and Indian tribes to implement projects on highways designated as National Scenic Byways, All-American Roads, Americas Byways, State scenic or Indian tribe scenic byways; and to plan, design, and develop a State or Indian tribe scenic byway program. Statutory References SAFETEA-LU Section(s): 1101(a)(12), 1802 Other: 23 USC 162 Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid obligation limitation. WPA Fund Codes Use the SB fund code Eligible Use of Funds Funds shall be available for: An activity related to the planning, design, or development of a State or Indian tribe scenic byway program;
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Development and implementation of a byway corridor management plan; Safety improvements to accommodate increased traffic; improvements that enhance access; protection of resources adjacent to the byway; Development and implementation of a marketing program; Development and provision of tourist implementation; and construction of bicycle and pedestrian facilities, interpretive facilities, overlooks and other enhancements for byway travelers.
Passing lanes are no longer an eligible use of funds. Federal Share The Federal share is 80 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section S: Transportation, Community, and System Preservation Program

Program Purpose The TCSP Program is intended to address the relationships among transportation, community, and system preservation plans and practices and identify private sector-based initiatives to improve those relationships. SAFETEA-LU eliminated TEA-21s pilot program and made this a permanent discretionary program. Statutory References SAFETEA-LU Section: 1117. Funding/Formula Funded by contract authority; funds are not transferable. Funds are subject to the overall Federal-aid highway obligation limitation. [1117, 1102] WPA Fund Codes Use the TCSP fund code. Eligible Use of Funds Funds may be used to carry out eligible projects to integrate transportation, community, and system preservation plans and practices that: Improve the efficiency of the transportation system of the United States. Reduce the impacts of transportation on the environment. Reduce the need for costly future investments in public infrastructure. Provide efficient access to jobs, services, and centers of trade. Examine community development patterns and identify strategies to encourage private sector development.
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Priority consideration will be given to applicants that:
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Have instituted coordinated preservation or development plans that promote cost-effective investment and private sector strategies, Have instituted other TCSP polices such as those addressing high-growth areas, urban growth boundaries, green corridors programs that provide access to major highway corridors for controlled growth areas, Address environmental mitigation, and Encourage private sector involvement.
Section T: Tolling Programs

General Program Purpose SAFETEA-LU offers States broader ability to use tolling on a pilot, or demonstration, basis, to finance Interstate construction and reconstruction, promote efficiency in the use of highways, and support congestion reduction. In addition to the expanded flexibility available under these four programs, the Value Pricing Pilot program provides grants for pre-implementation and implementation costs. Statutory References SAFETEA-LU Section(s): 1604 Other: PL 102-240 (ISTEA) 1012; PL 105-578 (TEA-21) 1216 1. Value Pricing Pilot Program Program Purpose This pilot program, initially authorized in ISTEA as the Congestion Pricing Pilot Program, is to encourage implementation and evaluation of value pricing pilot projects, offering flexibility to encompass a variety of innovative applications including area-wide pricing, pricing of multiple or single facilities or corridors, single lane pricing, and implementation of other market-based strategies. Funding/Formula Funded by contract authority, to remain available for 4 years. Funds are subject to the overall Federal-aid highway obligation limitation. WPA Fund Codes Use the VPPP fund code.
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Eligible Use of Funds
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Pre-implementation costs, project design, and all development and start-up costs are eligible project expenses. There is no change to the current limit of 15 pilot value pricing programs, all of which are underway. For these programs, a new set-aside of $3 million per year (2006-2009) is to be used only for congestion pricing pilot projects that do not involve highway tolls. Federal Share The Federal share is 80 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share. 2. Interstate System Reconstruction & Rehabilitation Toll Pilot Program SAFETEA-LU makes no revisions to the program as established under TEA-21. Thus, the program is continued, without change, to allow tolling on up to 3 existing Interstate facilities (highway, bridge, or tunnel) to fund needed reconstruction or rehabilitation on Interstate highway corridors that could not otherwise be adequately maintained or functionally improved. Each of the 3 facilities must be in a different State. 3. Interstate System Construction Toll Pilot Program Similar to the Interstate System R&R Pilot (above), this new program authorizes up to 3 toll pilot facilities on the Interstate System for the purpose of constructing new Interstate highways. Program features include the following: States or Interstate compacts of States are eligible to apply; There is no requirement that the facilities be in different States; Tolling must be the most efficient and economical way to finance the project, but it doesnt have to be the only way; A facility management plan must be submitted; Automatic toll collection is required; Non-compete agreements are prohibited -- a State may not enter into an agreement with a private entity that prevents the State from improving or expanding capacity of adjacent roads to address conditions resulting from diverted traffic; Revenues may be used only for debt service, reasonable return on investment of private entity, and operation and maintenance costs; regular audits will be conducted; Interstate Maintenance funds may not be used on the facility while it is tolled; Applications must be submitted within 10 years of enactment of SAFETEA-LU.
4. Express Lanes Demonstration Program This new demonstration programs permits tolling on selected demonstration projects to manage high levels of congestion, reduce emissions in a non-attainment or maintenance area, or finance added Interstate lanes for the purpose of reducing congestion. The Secretary is authorized to carry out 15 demonstration projects during the period from 2005-2009 to allow States, public authorities, or public or private entities designated by States to collect a toll from motor vehicles at an eligible toll facility for any highway, bridge, or tunnel, including on the Interstate.
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An eligible toll facility includes:
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A facility in existence on the date of enactment that collects tolls; A facility in existence on the date of enactment that serves high occupancy vehicles; A facility modified or constructed after the date of enactment to create additional tolled capacity (includes construction by a private entity or using private funds); and In the case of an added lane on a previously non-tolled facility, only the new lane.
Program features include: Variable pricing by time of day or level of traffic, as appropriate to manage congestion or improve air quality, is required if an HOV facility is tolled; for a non-HOV facility, variable pricing is optional; Motor vehicles with fewer than 2 occupants may be permitted to use HOV lanes as part of a variable toll pricing program; Automatic toll collection is required in express lanes to optimize free flow of traffic; and Toll revenue may only be used for debt service, reasonable rate of return on private financing, operation and maintenance costs, or any eligible title 23 or 49 project if the facility is being adequately maintained.
Section U: Work Zone Safety Grants (new)

Program Purpose This program will make grants to nonprofit and not-for-profit organizations to provide training to prevent and reduce work zone injuries and fatalities. Statutory References SAFETEA-LU Section: 1409 Funding/Formula Funded by contract authority, to remain available until expended. Funds are subject to the overall Federal-aid obligation limitation and are not transferable. WPA Fund Codes To be assigned when funds are made available. Eligible Use of Funds Grants may be used for: Construction worker training to prevent injuries and fatalities Development of guidelines to prevent work zone injuries and fatalities Training for State and local governments, transportation agencies, and other groups implementing these guidelines
Federal Share The federal share is 80 percent.
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Section V: Truck Parking Facilities (new)

Program Purpose The Truck Parking Facilities program is a pilot program that provides funding to address the shortage of long-term parking for commercial vehicles on the National Highway System. Statutory References SAFETEA-LU Section: 1305 Funding/Formula Funded by contract authority, to remain available until expended. Funds are subject to the overall Federal-aid obligation limitation and are not transferable. States, metropolitan planning organizations (MPOs), and local governments are eligible recipients of program funds. To receive funds, a State, MPO or local government must submit an application. WPA Fund Codes To be assigned when funds are made available. Eligible Use of Funds Funds shall be available for projects on the NHS that may include the following activities: Constructing safety rest areas that include commercial vehicle parking Constructing commercial vehicle parking facilities adjacent to commercial truck stops and travel plazas Opening existing facilities to commercial vehicles Promoting the availability of publicly or privately provided commercial vehicle parking on the NHS using ITS systems and other means Constructing turnouts for commercial vehicles Making capital improvements to public commercial vehicle parking facilities to allow year-round use Improve the geometric design of interchanges to improve access to parking facilities
Funding priority will be given to applicants that: Demonstrate a severe shortage of commercial vehicle parking in the corridor Have consulted with affected State and local governments, community groups, providers of commercial vehicle parking, and motorist and trucking organizations Demonstrate that their proposed projects are likely to have positive effects on highway safety, traffic congestion or air quality
Federal Share The Federal share is generally 80 percent, subject to the sliding scale adjustment, which is a 1.93% additive for Florida, for a total federal share of 81.93%. Certain safety improvements listed in 23 USC 120(c) have a Federal share of 100 percent. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department
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to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
Section W: Emergency Relief Program

Program Purpose [NOTE: Additional information on FHWAs Emergency Relief Program may be found in Part III, Chapter 10 of these instructions] The Emergency Relief program provides funds for the repair or reconstruction of Federal-aid highways and roads on Federal lands that have suffered serious damage as a result of natural disasters or catastrophic failure from an external cause. Examples of natural disasters include floods, hurricanes, earthquakes, tornadoes, tidal waves, severe storms, or landslides. A catastrophic failure is defined as the sudden and complete failure of a major element or segment of the highway system that causes a disastrous impact on transportation services. The failure must be catastrophic in nature. Additionally, in order to be eligible for ER, the cause of the failure must be determined to be external to the facility. Both conditions must be satisfied. ER funds are not intended to cover all damage repair costs nor interim emergency repairs costs that will necessarily restore the facility to pre-disaster conditions. State and local highway agencies must expect additional expenditures, changes in project priorities, and some inconvenience to traffic as a result of emergency conditions. State and local governments are responsible for planning and providing for extraordinary conditions. Economic hardship is not a factor in determining repair eligibility. Although there is no nationwide definitive monetary break point between what is considered routine and extraordinary repair expenses the FHWA has determined that eligible ER repair activities in a State in the range of $700,000 (Federal share) or more are usually significant enough to justify approval of ER funds. Statutory References SAFETEA-LU Section(s): 1112, 1937 Other: 23 USC 125 Funding/Formula The ER Program is funded by a permanent authorization of contract authority from the Highway Trust Fund with obligations not to exceed $100 million per year, available until expended, and exempt from the Federal-aid highway obligation limitation. 23 USC 125 In addition to the permanent authorization, SAFETEA-LU authorizes from the General Fund of the Treasury such sums as may be necessary to supplement the permanent authorization in years when Emergency Relief allocations exceed $100 million. Appropriation legislation would be necessary to make the additional funds available. [1112] WPA Fund Codes WPA Fund Codes are assigned as events occur and funding is made available. Eligible Use of Funds Roadways and bridges that are on a Federal-aid highway and that are damaged as a direct result of an approved natural disaster or catastrophic failure are eligible for ER funds. As a general rule, items that are eligible for participation as a part of a regular Federal-aid improvement project under Title 23 may be
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eligible under the ER program. Normally, eligible work must be within the Right of Way limits of the damaged Federal-aid highway facility. A minimum $5,000 in repair cost per site should be used to determine if the extent of repair work at a site is beyond the scope of heavy maintenance. All repair work falls under two major categories, namely emergency repairs and permanent repairs. Emergency repairs are those repairs during and immediately following a disaster to restore essential traffic, to minimize the extent of damage, or to protect the remaining facilities. These repairs can begin immediately following a disaster, and prior FHWA approval is not required. Properly documented costs will later be reimbursed once the FHWA Division Administrator makes a finding that the disaster is eligible for ER funding. Permanent repairs are those repairs undertaken (usually after emergency repairs have been completed) to restore the highway to its pre-disaster condition. Permanent repairs must have prior FHWA approval and authorization unless done as part of the emergency repairs. Federal Share The ER funds are available for permanent repairs and for work accomplished more than 180 days after an event at the pro rata Federal-aid share that would normally apply to the Federal-aid facility damaged. For Interstate highways, the Federal share is 90 percent. For all other highways, the Federal share is 80 percent. The Federal share can increase in States with high percentages of Federally owned public lands (known as sliding scale rates). Emergency repair work to restore essential traffic, minimize the extent of damage, or protect the remaining facilities, accomplished in the first 180 days after the occurrence of the disaster, may be reimbursed at 100 percent Federal share. During this 180-day period, permanent repair work is reimbursed at normal pro rata share unless permanent repair is performed as an incidental part of emergency repair work.
Section X: State Infrastructure Bank Program

Program Purpose SAFETEA-LU establishes a new State Infrastructure Bank (SIB) program under which all States, Puerto Rico, the District of Columbia, American Samoa, Guam, the Virgin Islands, and the Commonwealth of the Northern Mariana Islands are authorized to enter into cooperative agreements with the Secretary to establish infrastructure revolving funds eligible to be capitalized with Federal transportation funds authorized for fiscal years 2005-2009. States that established SIBs authorized by the NHS Designation Act and TEA-21 may continue to operate those SIBs. Floridas federal State Infrastructure Bank was established under this prior legislation. Florida has both a federally funded account and a state funded account within the State Infrastructure Bank. For additional information on Floridas SIB, see Chapter 33 of these Instructions. Statutory References SAFETEA-LU Section: 1602 Other: 23 USC 610
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Eligible Use of Funds
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SIBs provide various forms of non-grant assistance to public or private entities for eligible projects, including below-market rate subordinate loans, interest rate buy-downs on third party loans, and guarantees and other forms of credit enhancement. Any debt issued or guaranteed by the SIB must be of investment grade quality. Projects eligible under Title 23, United States Code, capital projects as defined in section 5302 of Title 49, United States Code and any other projects related to surface transportation that the Secretary determines to be appropriate are eligible for assistance from the SIBs. Both the initial credit assistance funded with Federal capitalization grants, including the required nonFederal match, and any assistance funded with loan repayments and other recycled funds are subject to the requirements of Titles 23 and 49, as applicable.
Section Y: Transportation Infrastructure Finance and Innovation Act (TIFIA)

Program Purpose The Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) established a federal credit assistance program which provides credit assistance to nationally or regionally significant surface transportation projects, including highway, transit and rail. The program is designed to fill market gaps and leverage substantial private co-investment by providing projects with supplemental or subordinate debt. The USDOT plans to award credit assistance on a competitive basis to project sponsors including, for example, State Departments of Transportation, transit operators, special authorities, local governments, and private consortia. Statutory References SAFETEA LU Section(s): 1601 Other: 23 USC 601-609 Program Products The TIFIA credit program consists of three types of financial assistance, designed to address requirements throughout a projects life cycle. Secured loans are direct Federal loans to project sponsors offering flexible repayment terms and providing combined construction and permanent financing of capital costs. Loan guarantees provide full-faith-and-credit guarantees by the Federal Government to institutional investors, such as pension funds, that make loans for projects. Lines of credit represent contingent sources of funding in the form of Federal loans that may be drawn upon to supplement project revenues, if needed, during the first 10 years of project operations.
Senior project obligations must receive an investment grade rating. The total amount of TIFIA credit assistance may not exceed 33 percent of eligible project costs (or, if the TIFIA credit does not receive an investment grade rating, the amount of senior project obligations). The TIFIA credit instrument must be supported in whole or in part from user charges or other dedicated non-Federal funding sources that also secure the project obligations. Credit assistance must be repaid within 35 years after the projects substantial completion.
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There is an annual application process to apply for TIFIA funds. All proposed applications should be st received by the Office of Financial Development no later than October 31 of each year. Earlier application is recommended. Exceptions to this date will be made on a case-by-case basis. For more information on TIFIA or assistance with the application process, contact the Office of Financial Development at 850-414-4455, or Suncom 994-4455. Funding Funded by contract authority, to remain available until expended, the funds are subject to the overall Federal-aid obligation limitation. Funds cover the subsidy cost (similar to a commercial banks loan reserve requirement) of TIFIA credit assistance. The annual amount of available credit assistance is a function of available contract authority. Dedicated Revenue Sources The TIFIA states that project financing shall be repayable, in whole or in part, from tolls, user fees and other dedicated revenue sources. The TIFIA also states that the sources of repayment funds for TIFIA credit instruments may include tolls, user fees and other dedicated revenue sources. (See 23 U.S.C. 182(a)(4), 183(c)(3), and 184(c)(4).). The USDOT interprets "dedicated revenue sources" to include such levies as tolls, user fees, special assessments, tax increment financing, and any portion of a tax or fee that produces revenues that are pledged for the purpose of retiring debt on the given project. The Secretary may accept general obligation pledges or corporate promissory pledges and will determine the acceptability of other pledges and forms of collateral as dedicated revenue sources on a case-by-case basis. The Secretary shall not accept a pledge of federal funds, regardless of source, as security for the TIFIA credit instrument. Eligible Use of Funds Any type of project eligible for Federal assistance through surface transportation programs under Title 23 or chapter 53 of Title 49, USC (highway projects and transit capital projects) is eligible for the TIFIA credit program. Eligibility is specifically extended to international bridges and tunnels as well as inter-city passenger bus and rail facilities and vehicles (including Amtrak and magnetic levitation systems). Eligibility for freight facilities is clarified and expanded to include: public freight rail facilities or private facilities providing public benefit for highway users; intermodal freight transfer facilities; access to such freight facilities and service improvements to such facilities including capital investment for intelligent transportation systems (ITS). Freight projects may involve the combining of private and public sector funds in private sector facility improvement. When located in a port terminal, only surface transportation infrastructure modifications necessary to facilitate direct intermodal interchange, transfer, and access into and out of the port are eligible. Each project must meet certain objectively measurable thresholds to qualify, several of which were lowered by SAFETEA-LU. A project must cost at least $50M or 1/3 of the States annual apportionment of Federal-aid highway funds whichever is less. For intelligent transportation system projects, the minimum cost is $15M. This threshold applies only to projects for which the ITS component is the central feature of the project and not an ancillary component. Freight projects with a common objective of improving the flow of goods may be combined to meet project thresholds. A project must be consistent with the States long-range transportation plan and be included in the State transportation improvement program (STIP). Recognizing that state transportation plans look as many as 20 years into the future and are often geared to setting general priorities rather than listing individual projects, the USDOT will implement the requirement for a projects inclusion in a State Transportation Plan as follows. At the time of submitting an
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application, each project sponsor must certify that the proposed project is consistent with the transportation plan(s) of the affected state(s). For projects in metropolitan areas, the project sponsor must also demonstrate that the project is included in the metropolitan transportation plan. In contrast to the more general long-range plan, the STIP focuses on specific projects that will be funded in the near term; STIPs typically look ahead no more than four years. The TIFIA statute requires that a TIFIA-assisted project appear in an approved STIP by the time that the USDOT enters into an agreement to make available the federal credit instrument. The USDOT interprets this requirement to mean that the project sponsor must demonstrate that the proposed project appears in the approved STIP before the USDOT will execute a term sheet authorizing the obligation of credit assistance for that project. Qualified projects meeting the initial threshold eligibility criteria will be evaluated and selected based on the extent to which they generate economic benefits, leverage private capital, promote innovative technologies, and meet other program objectives. Qualified projects must meet all the environmental and contractual requirements normally required of a Title 23 eligible project. WPA Programming Projects will not be programmed with TIFIA funds until an approved federal award is given. Use fund code TIFI and allocation type 1 on the projects programmed using TIFIA funds. The payback of TIFIA funds should be programmed using a phase of A8 and program number 85. No federal funds should be programmed on this phase. TIFI fund code should not be listed on the payback phase. The payback schedule should be in the application package. The amounts programmed for the payback of TIFIA funds must match the payback schedule.
Section Z: High Priority Projects Program

Program Purpose The High Priority Projects Program provides designated funding for specific projects identified in SAFETEA-LU. Statutory References SAFETEA-LU Section(s): 1101(a)(16), 1701, 1702, 1913, 1935, 1936,1102, Other: 23 USC 117 Funding/Formula Funded by contract authority, available until expended. The funds designated for a project in section 1702 are generally available only for that project, with some exceptions. Funds are made available at 20 percent per year for the years 2005 through 2009. Advance construction, using State funds until Federal funds are available, remains as an allowable method for States to construct high priority projects. The High Priority Projects program is subject to obligation limitation that is set aside specifically for this program. The limitation remains available until used.
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WPA Fund Codes Use the HPP fund code with the appropriate Demo ID specific to each project. Eligible Use of Funds
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The funds are available only for the activities described for each project in Section 1702 of SAFETEA-LU. Federal Share The federal share is 80%. Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share. Projects on the State Highway System HPP funds are allocated 20% per year from 2005 through 2009. However, these projects may be ready for production much earlier than when the last installment of funding is received in 2009. The Departments policy is to use Advance Construction (AC) funding for the total allocated amount, in order to accelerate the commencement of these projects. AC funds will be converted to HPP funds as expenditures occur. Due to congressional actions in annual federal appropriations acts, the final allocation amount will be less than the earmark amounts shown in the SAFETEA-LU legislation due to rescissions and obligation authority limitations. After receiving the final HPP installment in 2009, the amount of the AC funded portion of the project may end up being more than the final amount of HPP funds. In that case, there will not be enough HPP funds to convert all the AC funds on the project. This contingency must be addressed as part of contract provisions between the Department and the local government, if the project was earmarked for the benefit of a local government and is not a Department priority. How to deal with this contingency is at the election of each District Secretary. The District may (1) elect to use District allocated state funds to make up the difference in the final year of AC conversion, or (2) the District may require a local government to make up the difference with their own local funds, and the Agreement between the Department and the local government must make this clear at the beginning of the project. If this is a Local Agency Project (LAP), Exhibit E, form number 525-01040E should be attached to the LAP Agreement to incorporate this provision into the contract. Projects off the State Highway System HPP funds are allocated 20% per year from 2005 through 2009. However, these projects may be ready for production much earlier than when the last installment of funding is received in 2009. The Departments policy is to use Advance Construction (AC) funding for the difference between 80 percent of the total amount of the earmark amount (as shown in SAFETEA-LU) and what is received to date, in order to accelerate the commencement of these projects. AC funds will be converted to HPP funds as expenditures occur. If the local governments wishes to increase this amount, they will need to use local funds to cover the difference if they wish to start the project at the earliest opportunity, or wait until the last year of the act (2009) to start the project when the actual amount of federal funds for the project are known.
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Due to congressional actions in annual federal appropriations acts, the final allocation amount will be less than the earmark amount shown in the SAFETEA-LU legislation due to rescissions and obligation authority limitations. If, after receiving the final installment of funds in 2009, the final allocated amount of the earmark is greater than 80% of the amount shown in SAFETEA-LU, then the Department will make available the amount in excess of 80% after it is received in 2009. If the locals don't want to put up any of their money, and they want to start the project as soon as possible, then they will only have 80% of the SAFETEA-LU amount to authorize up front, and the job will have to be scoped to that amount. If the job is complete by the time we get the final year's allocation in 2009, then any excess funds received over and above the 80% will have to be returned to FHWA. Or they can wait to authorize the project until the last year of the act (2009) when the final awarded amount is known.
Section AA: Transportation Improvements

Program Purpose The Transportation Improvements provision provides designated funding for specific projects identified in SAFETEA-LU. Statutory References SAFETEA-LU Section(s): 1913, 1934, 1935, 1936, 1941,1949, 10210, 1102 Funding/Formula Funded by contract authority, available until expended. The funds designated for a project are generally available only for that project, with some exceptions. Funds are made available in the following manner: 10% in 2005, 20% for 2006, 25% for 2007, 25% for 2008 and 20% for 2009. [1934] Advance construction, using State funds until Federal funds are available, remains as an allowable method for States to construct high priority projects. The High Priority Projects program is subject to obligation limitation that is set aside specifically for this program. The limitation remains available until used. WPA Fund Codes Use the TIMP fund code with the appropriate Demo ID specific to each project. Eligible Use of Funds The funds are available only for the activities described for each project in section 1934 of SAFETEA-LU. Federal Share The Federal share is determined by 23 U.S.C. 120 (90% for projects on the Interstate, 80% for nonInterstate). Although the nominal federal share is stated above, Florida has elected to utilize toll credits to soft match these federal funds in lieu of matching with state funds. This, in essence, allows the Department
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to increase the federal share to 100% with no additional non-federal funds required. See the Soft Match section in this chapter for further information on use of toll credits for the non-federal share.
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CHAPTER 2: FINANCIAL PROVISIONS

Section A: Federal Obligation Limitation (a.k.a Obligation Authority)
Purpose A limitation is placed on Federal-aid highway and highway safety construction program obligations to act as a ceiling on the obligation of contract authority that can be made within a specified time period, usually a fiscal year, regardless of the year in which the funds are authorized. These limits are imposed in order to control the highway program spending in response to economic and budgetary conditions. Statutory References SAFETEA-LU Section(s): 1102, 1105, 8002 Other: 23 USC 110(a)(2), 251b)(1)(B) of the Balanced Budget and Emergency Deficit Control Act of 1985, as amended. Distribution of Limitation The majority of the limitation available for a single fiscal year is distributed among the States based on each States relative share of the total of apportioned funds subject to the limitation to all States for the fiscal year. [1102(c)(6)] Exempt Programs.Certain Federal-aid highway programsEmergency Relief, a portion of the new Equity Bonus, demonstration projects authorized prior to TEA-21, and balances from a portion of the old Minimum Guarantee and the old Minimum Allocation programare exempt from the obligation limitation. [1102(b)] 100% Programs.Prior to distribution, limitation is set aside for administrative expenses, the Highway Use Tax Evasion program, and the Bureau of Transportation Statistics at 100 percent of the funding available for these programs. Limitation is also set aside for the funds carried over from the prior year for allocated program [1102(c)(1)-(2)] Calculation of Ratio.After making the set-asides for the 100% programs described above, the ratio is calculated of the remaining obligation limitation to the remaining contract authority subject to the limitation for which limitation has not yet been set aside. Special Limitation.SAFETEA-LU continues the practice of providing special no year limitation that is available until used for certain programs and expands the list of such programs. A portion of the Equity Bonus also receives special limitation. Special limitation is not subject to the August Redistribution described below. [1102(c)(4) & (g)] Allocated Programs.As in TEA-21, allocated programs for which limitation has not been set aside in earlier steps of the distribution each receive limitation equal to the amount authorized for the program times the ratio. Contract authority in excess of the limitation provided is withdrawn (lopped off) from the program and combined with the amounts withdrawn from other allocated programs to be distributed to States by formula to be used like Surface Transportation Program funds. [1102(c)(5) & (f)] Formula Limitation.The remaining obligation limitation is distributed among the States based on each States relative share of the total of apportioned funds subject to the limitation to all States for the fiscal year. [1102(c)(6)]
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August Redistribution.The law provides for a redistribution in August of each year of the obligation limitation from those States or programs unable to obligate their shares of the limitation to States or programs that are able to obligate more than their initial shares of the limitation. Special Rules Research Programs.Obligation limitation for research programs authorized under section 5101(a) of SAFETEA-LU is available for 3 years. High Priority Projects.The treatment of obligation limitation for High Priority Projects is modified with obligation limitation assigned individually to High Priority Projects numbered 1-3676 and in aggregate to each State for projects numbered 3677-5173. Adjustment of the Obligation Limitation The special budgetary treatment accorded the highway program continues with funding levels based on estimated receipts to the Highway Account of the Highway Trust Fund. The levels will be adjusted as new receipt projections and actual receipts become available. Negative adjustments are possible, but will not be made in any year when, on October 1 of that year, the balance in the Highway Account of the Highway Trust Fund exceeds $6 billion. [1102(h), 1105, 8002]
Section B: Federal Highway Trust Fund and Taxes

Statutory References SAFETEA-LU Section(s): Title XI; 4121 Other: 26 USC; 1362 of Energy Policy Act of 2005 Extension of Highway-User Taxes SAFETEA-LU extends the imposition of highway-user taxes through September 30, 2011. These taxes consist of gallonage taxes on highway motor fuel and truck related taxes, including an annual tax on heavy vehicle use, a load rating-based tax on heavy truck tires and a retail sales tax on truck and trailer sales. The fuel taxes, with the exception of the 4.3 cents per gallon, the tire tax and the truck and trailer retail tax would have expired September 30, 2005. The heavy vehicle use tax would have expired September 30, 2006 having been extended in the Surface Transportation Extension Act of 2005. With the exception of certain alternative fuels (see below), the taxes are extended at the rates in effect prior to SAFETEA-LU enactment. [11101(a)] SAFETEA-LU extends provisions providing refunds and credits of fuel tax from the Highway Trust Fund. [11101(b)] The imposition of the Leaking Underground Storage Tank Trust Fund tax is extended without rate change. [1362 of the Energy Policy Act of 2005]. Alternative Fuels [11113] Effective October 1, 2006, excise tax rates for certain alternative fuels (previously referred to as special fuels in the Internal Revenue Code) are increased. Each of these fuels would be eligible for a credit per gallon for the alternative fuel, with the credit being paid from the General Fund. Excise tax rates would change as follows:
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Liquefied petroleum gas increases from 13.6 cents per gallon to 18.3 cents per gallon Liquefied natural gas increases from 11.9 cents per gallon to 24.3 cents per gallon Compressed natural gas increases from 48.54 cents per thousand cubic feet to a rate that is energy equivalent to gasoline
Transfer of Taxes to the Highway Trust Fund The deposit to the Highway Trust Fund of amounts equivalent to the proceeds of the highway-user taxes is extended through September 30, 2005. [11101(c)] Generally, the Leaking Underground Storage Tank Trust Fund receives 0.1 cent per gallon of the fuel tax, the Mass Transit Account of the Highway Trust Fund receives 2.86 cents per gallon and the Highway Account of the Highway Trust Fund receives the remainder. All proceeds of the non-fuel taxes are deposited in the Highway Account. The transfer of estimated motorboat gasoline taxes and taxes on small-engine fuel to the Sport Fish Restoration and Boating Trust Fund (SFRBT, formerly the Aquatic Resources Trust Fund) is extended. The Land and Water Conservation will continue to receive $1 million per year of motorboat gasoline receipts. Beginning October 1, 2005, no portion of the tax on motorboat gasoline will be retained by the General Fund. [11101(c)] Civil penalties pursuant to 49 USC 31138(d)(5) and 31139(f)(5) related to minimum financial responsibility for transporting passengers and property, respectively, will be deposited in the Highway Account of the Highway Trust Fund instead of in the General Fund. [4121] Expenditures from the Highway Trust Fund Authority to make expenditures from the Highway Account of the Highway Trust Fund for authorized purposes is extended through September 29, 2009, except for expenditures for administrative expenses, which may take place through September 30, 2009. For the Mass Transit Account, expenditure authority is extended through September 30, 2009. After the specified dates, expenditures from the Trust Fund are authorized only to liquidate obligations made before that date. Any other expenditure will cause the cessation of deposits of highway-user taxes to the Trust Fund. [11101(d)] Byrd Test The Byrd Test is intended to ensure that the Highway Account and the Mass Transit Account of the Highway Trust Fund are each maintained as a self-financing entity. It provides fiscal discipline while still allowing recognition of the slow spending nature of these predominantly capital programs, but limits the number of years of estimated future receipts that can be counted on. SAFETEA-LU modifies the provision to count receipts for 4 years into the future, instead of the current 2 years. [11102]
Section C: Guaranteed Funding

Purpose SAFETEA-LU extends the practice of establishing separate budget categories for highway and mass transit discretionary spending, establishing a budgetary firewall between each of those programs and all other discretionary programs. Statutory References SAFETEA-LU Section(s): 8001-8005, 1102, 1105
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Other: Sections 250-251 of the Balanced Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended; 23 USC 110 Features The highway category firewall includes the Federal-aid highway program obligation limitation and the contract authority for Highway Safety and Motor Carrier Safety in Titles II and IV of SAFETEA-LU. [8001, 250(c)(4)(B) of BBEDCA] The mass transit category firewall includes both the programs funded from the Mass Transit Account of the Highway Trust Fund and those funded from the General Fund. [8001, 250(c)(4)(C) of BBEDCA) If overall discretionary budget caps were in place (not so at the time of enactment of SAFETEA-LU), the highway and mass transit firewalls would protect the highway, highway safety, and transit programs that were within the firewalls from having to compete with other discretionary programs for room within those caps. Highway or transit program funding could still be reduced, but the reductions would not allow increases in other discretionary programs. This removes one of the principal motivations to restrict highway and transit spending in the budget /appropriations process. Funding for the programs is also protected by the Rules of the House of Representatives which specify that, It shall not be in order to consider a bill, joint resolution, amendment, or conference report that would cause obligation limitations to be below the level for any fiscal year set forth in section 8003 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, as adjusted, for the highway category or the mass transit category, as applicable. [8004, House Rule XXI, clause 3]. The highway category firewall is established based on assumptions about future receipts to the Highway Account of the Highway Trust Fund. Beginning with FY 2007, when newer projections of receipts and actual receipts become available, the highway category firewall is adjusted accordingly. To smooth out the effects of any adjustments, the calculated adjustment will be split over two years. When the firewall is adjusted, equal adjustments are made to highway contract authority (called Revenue Aligned Budget Authority) and the Federal-aid highway obligation limitation. While the adjustment can be either positive or negative, no negative adjustment will be made in fiscal year if, as of October 1 of that year, the balance in the Highway Account is more than $6 billion. [8002, 251(b)(1) of BBEDCA 1105(b), 1102(h)] The guaranteed amount for highways has two components: the amount within the highway category budgetary firewall, adjusted as described above, and the authorizations for programs exempt from the obligation limitationEmergency Relief and a portion of the Equity Bonus. [8003(a) and 1102(b)] The guaranteed amount for mass transit has a single componentthe firewall amount. There is no provision for adjusting the mass transit category firewall. [8003(b)] Revenue Aligned Budget Authority (RABA) Beginning in FY 2007, authorizations for Federal-aid highway and highway safety construction programs funded from the Highway Account of the Highway Trust Fund and the Motor Carrier Safety Assistance Program (MCSAP) will be adjusted whenever the highway firewall amount is adjusted to reflect changed estimates of Highway Account receipts. The additional authorizations are called RABA because they serve to align budget authority with the revised revenue. The adjustments to authorizations will be made in the same amounts and in the same years as the adjustments to the firewalls (see the Section Guaranteed Funding). [1105, 23 USC 110] If the adjustment is an increase, a portion of the increase in authorizations is reserved for the Federal-aid highway and highway safety construction programs allocated by the Secretary of Transportation programs that are not apportioned by statutory formulaand to the Motor Carrier Safety Assistance Program. The amount reserved is determined by calculating the ratio of the authorizations for these
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programs to total authorizations from the Highway Account for Federal-aid highway and highway safety construction programs and MCSAP and applying this ratio to the additional authorizations. The resulting amount is divided among the various allocated programs in the same proportion that those programs receive authorizations exclusive of RABA. [1105, 23 USC 110(a)] The remainder of the increased funding is distributed to the States proportional to their shares of Federalaid highway and highway safety construction apportionments from the Highway Account. Each States share is then divided proportionally among the following programs: Interstate Maintenance, National Highway System, Bridge Replacement and Rehabilitation, Surface Transportation Program, Highway Safety Improvement Program, and Congestion Mitigation and Air Quality Improvement. [1105, 23 USC 110(a)(2)] A negative adjustment (reduction) is possible, but no reduction will be made in a fiscal year if, as of October 1 of that year, the balance in the Highway Account is more than $6 billion. When a reduction is made, it is applied proportionally to all Highway Account authorizations for Federal-aid highway and highway safety construction programs (except Emergency Relief) and to the MCSAP. [1105(b)] Special rule for RABA in 2007.If the RABA is positive for 2007, the first call on the additional funds will be to increase States return on contributions to the Highway Account of the Highway Trust Fund to 92%. If any RABA remains after bringing the minimum rate of return up to 92% for all States, such funds would be distributed under the usual RABA procedures described above. If the amount of RABA is not sufficient to bring States up to a 92% return, all States with a return less than 92% (excluding RABA) are to receive a proportional share of the RABA. [1105(f)]
Section D: Use of Toll Credits toward Non-Federal Share (Soft Match)

Section 120 of Title 23, U.S.C., permits a state to use certain toll revenue expenditures as a credit toward the non-Federal matching share of all programs authorized by Title 23, (with the exception of Emergency Relief Programs) and for transit programs authorized by Chapter 53 of Title 49, U.S.C. This is in essence a "soft-match" provision that allows the federal share to be increased up to 100% to the extent credits are available. Effective July 1, 2011, all FHWA funded highway programs except for the Emergency Relief Program will be soft matched. Soft Match credits earned in previous years and those earned in future years will be used to avoid the state-matching portion on projects funded within these programs. Each eligible federalaid project that will be soft-matched will be funded at 100% federal-aid up to the funds available. Note that there are usually some non-participating costs that may need to be funded by state or local funds. These should be shown as associated funds in the Federal Authorization Management System. A portion of soft-match credits will also be used to fund the state or local share on transit projects managed by local transit agencies. The Central Public Transit Office should be contacted for more information on using soft match credits for transit projects.
Section E: Advance Construction Program

Program Purpose Under the conditions provided in 23 U.S.C. 115 , and discussed in more detail in 23 CFR 630G, "Advance Construction of Federal-Aid Projects," a State may request and receive approval to construct projects in advance of the apportionment of authorized Federal-aid funds. The project must meet all the normal federal requirements, as if it were being financed with federal funds. Like other projects using federal funds, the project must have an approved federal authorization prior to advertising or work commencing in order to be eligible for conversion to federal funds at a later date.
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For additional information on FDOTs use of the federal Advance Construction Program, see Part III, Chapter 1, Section E of these instructions. Statutory References 23 U.S.C. 115 23 CFR 630G Funding The total amount that may be advance constructed will be limited as follows: The Federal share of all advance construction projects (amount not converted to Federal-aid) cannot exceed the sum of the States current unobligated balance of apportionments plus the amount of Federal funds anticipated in the subsequent fiscal years of an approved STIP. Conversions An existing advance construction project may be converted to a regular Federal-aid project at any time provided that sufficient Federal-aid funds and obligation authority are available. The State may request a partial conversion where only a portion of the Federal share of project costs is obligated and the remainder may be converted at a later time provided funds are available. Only the amount converted is an obligation of the Federal Government. Eligible Use of Funds Any project eligible for federal participation under Title 23, U.S.C., is eligible for Advance Construction. Conversion may be to any category of funds for which the project is eligible. Federal Share The federal share is only applicable upon conversion to a regular federal fund.
Section F: Transferring Federal Funds

Flexible funding was one of the hallmarks of the Intermodal Surface Transportation Efficiency Act of 1991 st (ISTEA) that was continued under the 1998 Transportation Equity Act for the 21 Century (TEA-21) and under the SAFETEA-LU. These flexible funding provisions enable State and local governments, transit operators, and metropolitan planning organizations to more effectively meet their unique needs, and facilitate a multimodal approach to meeting transportation needs at both the statewide and metropolitan levels. The flexibility provisions of these transportation acts include: Broad highway/ transit eligibility within selected categories of major highway and transit programs Transfer of funds within the Federal-aid highway program to other programs with broader highway/transit eligibility; and Transfer of funds from FHWA to Federal Transit Administration (FTA) and vice versa.
Transfers from one Federal-aid Highway Program to Another If funds are transferred from one Federal-aid highway program to another, those funds then have the same eligibility as the program that they are transferred to. For example, Interstate Maintenance (IM)
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funds transferred to the Surface Transportation Program (STP) would have the same eligibility as STP funds. Interagency Transfers Following are a few important points to keep in mind when considering interagency transfers: Funds transferred to or from FHWA or FTA can be used only for purposes eligible under the original program that the funds are transferred from. Funds that are transferred from FHWA to FTA shall be administered under the requirements of the Chapter 53 of title 49, U.S.C. and funds transferred from FTA to FHWA shall be administered under the requirements of title 23, U.S.C., except that the non-Federal share for the original source of the funding applies to the transferred funds (see 23 U.S.C. 104(k) and 49 U.S.C. 5334(h)). For transit capital projects funded with National Highway System (NHS) funds under 23 U.S.C. 103(b)(6)(C) or STP funds under 23 U.S.C. 133(b)(2), applicable Chapter 53 statutory requirements (e.g., Employee protective arrangements (49 U.S.C. 5333(b)), Charter bus transportation services (49 U.S.C. 5323(d)), etc.) must be complied with even if the funds are not transferred to FTA for administration under Chapter 53. If the funds will be administered by the FHWA for such capital projects, the FHWA Division should work with the FTA Regional Office to determine which Chapter 53 provisions apply and how. To transfer funds from FHWA to FTA, the State transportation department must request that the funds be transferred, with the concurrence of the Metropolitan Planning Organization (MPO) if the project is within a metropolitan planning area, in a letter to the FHWA Division Office. In a Transportation Management Area (TMA), the MPO may elect to transfer portions of its FTA Section 5307 funds that cannot be used for operating assistance to FHWA for highway projects subject to the requirements of 49 U.S.C. 5307(b)(2). To transfer 49 U.S.C. 5307 funds from FTA to FHWA, the MPO must submit a request to the FTA Regional Office with a certification that: (1) Americans with Disabilities Act (ADA) needs have been met, (2) notice and opportunity for comment and appeal have been provided to affected transit providers, and (3) local funds used for the non-Federal match are eligible to provide assistance for either highway or transit projects. Funding transfers are permitted only for projects contained in an approved metropolitan transportation improvement program (TIP) and/or statewide transportation improvement program (STIP).
FDOT Process to Transfer Funds from FHWA to FTA The Federal Aid Management Office sends out a quarterly email to the District Federal Aid Coordinators requesting all FTA transfers anticipated to be needed for the next quarter (three months). The district must submit the following required information to their District Representative in the Federal Aid Management Office for an FTA transfer to be processed: Work Program Financial project number FTA grant recipient name and grant number Federal Appropriation Category STIP page number where the project is listed Amount of requested transfer
An official memorandum will be prepared by the Federal Aid Management Office requesting FHWA to transfer the funds to FTA. Districts will be notified by email when the transfers are complete. Documentation is required to confirm the correct FTA Grant Number. Districts shall provide documentation as shown in the SAMPLE on the next page for each grant for which funds are requested to be transferred.
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Transfer of FHWA funds to FTA for ITS Projects FTA has provided the following information on this process:
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The applicant electronically submits earmark integration application as directed in the earmark guidance document. The application goes to FHWA and if it's determined to be a transit project, the application is forwarded to FTA's regional office for the initial review. Then the application comes to this office (FTA's Headquarters ITS office for secondary review), and sometimes additional clarification of certain portions of the application may be necessary. If all looks well, the application is approved for further processing and an e-mail is sent to FTA's regional offices stating that project is approved and the transfer of funds process will now begin. Next, this office requests that FHWA/ITS-JPO transfer the fund to FTA Headquarters. We, in turn, request that the FTA Regional Offices provide TEAM a project number so that FTA's Headquarters budget office can transfer funds to the appropriate project in the regional offices once the funds are received from FHWA. A small percentage of the time, some projects are managed at FTA Headquarters. The review and transfer of funds does not happen quickly. But review and approval of the application, and transfer of funds does happen as quickly as we can get everything processed.
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SAMPLE DOCUMENTATION FOR FTA TRANSFER
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Transfer Provisions by Program Category
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The tables below show which Federal-aid highway programs have eligible transit activities and those programs that do not, but where funds may be transferred to another program that does have such eligibility. These tables also list Federal transit programs that may be used for highway related activities. FHWA and FTA Funds That May be Used for Either Highway or Transit Purposes Federal Highway Administration Programs Primary Purpose Eligible Transit Activities Transfer Among Title 23 Programs None. Interagency Transfer Considerations May be transferred to FTA at the request of the State DOT to be combined with 49 U.S.C. 5305(d) metropolitan planning funds as a consolidated planning grant. SPR funds for planning may be transferred to FTA at the request of the State DOT to be combined with 49 U.S.C. 5305(e) statewide planning funds as a consolidated planning grant. The 25% of SPR funds that can only be used for RD&T may not be transferred. May be administered by FHWA or may be transferred to FTA for transit projects eligible for NHS funds under 23 U.S.C. 103(b)(6).
Metropolitan Planning (PL) (23 U.S.C. 104(f) To carry out the 49 U.S.C. 5303 metropolitan metropolitan transportation planning process transportation planning process under 23 U.S.C. 134.
Statewide Planning& Research (SPR) (23 U.S.C. 505) Highway and 49 U.S.C. 5305 statewide None. transit planning; transportation planning process; statewide public transportation transportation management systems under 23 planning under 23 U.S.C. 303. U.S.C. 135; metropolitan transportation planning under 23 U.S.C. 134. National Highway System (NHS) (23 U.S.C. 103) Improvements to Transit improvements within a Up to 50% of funds rural and urban NHS corridor, subject to may be transferred roads that are part statutory conditions set in 23 to CMAQ, STP, IM, of the NHS or that U.S.C. 103 (b)(6)(C); HSIP, RTP, and/or are NHS transportation planning in HBRRP. Intermodal accordance with 23 U.S.C. 134 connectors. & 135; fringe and corridor Up to 100% of NHS parking facilities; carpool and funds may be transvanpool projects; public ferred to STP if transportation management approved by the systems under 23 U.S.C. 303; Secretary and if publicly owned intracity and sufficient notice and intercity bus terminals. opportunity for public comment is given. Equity Bonus (EB) (23 U.S.C. 105) Same as STP. Same as STP. None. Interstate Maintenance (IM) (23 U.S.C. 119) Resurfacing, No direct transit uses. Up to 50% of funds restoring, may be transferred rehabilitating, and to NHS, CMAQ, reconstructing on STP, HSIP, RTP, the Interstate. and/or HBRRP.
Same as STP. Must first be transferred to another 23 U.S.C. program that has transit eligibility before the funds may be transferred to FTA.
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Surface Transportation Program (STP) (23 U.S.C. 133) Construction, Capital costs of transit projects Up to 50% of the STP May be administered by reconstruction, that are eligible under Ch. 53 funds may be FHWA or may be rehabilitation, of 49 U.S.C., including vehicles transferred to NHS, transferred to FTA for resurfacing, and facilities, publicly or CMAQ, HSIP, IM, transit projects eligible for restoration, and privately owned, that are used RTP, and/or HBRRP, STP funds under 23 operational to provide intercity bus service; except that funds U.S.C. 133(b). improvements for carpool projects and fringe & suballocated under 23 highways and corridor parking facilities; U.S.C. 133(d)(3) for bridges including transit safety infrastructure use in areas of a State construction or improvements and programs; may not be transferred reconstruction transit research, development to other 23 U.S.C. necessary to and technology transfer; programs. accommodate surface transportation planning other programs; public transportation transportation management systems under modes. 23 U.S.C. 303. Surface Transportation Program Transportation Enhancements Set-aside (TE) (23 U.S.C. 133(d)(2)) 12 specific Although transit is not Up to 25% of the May be administered by activities included specifically mentioned in the increase above the FHWA or may be in the definition of list of 12 eligible TE activities, FY97 Transportation transferred to FTA for TE Transportation some of the eligible TE Enhancements or projects that benefit Enhancement activities benefit transit. Safety amount may be transit. Activities in 23 transferred to NHS, U.S.C. 101(a)(35). CMAQ, IM, HSIP, RTP, and/or HBRRP. Highway Bridge Replacement and Rehabilitation (HBRRP) (23 U.S.C. 144) Replace and No direct transit uses. Up to 50% of funds Must first be transferred to rehabilitate may be transferred to another 23 U.S.C. deficient highway NHS, CMAQ, STP, IM, program that has transit bridges and to HSIP, and/or RTP. eligibility before the funds seismically retrofit may be transferred to bridges located on Transfer of any FTA. any public road. HBRRP funds after September 30, 1997, will result in deduction of the amount of the transfer from the total cost of deficient bridges in the State and all States in the succeeding fiscal year. Funds provided for Off-System bridges may not be transferred to other 23 U.S.C. programs without a needs determination (23 U.S.C. 144(g)(3)).
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Construction of Ferry Boats & Ferry Terminal Facilities (23 U.S.C. 147) Construction of ferry boats and Passenger ferry None May be administered by ferry terminal facilities in boats & terminal FHWA or may be accordance with section 129(c). facilities. transferred to FTA for Priority in the allocation of funds transit projects eligible is to be given to those ferry under 23 U.S.C. 147. systems, and public entities responsible for developing ferries, that(1) provide critical access to areas that are not well-served by other modes of surface transportation; (2) carry the greatest number of passengers and vehicles; or (3) carry the greatest number of passengers in passenger only service. Highway Safety Improvement Program (HSIP) (23 U.S.C. 148) To achieve a No direct transit uses. Up to 50% of HSIP Must first be transferred significant reduction in funds apportioned to another 23 U.S.C. traffic fatalities and under 23 U.S.C. 104 program that has transit serious injuries on may be transferred to eligibility before the funds public roads. NHS, CMAQ, STP, IM, may be transferred to RTP, and/or HBRRP; FTA. the annual set-aside for 23 U.S.C. 130, Railhighway crossings, may not be transferred. Congestion Mitigation and Air Quality Improvement Program (CMAQ) (23 U.S.C. 149) Projects in nonTransit capital projects and An amount not to May be administered by attainment and mainoperating expenses for exceed 50 percent of FHWA or may be tenance areas that new services. Operating the difference between transferred to FTA for reduce transportation assistance is limited to the States annual transit projects eligible for related emissions. new or expanded transpor- apportionment and the CMAQ funds under 23 tation services and to 3 amount the State would U.S.C. 149(b). years. have received if the CMAQ program was Funds may only be used in authorized at $1.35 nonattainment and mainbillion for that year may tenance areas and projects be transferred to Up to must demonstrate an air 50% of funds may be quality benefit. transferred to NHS, STP, IM, HSIP, RTP, States without nonattainand/or HBRRP. Funds ment or maintenance transferred to other title areas may use their 23 programs must still minimum apportionment of be expended within the CMAQ for any project in States nonattainment the State eligible under or maintenance areas. either CMAQ or STP.
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Federal Lands Highways Program (FLHP) (23 U.S.C. 204) Coordinated program of public May be used for transit None. May be administered roads and transit facilities facilities within, by FHWA or may be serving Federal and Indian adjacent, or providing transferred to FTA for lands. Funding is broken into 4 access to public lands, transit projects eligible discrete sources: Indian national parks, for FLH funds under Reservation Roads (IRR); national forests, refuge 23 U.S.C. 204(h). Public Lands Highway roads, and Indian Discretionary & Forest reservations. Highways; Parkways & Park Roads; Refuge Roads Refuge roads category funds may not be used for new construction and transit. Recreational Trails Program (RTP) (23 U.S.C. 206) Develop and maintain No direct transit uses. Up to 50% of funds Cannot be transferred recreational trails and trailmay be transferred to to FTA. related facilities for both NHS, CMAQ, STP, IM, nonmotorized and motorized HSIP, and/or HBRRP, recreational trail uses. subject to approval of the State agency administering the RTP. Transportation, Community, and System Preservation Program (TCSP) (S-LU Sec. 1117, formerly TEA-21 Sec. 1221) Provides funding for a Transit projects that None. Given the specific comprehensive program to meet the purpose of prohibition on transfer facilitate the planning, the TCSP that are: within section 1117(g) development, and 1. Eligible under Title the reach and intent implementation of strategies to 49 U.S.C., Ch. 53. of the no transfer integrate transportation, 2. Transit activities language within community, and system relating to TCSP 1117(g) versus the preservation plans and that the Secretary authority to transfer in practices that: determines to be general under 23 1. Improve the efficiency of appropriate, U.S.C. 104(k) needs the transportation system including corridor to be examined within of the United States. preservation HCC 2. Reduce the impacts of activities that are transportation on the necessary to environment. implement: 3. Reduce the need for costly a. Transitfuture investments in public oriented infrastructure. development 4. Provide efficient access to plans, jobs, services, and centers b. Traffic calming of trade. measures, or 5. Examine community c. Other development patterns and coordinated identify strategies to TCSP encourage private sector practices. development
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Coordinated Border Infrastructure Program (CBIP) (S-LU Section 1303) To improve the safe Improvements to existing None. movement of motor transportation and supporting vehicles at or across the infrastructure that facilitate border between the cross-border vehicle United States and movements (for highway or Canada and the border transit projects). between the United States and Mexico. Nonmotorized Transportation Pilot Program (S-LU Sec. 1807) To demonstrate the Sidewalks, bicycle lanes, and None. extent to which bicycling pedestrian and bicycle paths and walking can carry a that connect directly to transit significant part of the stations. transportation load, and represent a major portion of the transportation solution, within 4 identified communities. Federal Transit Administration Programs Eligible Highway Transfer Among Primary Purpose Categories Title 49 Programs Metropolitan Planning Program (MPP) (49 U.S.C. 5305(d)) To carry out the 23 U.S.C. 134 metropolitan None. metropolitan transportation planning transportation planning process process under 49 U.S.C. 5303.
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Cannot be transferred to FTA.
Cannot be transferred to FTA.
Interagency Transfer Considerations May be transferred to FHWA at the request of the State DOT to be combined with 23 U.S.C. 104(f) metropolitan planning funds as a consolidated planning grant; FHWA matching ratio may be used for MPP funds in a consolidated planning grant (CPG). SPR funds for state planning may be transferred to FHWA at the request of the State DOT to be combined with 23 U.S.C. 505 statewide planning funds as a consolidated planning grant FHWA matching ratio may be used for SPR funds in a consolidated planning grant (CPG)..
Statewide Planning & Research (SPR) (49 U.S.C. 5305(e) To carry out the 23 U.S.C. 135 statewide None. provisions of 49 U.S.C. transportation planning sections 5304, 5306, process. 5315, and 5322.
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Urbanized Area Formula Grants (Section 5307) Transit capital and planning assistance to urbanized areas with populations over 50,000 and operating assistance to areas with populations of 50,000 - 200,000. In a Transportation Management Area, the MPO may elect to transfer portions of its FTA Section 5307 (Urbanized Area Formula Grants) funds that cannot be used for operating assistance to FHWA for highway projects subject to the requirements of 49 U.S.C. 5307(b)(2). Funds apportioned to the Governor under Section 5307 may be transferred to the Nonurbanized Formula Program (Section 5311).
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FTA funds must be transferred to FHWA if they are to be used for highway purposes. Only funds in designated TMAs (urbanized areas with population 200,000 and greater) that cannot be used for operating assistance may be made available for highway projects.
Beginning in FY 2007, FTA is requiring flexed fund transfers to be in separate and identifiable grants in order to ensure the draw down of flexed funds can be tracked and that liquidating cash can be secured from the Federal Highway Administration to avoid deficiencies in the Formula and Bus Grants account. FHWA planning funds transferred to Consolidated Planning Grants (CPG) within FTA will be transferred separately from FHWA flex fund transfers and use the methodology established in FY 2006. CPG funds can only be combined with FTAs FY 2006 or FY 2007 funds. The following guidance was provided by FTA for transfers beginning in FY 2007: Beginning with 2007 Highway Flex Fund transfers: You cannot mix flex funds with 1) earlier flex funds (those transferred in previously years) or 2) FTA funds of any year. Flexed funds transferred to the Urbanized Area Program - 2007.45.95.(CX or SX).2 cannot be combined with FTA Urbanized Area Program (sec 5307) funds coded: 2007.25.90.91.2 for any year. Flexed funds transferred to the Non-urbanized Area Program - 2007.45.85.(CX or SX).2 cannot be combined with FTA Non-urban Area Program (sec 5311) funds coded 2007.25.18.81.2 for any year. Flexed funds transferred to the Elderly and Persons with Disabilities Programs 2007.65.(CX or SX).2 cannot be combined with FTA Elderly and Persons with Disabilities funds coded 2007.25.16.00.2 for any year. CMAQ and STP can be in the same grants if transferred to the same program section 5307 95, or section 5310 65, or section 5311 85. Flex funds transferred in FY 2006 (2006.25.90.(CX or SX).2 cannot be combined with flex funds transferred in FY 2007 (2007.45.95.CX or SX).2. FY 2004 and FY 2005 FTA or flex funding cannot be combined with FTA funds or Flex funds of any year after FY 2005. All flexed funds transferred in FY 2007 must be in new grants with the new appropriation code 45 and section code 65 for Elderly and Disabled, 85 for Non-urban formula, 95 for Urban area formula or 55 for Bus and bus related.
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Urbanized Area Formula Flex: 2007.45.95.CX.2 (CMAQ) 2007.45.95.SX.2 (STP) 2007.45.95.EX.2 (Other) Example project #: AL-95-X001 Non-urbanized Area Formula Flex: 2007.45.85.CX.2 (CMAQ) 2007.45.85.SX.2 (STP) 2007.45.85.EX.2 (Other) Example project #: AL-85-X001 Elderly / Disabled Flex: 2007.45.65.CX.2 (CMAQ) 2007.45.65.SX.2 (STP) 2007.45.65.EX.2 (Other) Example project #: AL-65-X001 Transfers to Bus Program: 2007.45.55.EX.2 Example project #: AL-55-0001
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FHWA planning funds transferred to FTA as Consolidated Planning Grants (CPG) will be coded similar to FY 2006. CPG transferred in FY 2007 can be combined with FTA and/or FHWA FY 2006 or later funds. CPG funds transferred cannot be combined with funds transferred in FY 2005 or prior years. FY 2007 funds will be coded as 2007.25.81.MM.2 for Metropolitan Planning or 2007.25.81.SS.2 for Statewide Planning funds. Pool Fund Transfers and Transfers to Other Agencies (other than Federal Transit Administration) The Transportation Pooled Fund (TPF) Program has existed for more than 20 years and is a popular means by which the states, commercial entities, and FHWA program offices can combine resources to achieve common research goals. Pooling resources reduces marginal costs, provides efficient use of taxpayer dollars, and provides greater benefits to participating interests compared to individual entities contracting on their own. The program developed through ad hoc processes until 1999 when FHWA led a workshop to Reengineer the TPF Program. This led to development of a web site for managing solicitations, for participant pledging, and for TPF progress reporting. With many of the coordinating issues addressed and because of increasing use of the TPF Program, awareness of other issues emerged including policy, fiscal, and collaboration tools. In Florida, the program is generally administered through the Departments Research Center, in Central Office. In accordance with the Transportation Pooled Fund accounting procedures established by Federal Highway Administration, Office of the CFO in November 2007, transfers are no longer accomplished through the Federal Authorization Management System (FAMS) and transmitted to FHWAs Fiscal Management Information System (FMIS) through a traditional project authorization. The Work Program estimate should be set up with an allocation type 6 transfer and the box item reduced accordingly. A transfer form will be completed by the Research Center staff in accordance with the information published on www.pooledfund.org for projects that the Department has committed to participate in and submitted to the Federal Aid Management Office (FAMO).
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There are two FHWA Forms for transferring funds to a Lead Agency. Form FHWA 1575 is used to transfer funds to a State that is a lead agency. Form FHWA 1576 is used to transfer funds to FHWA as the lead agency. Both forms are available from the www.pooledfund.org website. Once the form is submitted to FAMO, it is checked for accuracy, maximization of the oldest fund, signed and processed for further handling to FHWA. The Florida Division reviews the request and submits it to Headquarters. Once processed, the FMIS team adjusts the account balance and limitation data accordingly. Each morning, FAMO performs reconciliation and will bypass a transaction through FAMS so that the record is processed in Work Program to be shown as authorized and as a use of funds on the Production Accomplishment Report (PAR). Federal Aid Numbers Assigned with Route Identifiers such as NPST (National Park Service Transfer) and USFW (United States Fish and Wildlife) have also been processed on a very limited basis to perform similar transactions in accordance with the Anti-deficiency Act. For information, please contact the Federal Aid Management Office. This process requires a special tri-party agreement and District Secretary signature.
Section G: Federal Indirect Costs

The EBOH fund code will be used to finance indirect costs. The approved rates will be applied to the direct charges and the indirect costs will be distributed to the x9 phase for each phase group (i.e.: 39 for PE phases, 59 for construction phases and 69 for CEI phases). All new authorization requests submitted in the Federal Authorization Management System (FAMS), must include the x9 phases and must be updated to authorize the current estimate at each modification. These Authorization Requests (AR) should use Advanced Construction (AC) for the x9 phases. Projects that began prior to the implementation of authorizing indirect phases on the project are not required to have the indirect authorized prior to closing for any project reaching the Ready Final Voucher (RFV) status st through September 30, 2008. Beginning October 1 2008, each modification must include the x9 and projects must have the indirect authorized and converted prior to closing. Periodically, these Ready Final Voucher projects will have the indirect costs converted to EB with an OH distribution area, so that the projects may close. Several times throughout the year these indirect phases will be AC converted and used as a cash management tool. Additional detail will be forthcoming as this new process evolves. The Office of Information Systems has an enhancement to FAMS on their work plan to automatically generate the indirect pending authorizations based on the direct phase modifications (i.e.: when an AR is pulled on the 32 the AR on the 39 will automatically be created).
Section H: Inactive Federal Projects

Title 23 Code of Federal Regulations (CFR) 630 Subpart A, Project Authorization and Agreements, requires a quarterly review of inactive projects and revision of Federal funds to reflect the current cost estimate within 90 days based on the following criteria: Projects inactive for the past 12 months with unexpended balances of more than $500,000, Projects inactive for the past 24 months with unexpended balances of $50,000 to $500,000, and Projects inactive for the past 36 months with unexpended balances less than $50,000.
The review of inactive projects is part of FHWAs Financial Integrity Review and Evaluation (FIRE) Program. A report of the inactive projects, called the FIRE Report, is posted to the Office of Work Programs Sharepoint site quarterly. The FHWA Division Office shall work with the State to determine the validity of the amount obligated for each project. The FHWA will issue a Notice of Intent to Deobligate based on the review. The State shall be given an opportunity to respond before any action is taken to
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deobligate projects. The FHWA shall not adjust obligations without a States consent during the August redistribution process, August 1 to September 30. The following information regarding the FIRE Program for inactive projects can be found on the Office of Work Program Sharepoint site: The Financial Integrity Review and Evaluation (FIRE) Process for the review of inactive projects (under Documents-Federal Aid Management). The FIRE Report Schedule outlining the activities and due dates (under Documents-Federal Aid Management). The FIRE Report of inactive projects (under Applications/Reports-Work Program Applications-Federal Project Information). The Notice of Intent to Deobligate letters (under Documents-Federal Aid Management).
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CHAPTER 3: FEDERAL STEWARDSHIP

Section A: FHWA Oversight Program
Under Section 106(c) of Title 23, U.S.C., the State may, for certain types of projects, assume the responsibilities of the Secretary under this title for design, plans, specifications, estimates, contract awards, and inspections of projects, under certain conditions. This assumption of responsibilities FDOT assumes is set forth in the Partnership Agreement between FHWA and FDOT which addresses the administration of Federal-aid highway projects exempt from FHWA oversight. The Partnership Agreement provides for a risk-based approach where FDOT and FHWA agree on how the Federal Aid Highway Program (FAHP) will be administered in Florida. The Partnership Agreement is the documentation of the delegations, under 23 U.S.C., Section 106, from direct Federal oversight that are desired and accepted by both FHWA and FDOT. Notwithstanding the Agreement, FHWA retains overall responsibility for all aspects of Federal-aid programs and an agreement does not preclude FHWAs access to and review of a Federal-aid project at any time and does not replace the provisions of Title 23, U.S.C. The procedure for project selection is set forth in Topic No. 700-000-005, FDOT procedures, and can be downloaded at http://www2.dot.state.fl.us/proceduraldocuments/procedures/bin/700000005.pdf. Annually, during the period from July through September, FHWA and FDOT will negotiate which new projects will be selected for full oversight by FHWA. FHWA Transportation Engineers will coordinate the project selection with their assigned FDOT District Office. The criteria for project selection are set forth in Section 1.3 of the procedure, Selection of FHWA Oversight Projects. FHWA will continue to be responsible for the oversight of applicable non-Title 23 U.S.C. requirements. All federally funded projects must comply with applicable non-Title 23 requirements. The requirements can be found in Section 1.4.4 Non-Title 23 Responsibility of the procedure.
Section B: Use of Federal Funds on Tolled Roads, Bridges

Highway funds may be obligated on toll roads, bridges, tunnels and ferries as provided for in Title 23 U.S.C. (Section 129). However, before federal participation on these facilities is permitted the public authority (including the State Transportation Department) having jurisdiction must enter into a Section 129 Agreement with the Federal Highway Administration (FHWA). The purpose of the Section 129 Agreement is to provide that all toll revenues received from operation of the toll facility will be used first for debt service, for reasonable return on investment of any private person financing a project, and for the costs necessary for the proper operation and maintenance of the toll facility, including reconstruction, resurfacing, restoration and rehabilitation. If the state or local public authority certifies annually that the toll facility is being adequately maintained, any toll revenues in excess of amounts required above may be used for any purpose for which federal funds may be obligated under Title 23 U.S.C. Once the local public authority and the Department execute the agreement, it must be forwarded to the Office of Financial Development, M.S. 7, in the Central Office for transmittal to the Federal Highway Administration (FHWA) for execution. When the agreement is executed by FHWA it will be returned to the Office of Financial Development for distribution.
Section C: Financial Plans for Major Federal Projects

Section 1305(b) of TEA-21 modified Section 106 of Title 23, USC, by adding subsection (h) which requires A recipient of federal financial assistance for a project with an estimated total cost of
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$1,000,000,000 or more shall submit to the Secretary of the USDOT an annual financial plan for the project. The act requires that the plan be based on detailed annual estimates of the cost to complete the remaining elements of the project and on reasonable assumptions of future increases in the cost to complete the project. The Department has received guidance from FHWA to comply with this requirement. USDOTs Financial Plan Guidance presents an outline for the Initial Financial Plan and for the Annual Updates. SAFETEA-LU creates more program oversight with lower project size thresholds. The Legislation lowers the threshold for increased oversight and financial reporting on MAJOR PROJECTS from $1 billion to $500 million. In addition, OTHER PROJECTS of $100 million or more with Federal Assistance are required to prepare financial plans which may be requested to be submitted to FHWA. For example, the currently deemed Major Project Tampa Interstate System (TIS), FHWA used the Environmental Impact Statement Record of Decision (EIS ROD) to determine the Major Project limits for required reporting and state financial liability. All EIS RODs exceeding or with a potential for exceeding $100 million should be discussed with the Work Program Administrators for financial impact on the district and department. Note that Major and Other Project determination by FHWA may be an aggregation of independent Work Program Items unintended by FDOT. In addition, FHWA may deem Other Projects regardless of amount with a high level of interest by the public, Congress, or the Administration. A "project" would generally be defined as that work described in the environmental document with independent marginal utility between logical termini. A project could comprise several segments, and each segment could be constructed by one or more construction contracts. A Financial Plan is a comprehensive document which reflects the cost (requirement) and revenue structure (capability) of a project and provides a reasonable assurance that there will be sufficient financial resources available to implement and complete the project as planned. Identified funding shortfalls should be highlighted along with proposed resource solutions. The Financial Plan is designed primarily for use by the United States Department of Transportation (USDOT) to assist the USDOT in oversight responsibilities mandated by Federal law. In essence, a Financial Plan provides a description of how a project will be implemented over time by identifying project costs and the financial resources to be utilized in meeting those costs. The plan should clearly explain the assumptions about both cost and revenue upon which the plan is based. In addition, the annual updates to the plan will enable decision makers to track the financial progress of the project over time by highlighting significant deviations from the Initial Financial Plan and the subsequent annual updates and explaining the mitigating actions taken to adjust for those deviations. USDOTs Financial Plan Guidance for Major Projects presents an outline for the "Initial Financial Plan" and for the "annual updates" and is available at http://www.fhwa.dot.gov/programadmin/mega/index.htm . Guidance has not been developed for Other Projects. The Major or Other Project as deemed by FHWA may extend beyond the Adopted Work Program. The Financial Plan can only cover the commitments by FDOT and therefore is limited to the 5 year Adopted Work Program. As additional years are added from the tentative to the adopted, the Financial Plan should be updated to include those years. Adding additional Work Program Items or amounts exceeding those reported in the Initial Financial Plan should be coordinated through the District Director of Operations or Transportation Development Director as appropriate. The Systems Planning Office, together with the Districts/Turnpike Enterprise, and the Office of Financial Development, will identify all known Work Program items associated with these projects. All items in the Work Program that are part of a these projects will be tracked with an Item Group identifier unique to that project. The Miami Intermodal Center will use MIC and the Tampa Interstate System will use TIS and TIS2. The Systems Planning Office and the Office of Financial Development will continually monitor the Work Program for projects that may develop into Major or Other Project status such as large projects with significant controversy or public attention.
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FDOT PROPOSAL FOR MAJOR PROJECTS
September 9, 2011
Financial plans must be updated annually unless alternative reporting is agreed to by FHWA. The scheduled timing of the updates should be shown in the Initial Finance Plan for these projects. These updates must reflect changes in total and remaining project cost and/or available funding. The update is to be submitted to FHWA and others as appropriate in accordance with the schedule in the initial plan. As of September 19, 2002, FDOT submitted to FHWA a Major Project Annual Financial Report Proposal which substantially revises the Major Project Reporting process as follows: Project Type Definition: FDOT proposes there be two distinct project types for the purposes of defining financial report requirements. The primary distinctions will occur in the type of work, type of funding and existing practices that support or provide for financial reporting of the project. The MIC and TIS provide excellent examples of the differences between the two project types. Non-Traditional Federal Projects Estimated to Cost More than $500 million Typically these projects would involve scopes of work outside the traditional work types that are linked to provide a complete functionality of the project or including mixes of work types that are unique (such as the MIC). These projects typically have funding from multiple parties including parties outside the Department such as counties, cities or private partnerships. In addition, these projects may include significant discretionary funding above the regular Federal highway funds provided to the state DOT (such as the TIFIA loan on the MIC). These projects will require additional reporting based on scope or specific agreements and unique or additional funding (above normal formula funds) between the participating parties that are outside the existing traditional stream of reporting requirements. Traditional Federal Projects Estimated to Cost More than $500 million The scope of work is common to the program being used, with funding from routine state and Federal highway sources. These projects routinely have detail Federal oversight provided by FHWA as outlined in Section 106 for interstate enhancement projects that requires prior authorization from FHWA before the project or modifications can proceed. FDOT Responsibilities by Project Type: FDOT recognizes and accepts that the reporting requirements to FHWA for these project types should vary. We propose the following Financial Reporting for the two project types defined above. Non-Traditional Federal Projects FDOT will prepare an initial project Financial Report for FHWA review that will include all the required elements of the FHWA Financial Plan Guidance (Cost Estimate, Implementation Plan, Construction Financing and Revenues, Cash Flow and Other Factors). FDOT will provide routine information to FHWA on the project such as monthly status reports. The Financial Plan will be updated annually for the cost estimate only in a very high-level summary format. Other major elements of the Financial Plan Guidance will be reported on an exception basis. This would include major changes in: project schedules, costs by project element or major activity, project scope, or a significant loss of funding. The exception item would be reported to FHWA within 60 days of the event and detailed information would be provided to meet the requirements of the Financial Plan Guidance on the exception item. This ensures that FHWA is has the best and most timely data available to monitor the project on an on-going basis for these non-traditional projects. Traditional Federal Projects FDOT will prepare an initial project Financial Report for FHWA review that will include all the required elements of the FHWA Financial Plan Guidance (Cost Estimate, Implementation Plan, Construction Financing and Revenues, Cash Flow and Other Factors). After approval of the initial report the normal FHWA oversight provisions in Section 106 would be followed for these projects. This process requires that FHWA review and approve all project cost modifications in advance. These projects would essentially be exempt from the annual Financial Report update requirements due to the in-depth monitoring provided by FHWA that is necessary to provide full oversight of these projects. FDOT would provide information needed for FHWA to review and authorize the project
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and subsequent modifications as required. As required on all full oversight projects under Section 106, FDOT will provide routine information to the FHWA Division Office on a routine basis. FDOT is currently operating under this proposal with the concurrence from FHWA.
Section D: Value Engineering Analysis

Value engineering is a systematic process of project review and analysis conducted during the concept and design phases by a multi-disciplined team not involved in the project. The process is to provide recommendations for: Providing the needed functions safely, reliably, and at the lowest overall cost Improving the value and quality of the project Reducing the time to complete the project
States are required to provide a value engineering analysis or other cost-reduction analysis for: Each project on the Federal-aid system with an estimated total cost of $25 million or more A bridge project with an estimated total cost of $20 million or more Any other project designated by the Secretary
See Department Procedure Topic No.: 625-030-002, Value Engineering Program, for more detail as the Department has a lower dollar threshold requiring an analysis on all projects over $20 million: http://www2.dot.state.fl.us/proceduraldocuments/procedures/bin/625030002.pdf
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CHAPTER 4: ANNUAL FEDERAL DISCRETIONARY PROJECT SOLICITATION PROCESS

Section A: Schedule of Activities/Events
Each year the Department initiates a process to solicit projects eligible for FHWAs various discretionary programs. The Department provides this information to Floridas congressional delegations should they wish to earmark some of these projects for specific appropriation within the various federal discretionary program categories. The Department uses the following schedule for the Departments federal discretionary programs project solicitation process. Please note this schedule is not FHWA's schedule for submitting applications for the various federal discretionary programs. It is the Departments timeline for soliciting project information (Project Fact Sheets) to provide to our congressional delegations. Congressional committees begin deliberations as early as March of each year, and the Department must be prepared to submit a list of projects that are prioritized and qualify for each of the respective discretionary programs. If there are funds remaining in any of the discretionary programs after the earmarking/appropriation st process is complete, FHWA will solicit project applications soon after October 1 (except for Scenic Byways and Innovative Bridge Research and Construction programs, which are on different schedules. See FHWAs website for details).
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In addition to the activities displayed in the previous timeline, there are generally activities related to solicitations and awards for the previous two years. The following timeline shows examples of these activities and compares the current years activities with required activities related to project awards from the prior two years, all taking place within the same time period.
Section B: Responsibilities for Program Coordination

The following table provides guidance regarding the functions for which each office is responsible: Activity/Event Whos Responsible? For What?
Solicit potential candidate projects:

Federal Aid Management Office Central Office Discretionary Coordinate annual process; provide procedural materials and other guidance; provide notification to start the soliciting projects. Work with appropriate district staff to obtain information on
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Activity/Event Whos Responsible? Program Coordinators For What? potential candidate projects.
Provide completed project fact sheets and executive summaries with project rankings to the designated contact in the Federal Aid Management Office. District Discretionary Program Coordinators Solicit potential candidate projects from applicable district offices.
Work with appropriate staff of MPOs and local governments to obtain information on potential candidate projects.
Complete project fact sheets and submit them to appropriate Central Office Discretionary Program Coordinator. FHWA Florida Division staff Work with Federal Aid Office, Central Office Discretionary Program Coordinators and District staff to provide guidance on project eligibility requirements and other procedural matters.
Executive Review of candidate projects:

Federal Aid Management Office Review, compile and assemble project fact sheets and executive summaries for presentation to Executive Board.
Prepare an executive summary of all programs.
Schedule and coordinate Executive Review.
Revise project fact sheets and executive summaries based on the Executive Review. Central Office Discretionary Program Coordinators Ensure executive summaries with project rankings are completed and provided to Federal Aid Management Office for compilation into one executive summary of all programs.
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Activity/Event Whos Responsible? For What?
Present candidate projects to Executive Board.
Submit candidate projects to congressional delegations for consideration:

Federal Aid Management Office Prepare Congressional District Index of projects.
Create CDs of the final version of project fact sheets, executive summaries and the congressional district index.
Create CD transmittal letter and mail CDs to FDOT Federal Programs Coordinator in Washington, D.C. with enough copies for each senator and congressperson. FDOT Federal Programs Coordinator Provide CDs of project fact sheets and executive summaries to congressional delegations.
Federal Appropriations Act is passed; earmarks are designated:

Federal Aid Management Office Provide notification of earmarked projects to appropriate central office and district staff.
Submit completed FHWA discretionary project applications for each earmarked project when requested by FHWA discretionary program offices in Washington, D.C. District Work Program and/or Planning staff Ensure work program amendment(s), MPO TIP amendments, and STIP amendments are prepared, if needed, for earmarked projects. Notify Program Development and Budget Offices if budget amendment is needed. Coordinate the preparation of budget amendment(s) for earmarked projects, if needed.
Work Program Development Office
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Central Office Discretionary Program Coordinators
Work with appropriate district staff to obtain completed FHWA discretionary program applications for each earmarked project.
Provide completed applications to Federal Aid Management Office. District Discretionary Program Coordinators Work with appropriate district offices and/or staff of MPOs and local governments to complete FHWA discretionary program applications for each earmarked project.
Provide FHWA applications to appropriate Central Office Discretionary Program Coordinator.
Earmarked projects are awarded by FHWA to state DOTs; funds are made available for obligation:
Federal Aid Management Office Provide notification of project awards and availability of funds for obligation.
Submit authorization requests to FHWA Division Office to obligate funds for each project for which funds were awarded.
If funds are to be transferred to FTA for administration, Federal Aid Management Office will transmit request to FHWA-FTA to transfer funds and notify District Federal Aid Coordinator when transfer request is approved. Central Office Discretionary Program Coordinators Work with appropriate staff in districts to obtain executed project/grant agreements for each project for which funds were awarded, if requested by FHWA.
Submit executed agreements to FHWA Division staff. District Federal Aid Coordinators Submit authorization requests to Federal Aid Office for each project after all prerequisites have been met (work program/TIP/STIP/budget amendments, executed project/grant agreements, etc., as applicable). Notify appropriate district staff of FHWA approval of authorization requests.
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Activity/Event Whos Responsible? For What?
If funds are to be transferred to FTA for administration, provide copy of Grantees transfer request to Federal Aid Office. District Discretionary Program Coordinators Work with appropriate district offices and/or staff of MPOs and local governments to complete and execute project/grant agreement applications for each project for which funds were awarded, if requested by FHWA.
Submit executed agreements to Central Office Discretionary Program Coordinator.
If funds are to be transferred to FTA for administration, ensure Project Grantee initiates transfer request and provides same to District Federal Aid Coordinator. FHWA Florida Division Staff Work with Central Office Discretionary Program Coordinators and District staff to provide guidance on the drafting and execution of project/grant agreements.
If funds are to be transferred to FTA for administration, forward transfer request to FHWA HQ for processing and approval. Notify Federal Aid Office of approval of transfer.
Federal funds for each earmarked/awarded project have been obligated; Notice to Proceed has been issued:
District Designated Project Manager Ensure project(s) are administered in accordance with applicable federal laws, regulations and guidelines.
Complete periodic progress and evaluation reports in accordance with the provisions of the grant agreements, if applicable. Provide report(s) to District Discretionary Coordinator(s). District LAP Coordinator If project(s) are being done by LAP certified local government, ensure project(s) are administered in accordance with applicable federal laws, regulations and guidelines. Ensure periodic progress and evaluation reporting requirements
District
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Activity/Event Whos Responsible? Discretionary Program Coordinators For What?
are met in accordance with the provisions of grant agreements, if applicable.
Obtain report(s) from Project Manager/Grantee and submit to the appropriate Central Office Discretionary Program Coordinator(s). Central Office Discretionary Program Coordinators Work with appropriate staff in districts to obtain periodic progress and evaluation reports for each project for which periodic reporting is required in accordance with provisions of the grant agreement.
Submit progress and evaluation reports to appropriate FHWA Florida Division Office staff who will forward copies to FHWA HQ.
Project is complete; ready to close fiscal records:

Federal Aid Management Office District Federal Aid Coordinator Submit final authorization request to FHWA for approval, close project in FDOT and FHWA fiscal records upon approval.
Prepare final authorization request to balance federal obligations to final costs after final documentation requirements are met and submit to Federal Aid Management Office for processing. Provide required closing documents to District Federal Aid Coordinator.
District Designated Project Manager District LAP Coordinator
If project(s) are being done by LAP Certified local government, obtain required closing documents from Grantee/local government and provide same to District Federal Aid Coordinator.
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Section C: Discretionary Programs Contacts

The following tables provide contact information in the Central Office, the Districts and FHWA:
FHWA and FDOT Central Office Discretionary Program Contacts

PROGRAM Ferry Boats FDOT Central Office Coordinator Catherine Kelly (850) 414-4527 MS 68 Darryll Dockstader (850) 414-4617 MS 30 FHWA Florida Division Office Tamara Christion (850) 553-2222 Tamara.Christion@dot.gov Jeffrey Ger (850) 553-2244 Jeffrey.Ger@dot.gov FHWA Headquarters Washington, D.C. Tony DeSimone (317) 226-5307 Anthony.DeSimone@dot.gov Byron Lord (202) 366-1325 Byron.Lord@dot.gov Mary Huie (202) 366-3039 Mary.Huie@dot.gov Innovative Bridge Research & Construction Interstate Maintenance Robert Robertson (850) 414-4259 MS 33 George Sirianni (850) 414-4923 or Khaleda Hatim (850) 414-4907 MS 19 George Sirianni (850) 414-4923 or Khaleda Hatim (850) 414-4907 MS 19 Mariano Berrios (850) 410-5250 MS 37 Melanie Carr (850) 414-4817 MS 28 Paul Clark (850) 410-5607 MS 90 Jeffrey Ger (850) 553-2244 Jeffrey.Ger@dot.gov Marvin Williams (850) 553-2241 Marvin.Williams@dot.gov Myint Lwin, (202) 366-4589 Myint.Lwin@dot.gov Tony DeSimone (317) 226-5307 Anthony.DeSimone@dot.gov
Highways for Life
Public Lands Highways
Stacie Blizzard (850) 553-2223 Stacie.Blizzard@dot.gov
Cindi Ptak (202) 366-1586 Cindi.Ptak@dot.gov
Scenic Byways
Brian Telfair (850) 553-2228 Brian.Telfair@dot.gov Shakira Crandol (850) 553-2220 Shakira.Crandol@dot.gov Lokesh Hebbani (850) 553-2246 Lokesh.Hebbani@dot.gov
Gary Jensen (202) 366-2048 Gary.Jensen@dot.gov Wesley Blount (202) 366-0799 Wesley.Blount@dot.gov Thomas Kearney (518) 431-4125 ext. 218 Tom.Kearney@dot.gov Michael Onder (202) 366-2639 Michael.Onder@dot.gov
Transportation and Community and System Preservation (TCSP) Truck Parking Facilities Program
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FHWA and FDOT Central Office Discretionary Program Contacts

PROGRAM Value Pricing FDOT Central Office Coordinator Bud Boyd (850) 414-4452 MS 7 FHWA Florida Division Office Stacie Blizzard (850) 553-2233 Stacie.Blizzard@dot.gov FHWA Headquarters Washington, D.C. Angela Jacobs (202) 366-0076 Angela.Jacobs@dot.gov Transit related projects: Allen Greenberg (202) 366-2425 Allen.greenberg@dot.gov
Discretionary Program Contacts in the Federal Aid Management Office

PROGRAM Overall coordination of the federal discretionary project solicitation process Ferry Boats Interstate Maintenance Public Lands Highways Transportation and Community and System Preservation (TCSP)
Federal Aid Management Office Contact

Sonya Dudley (850) 414-4454 MS 21 Richard Luten (850) 414-4463 MS 21 Dawn Rudolph (850) 414-4465 MS 21 Fornicher Nixson (850) 414-4466 MS 21 Donna Lockhart (850) 414-4619 MS 21 Heidi Langston (850) 414-4626 MS 21 Lisa Duncan (850) 414-4461 MS 21
District Discretionary Program Coordinators

PROGRAM District One Coordinators District Two Coordinators District Three Coordinators District Four Coordinators
Ferry Boats Highways for Life
Frank Meares (863) 519-2555 Frank Meares (863) 519-2555
Karin Charron (904) 360-5665 Jordan L Green (386) 961-7884 Jordan L Green (386) 961-7884 Jordan L Green (386) 961-7884 MS 2014 Jordan L Green (386) 961-7884 MS 2014
Ed Chadwell (850) 415-9551 Steve Benak (850) 638-0250 Steve Benak (850) 638-0250 Alan Bush (850) 415-9233 Tina Hagans (850) 415-9595
Leslie Wetherell (954) 777-4438 Leslie Wetherell (954) 777-4438 Fred Ochoa (954) 777-4639 Bill Wang (954) 777-4203 Richard Young (954) 777-4323
Innovative Bridge Frank Meares Research & Construction (863) 519-2555
Interstate Maintenance Frank Meares (863) 519-2555 Public Lands Highways Frank Meares (863) 519-2555
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District Discretionary Program Coordinators

PROGRAM District One Coordinators District Two Coordinators District Three Coordinators District Four Coordinators
Scenic Byways
Frank Meares (863) 519-2555
Debrah Miller (386) 961-7793 MS 2007 Jordan L Green (386) 961-7884 MS 2014 Jordan L Green (386) 961-7884 MS 2014
Ray La Fontaine (850) 415-9517
John-Mark Palacios (954)-777-4318 Leslie Wetherell (954) 777-4438
Transportation and Community and System Preservation (TCSP) Value Pricing
Tina Hagans (850) 415-9595
Jason Peters (850) 415-9539
Leslie Wetherell (954) 777-4438
Federal Aid Management Office Discretionary Program Contacts for Annual Solicitation PROGRAM Overall coordination of the federal discretionary project solicitation process Ferry Boats Interstate Maintenance Public Lands Highways Transportation and Community and System Preservation (TCSP) Federal Aid Management Office Contact Sonya Dudley (850) 414-4454 MS 21 Richard Luten (850) 414-4463 MS 21 Dawn Rudolph (850) 414-4465 MS 21 Fornicher Nixson (850) 414-4466 MS 21 Donna Lockhart (850) 414-4619 MS 21 Heidi Langston (850) 414-4626 MS 21 Lisa Duncan (850) 414-4461 MS 21
Section D: Summary of FHWA Discretionary Programs

The following tables provide summary information on the various discretionary programs. Additional information may be found on FHWAs website at: http://www.fhwa.dot.gov/discretionary/ PROGRAM NAME and AUTHORIZING LEGISLATION PROGRAM DESCRIPTION, PURPOSE, FEDERAL SHARE, ELIGIBLE APPLICANTS AUTHORIZED FUNDING
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PROGRAM NAME and AUTHORIZING LEGISLATION Highways for LIFE Pilot Program SAFETEA-LU Section(s): 1101(a)(20), 1502
September 9, 2011
AUTHORIZED FUNDING
PROGRAM DESCRIPTION, PURPOSE, FEDERAL SHARE, ELIGIBLE APPLICANTS
Demonstrate and promote state-of-the-art FY05 - $0 million technologies, elevated performance standards, and FY06 - $15 million new business practices in the highway construction FY07 - $20 million process that result in improved safety, faster FY08 - $20 million construction, reduced congestion from construction, FY09 - $20 million and improved quality and user satisfaction. Federal share: The amount allocated for a Highways for LIFE project may be up to 20% but not more than $5 million, of the total project cost. Such funds may be used as the non-Federal share of a project constructed under 23 USC Eligible Applicants: State Transportation Departments Ferry Boats and Ferry Ferry boats and ferry terminal facilities that are FY05 - $38 million Terminal Facilities publicly owned, majority publicly owned, or publicly FY06 - $55 million SAFETEA-LU Section(s): operated. FY07 - $60 million 1101(a)(13), 1801 Federal share is 80%. FY08 - $65 million Other: 23 USC 147 & 129(c) Eligible Applicants: State Transportation Departments FY09 - $67 million Innovative Bridge Research Demonstrate the application of innovative material FY05 - $13.1 million & Deployment Program technology in the construction of bridges and other FY06 - $13.1 million SAFETEA-LU Section structures. FY07 - $13.1 million 5202(b) Federal share is determined by the US Secretary of FY08 - $13.1 million Other: 23 USC 503(b) Transportation. FY09 - $13.1 million Eligible Applicants: State Transportation Departments Intelligent Transportation Projects to accelerate the integration and FY05 - $110 million Systems (ITS) Research interoperability of ITS across system, jurisdiction and FY06 - $110 million Program (includes Intelligent modal boundaries, in metropolitan and rural areas; FY07 - $110 million Transportation Systems and to improve the safety and productivity of FY08 - $110 million Operational Testing to commercial vehicles and drivers with installation of the FY09 - $110 million Mitigate Congestion (ITSCommercial Vehicle Information System and OTMC) Program) Networks. SAFETEA-LU Section 5301, Federal ITS share is 50% and total Federal funds 5302. 5303, 5304, 5305, cannot exceed 80%. However, the ITS-OTMC 5306. 5307, 5308, 5310 Program will fund up to 80%. Other: 23 USC 512, 513 Eligible Applicants: States and State and local transportation partnerships. Interstate Maintenance Resurfacing, restoring, rehabilitating and FY05 - $100 million SAFETEA-LU Section reconstructing (4R), including adding travel lanes, on FY06 - $100 million 1111(a) most existing Interstate System routes. FY07 - $100 million Other: 23 U.S.C. 118(c) Federal share is 90% or sliding scale. FY08 - $100 million FY09 - $100 million Public Lands Highways Any kind of transportation project eligible for FY05 - $88.4 million SAFETEA-LU, Section assistance under Title 23, U.S.C. that is within, FY06 - $95.2 million 1101(a)(9)(D) adjacent to, or provides access to Federal public land FY07 - $95.2 million Other: 23 U.S.C. 202, 203 areas. FY08 - $98.6 million & 204 Federal share is 100%. FY09 - $102 million Eligible Applicants: State Transportation Departments
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PROGRAM NAME and AUTHORIZING LEGISLATION Scenic Byways SAFETEA-LU Section(s): 1101(a)(12), 1802 Other: 23 USC 162
September 9, 2011
AUTHORIZED FUNDING FY05 - $26.5 million FY06 - $30 million FY07 - $35 million FY08 - $40 million FY09 - $43.5 million
PROGRAM DESCRIPTION, PURPOSE, FEDERAL SHARE, ELIGIBLE APPLICANTS
Provides funding for eligible projects along designated scenic byways and for the planning, design, and development of State scenic byway programs. Federal share is 80%. Federal Land Management agencies can provide match for projects on federal or Indian lands. Eligible Applicants: State Scenic Byway Agency Transportation and Comprehensive initiative for planning, implementation Community and System and research of transportation and community and Preservation (TCSP) system preservation practices. SAFETEA-LU, Section 1117 Federal share is 80%. Eligible Applicants: States, MPOs, and local governments Transportation Infrastructure Provides loans, lines-of-credit, and loan guarantees to Finance and Innovation Act certain surface transportation projects of national or Program (TIFIA) regional significance. SAFETEA LU Section(s): Assistance is limited to 1/3 of project costs. 1601 Eligible Applicants: Any transportation project Other: 23 USC 601-609 sponsor. Value Pricing Funds up to 15 pilot programs which include a SAFETEA-LU Section(s): variable pricing component to encourage shifts in 1604 time, route or mode of travel. Also funds preOther: PL 102-240 (ISTEA) implementation studies. 1012; PL 105-578 (TEA-21) Federal share is 80%. 1216 Eligible Applicants: State or Local Governments or Public Authorities
FY05 - $25 million FY06 - $61.25 million FY07 - $61.25 million FY08 - $61.25 million FY09 - $61.25 million FY05 - $122 million FY06 - $122 million FY07 - $122 million FY08 - $122 million FY09 - $122 million FY05 - $11 million FY06 - $12 million FY07 - $12 million FY08 - $12 million FY09 - $12 million
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CHAPTER 5: OTHER FEDERAL PROGRAM CHARACTERISTICS

Section A: Using Federal Funds for early stages of a Project (PD&E, PE and/or R/W) but not Construction
Title 23 U.S.C. Section 145 provides the statutory authority that allows State Transportation Agencies (STAs) to select projects for the Federal-aid highway program. If a STA uses Federal funds for early phases of project development (preliminary engineering, environmental documentation, right of way (r/w), etc.) there is no requirement to use Federal funds for construction. If the STA chooses to use State funds for construction, Federal requirements such as the use of form "FHWA-1273 Required Contract Provisions Federal-aid Construction Contracts" would not be required. In light of the proposed Florida Future Corridor Planning and Screening Process (FCPSP) and the FDOT Executive Boards proposal to use State procedures and funds to acquire right of way, FDOT requested an opinion by FHWA as to whether the use of Federal-aid funds for NEPA activities triggers the application of the Uniform Act for right of way acquisition purposes. The FHWA Chief Counsel issued a legal opinion dated April 26, 2007 (attached below) which reaffirms FHWA's previous position that the use of Federal funds for NEPA activities does trigger the application of the Uniform Act. The legal opinion provides that when Federal-aid funds participate in NEPA activities and FHWA issues a NEPA finding, the State is obligated to comply with the Uniform Act and all other Federal requirements (environmental mitigation and FHWA 1273 construction provisions such as Davis-Bacon and Buy America, if Federal funds are used for construction). The legal opinion provides that the Uniform Act would not apply if the only Federal expenditures on a project relate to planning level feasibility studies or other expenditures typically associated with planning level decision-making. Based on the FCPSPs Concept, Feasibility, and ETDM/PD&E stages of activity, the legal opinion provides that (based on the Future Corridors Planning Screening Process Implementation Guidance) the FCPSP Concept and Feasibility stages would be considered planning level activities. Additionally, the legal opinion provides that a State may withdraw or defederalize a project under certain circumstances at early stages of project development provided there is repayment of all Federal funds previously received for the project and provided FHWA has not issued a NEPA finding (i.e., a Finding of No Significant Impact or Record of Decision, or the project does not involve significant environmental impacts and is classified as a Categorical Exclusion under 23 CFR 771). It is important to note that the FDOT inquiry and the FHWA response dealt with the issue of Uniform Act applicability for right of way acquisition subsequent to FHWA NEPA approval. The Uniform Act also applies to all State, local, and privately funded early right of way acquisition (i.e., pre-FHWA NEPA approval) in advance of projects that will utilize Federal funds in the NEPA, right of way, preliminary & final design, or construction project phases (see 49 CFR 24.101(b), 24.2(22), and Uniform Act, Sec. 207). Local governments and others should work closely with their FDOT Local Agency Program and Right of Way Offices prior to undertaking early right of way acquisition in advance of Federal-aid projects. If the STA has used federal funds for preliminary engineering or environmental phases of the project development, and now wants to use State funds for construction, this would not free them from compliance with federal environmental requirements, such as NEPA & 4(f). However, if the STA was in compliance with federal environmental law and was choosing to use State funds for construction for another reason, that is their right under 23 U.S.C. 145, and, if they do so, compliance with Federal requirements for construction projects, such as the form FHWA-1273 requirements would not be required.
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Section B: Federal and State Funded Projects under a single Contract

There are instances where multiple financial projects have been tied (or strung) together under a single contract for bidding purposes. In some instances both federally funded and state funded projects have been tied together. It is important to understand that, when this takes place, the entire contract becomes federalized, including the 100% state funded financial project which was tied to the federally funded financial project and, as a result, must comply with applicable federal laws, rules and regulations. Many of the federal requirements described in the Code of Federal Regulations pertain to contract provisions. When referring to a federal-aid project, the regulations intend for the work described in the proposed contract to constitute the federal-aid project if any federal funds are financing the contract. This is without regard to how the individual financial projects are set up and funded in the Departments Adopted Work Program. Generally speaking, FHWA's construction contracting requirements apply when the Division Office authorizes traditional Federal-aid funding, loan or credit assistance for a specific construction contract. The requirements will apply to a specific contract regardless of the level of Federal investment. Federal construction requirements under title 23 and its implementing regulations apply to the specific activity or contract carried out with Federal funds, whether those funds are in the form of a grant or TIFIA credit assistance.
Section C: Projects with minimal shares of Federal Funds

FHWA encourages the utilization of the highest permissible percentage of Federal-aid funds on projects, but they will approve a lesser federal aid percentage when justified and determined to be in the traveling publics best interest. The FHWA Florida Division Office relies on the current provision of 23 CFR 630.106(g) which states... The state may contribute more than the normal non-federal share of title 23, U.S.C. projects. In general, financing proposals that result in only minimal amounts of Federal funds in projects should be avoided unless they are based on sound project management decisions. When federal authorization requests (FARs) are submitted with federal funds falling below 50% of total project cost, the FHWA Florida Division Office will approve the request but will require an explanation as to the basis of the decision to fund the project in such a manner. This justification must be included in the comments accompanying the FAR in FAMS.
Section D: Districtwide and General Consultant Contracts

This guidance pertains to FHWAs position relative to the use of area wide, district wide, program wide, general and other similar types of grouped work consultant contracts. These contracts generally involve multiple tasks, multiple projects/locations with similar scopes, or specific task assignments. Generally, Federal funds may only used when the scope of work, method of payment, and a detailed cost estimate including labor costs are clearly defined. Task Assignment Contracts As required by 23 CFR Section 172, Federal Highway Administration (FHWA) is required to approve the procedures to hire consultants using federal-aid funds. On December 22, 2006, FHWA issued a letter approving FDOTs Quality Assurance Review (QAR) process for Consultant Agreements and has agreed to classify all types of district wide consultant agreements as exempt from project by project oversight.
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FHWA accepted the increased cost limits for District-wide miscellaneous minor professional services contracts from $750,000 to $1.5 million, Increased the limit per task assignment from $150,000 to $300,000, and Increased the contract term from 2 years to 5 years.
This approval will be retroactive and any existing district-wide consultant contracts (except planning) that were previously oversight may be modified to state administered. The following comment should be used when submitting the authorization request, Due to FHWA approval of the district-wide consultant selection and quality assurance review process this project is being changed from oversight to state administered. For new contracts: FDOT will provide the FHWA Transportation Engineer with a copy of the executed contract with scope, staff hours (if available) and method of compensation. Individual executed task work orders are no longer required for submittal to or approval from the FHWA Transportation Engineer. FHWA will continue to retain project by project oversight of planning contracts following the process outlined in their July 12, 2006, letter.
The Quality Assurance Monitoring Plan provides for the review of every District on a two year cycle. FHWA may elect to participate in these reviews, or conduct independent evaluations. An annual summary report of the reviews performed, including findings, positive or negative, will be submitted to the FHWA with recommendations and actions on how to correct any deficiencies noted. Additional details on the QAR process for review of these contracts can be obtained from the Procurement Office responsible for the quality assurance reviews in accordance with the Departments Quality Assurance (QA) and Quality Control (QC) Policy, Topic No.: 001-260-001-a. Department Procedure Topic Number, 375-040-020, Procurement of Commodities and Contractual Services which is currently in the Online Procedure review process is being modified to include the following statement: The procurement unit may proceed with the contract vendor hiring process up to, but not including, contract execution prior to being provided a copy of the executed FHWA Electronic Signature Document (ESD). If the contract is executed prior to receipt of an approved ESD, services provided prior to approval will not be federally funded. Department Procedure Topic Number, 375-030-002, Acquisition of Professional Services will also be updated by the Procurement Office to incorporate the FHWA approved changes. General Consultants FHWA will not participate in General Consultant contracts.
Section E: Repayment of Federal Funds for Preliminary Engineering and/or Right of Way if Construction is not to be completed
Title 23, Chapter 1, Section 630.112(c), Code of Federal Regulations, states: 1. Project for acquisition of rights-of-way. In the event that actual construction of a road on this Right of Way is not undertaken by the close of the twentieth fiscal year following the fiscal year in which the project is authorized, the State Transportation Department will repay to the FHWA the sum or sums of Federal funds paid to the transportation department under the terms of the agreement. The State may
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request a time extension beyond the 20-year limit with no repayment of Federal funds, and the FHWA may approve this request if it is considered reasonable. 2. Preliminary engineering project. In the event that Right of Way acquisition for, or actual construction of, the road for which this preliminary engineering is undertaken is not started by the close of the tenth fiscal year following the fiscal year in which the project is authorized, the State Transportation Department will repay to the FHWA the sum or sums of Federal funds paid to the transportation department under the terms of the agreement. The State may request a time extension for any preliminary engineering project beyond the 10-year limit with no repayment of Federal funds, and the FHWA may approve this request if it is considered reasonable.
FHWAs April, 26, 2011, directive entitled, Repayment of Preliminary Engineering Cost clarifies: The FHWA has a longstanding practice of not mandating repayment of PE funds when project termination is directly related to compliance with another Federal law. For instance, repayment of reimbursed PE costs would not be required if the FHWA and a State determine that a project should not be advanced as a result of findings during the National Environmental Policy Act (NEPA) process. To do otherwise could skew the NEPA process by causing a State to favor a "build" alternative to avoid repaying PE costs incurred during the NEPA review. Examples of factors for the division office to consider for granting time extensions include: (1) Litigation resulting in delays to project development; (2) Complex project consultations involving Federal, State, local agencies, or sovereign nations; and (3) Where the public involvement process has altered the State's plan for satisfying the projects purpose and need.
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CHAPTER 6: STATEWIDE AND LOCAL TRANSPORTATION IMPROVEMENT PROGRAMS (STIP AND TIPS)
Section A: Requirements to obtain Approved Federal Authorization
Before a federal authorization can be obtained, the project must be properly listed in the federally mandated four year State Transportation Improvement Program (STIP) and, if the project is located within a Metropolitan Planning Organizations (MPOs) boundaries, it must also be listed in the first four years of the MPOs five year Transportation Improvement Program (TIP). Generally, a properly filed federal authorization request will be approved by FHWA within two (2) weeks of submission to FHWA by the Federal Aid Management Office. However, if the project is not properly listed in the STIP/TIP, then a TIP amendment requiring MPO board action may be required to obtain the federal authorization, which may delay commencement of work by weeks, if not months. A State Transportation Improvement Program (STIP) amendment generally needs to accompany the TIP amendment. STIP amendments are processed monthly. Both the federal STIP and MPO TIPs follow the same guidelines for amendments to the plans, as outlined in later sections of these instructions. Prior to submitting a Federal Authorization Request to the District Federal Aid Coordinator, District staff (e.g. Planning, Work Program, Estimates, Right of Way) should verify that the project is properly listed in the STIP/TIP. This verification should take place at least two (2) months in advance of the Districts submission of the project authorization request to the District Federal Aid Coordinator to ensure adequate time to process a STIP/TIP amendment if required. For advanced warning on projects that may need TIP/STIP amendments the following reporting tool has been developed: http://webapp02.dot.state.fl.us/fmsupportapps/federalaid/stip.aspx If a project falls within the STIP/TIP amendment criteria, District Planning staff will notify the MPO of the need to process a TIP amendment and will notify the Office of Policy Planning of the need to process a STIP amendment. The Office of Policy Planning will review all TIP amendments for accuracy and for compliance with all applicable criteria prior to submitting them to the Federal Aid Management Office for electronic transmission to FHWA along with the accompanying STIP amendment.
Section B: State Transportation Improvement Program (STIP)

The State Transportation Improvement Program (STIP) is a federally mandated document which, as a component of this plan, must include a listing of projects planned with federal participation in the next four fiscal years. Although the STIP is approved annually by FHWA at the beginning of each federal fiscal st st year (October 1 ), FHWA allows FDOT to report these four years on a state fiscal year basis (July 1 thru th June 30 ). This is because the report is based upon the federally funded projects listed in the first four years of FDOTs Adopted Five Year Work Program. Therefore, in order for a project to be listed in the approved STIP, it must first be included in the first four years of the Adopted Five Year Work Program. The project must either be gamed into the Tentative Work Program during the annual Tentative Work Program development cycle, or it must be amended into st the Work Program after it has been adopted on July 1 of each state fiscal year. Regionally Significant Projects (not federally funded): Federal law requires all regionally significant transportation projects for which an FHWA or FTA approval is required be included in the TIP/STIP, whether or not the projects are to be funded with Title 23, U.S.C., or Federal Transit Act funds (e.g., addition of an interchange to the Interstate System with state, local,
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and/or private funds, demonstration projects not funded under Title 23, U.S.C., or the Federal Transit Act, etc.). FHWA or FTA approval in this context is not limited to obtaining federal approval to participate in the cost of the project, but extends to FHWA or FTA approval of environmental and/or permitting documents as well. The STIP should, for information purposes, include all regionally significant transportation projects proposed to be funded with federal funds other than those administered by the FHWA or the FTA. It should also include, for information purposes, if appropriate and cited in any TIPs, all regionally significant projects, to be funded with non-federal funds (23 C.F.R. 450.216(h)). Regionally Significant Project Definition (23 CFR 450.104 and 40 CFR 93.101): A transportation project (other than an air quality exempt project, and projects that may be grouped in the TIP/STIP pursuant to 23 C.F.R. 450.216 and 23 C.F.R. 450.324 that is on a facility which serves regional transportation needs (such as access to and from the area outside of the region, major activity centers in the region, major planned developments such as new retail malls, sports complexes, etc., or transportation terminals as well as most terminals themselves) and would normally be included in the modeling of a metropolitan areas transportation network, including at a minimum all principal arterial highways and all fixed guideway transit facilities that offer an alternative to regional highway travel. Additions in any of the four years of the TIP/STIP of regionally significant projects (for which an FHWA or FTA approval is required) will require a TIP/STIP amendment.
Section C: MPOs Transportation Improvement Program (TIP)

Each Metropolitan Planning Organization (MPO) in the state is required by Florida Statutes to have a Transportation Improvement Plan (TIP) which, as a component of this plan, must include a listing of projects planned for the next five fiscal years. MPOs are also required to have a similar TIP for federally funded projects for the next four years. Therefore, each MPO annually publishes a single five year document to satisfy both state and federal requirements.
Section D: Projects Administered by Federal Transit Administration (FTA)

Federal law requires virtually identical treatment of highway and bridge projects administered by FHWA and transit projects administered by FTA relative to TIP/STIP requirements. Both federal agencies require projects to be included in the currently approved STIP and applicable TIP before highway and bridge projects are authorized with FHWA or before transit grants are approved by FTA. FTA Section 5309 projects (Bus and Bus Facilities, and New Starts) must be listed in the current approved STIP in order to be funded. These non-budgeted projects are originally listed in the Work Program in the year in which the funds became available. However, in many instances the transit authorities do not get the grants approved through FTA in the original year the funds became available. Because these projects phase are classified in the Work Program as non-budgeted, they do not roll forward automatically into the next year if they are not approved by FTA in the year programmed. This means these projects must be manually programmed into the next year of the Work Program (before th June 30 each year) so they will automatically appear in the new STIP. They also must be included in the MPOs TIP in the next year as well. This may be accomplished by either including them in the new STIP and TIP as submitted, or amending them into the STIP and TIP after they become effective October st 1 of each year. FDOTs Transit Manager has proved the following interim guidance: In the short term, affected districts will have to ensure that STIP amendments are processed so that their agencies can access the funds.
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It is our suggestion that the District Public Transportation staff continue to work with their local FTA recipients and MPOs to ensure that pending FTA Section 5309 earmarks (non-budgeted FTA funds) are advanced into the current STIP, if not applied for and approved by FTA in the year in which they were initially included.
Section E: Amending the STIP and TIPs

How to determine if a TIP/STIP amendment is required Not all changes to the TIP/STIP require state review and federal approval of the changes. Changes requiring formal state review and federal approval are referred to as TIP/STIP amendments, and are based upon criteria established under federal law. All TIP/STIP amendment requests should be reviewed by a single point of contact within the district to ensure that the information is accurate and complete before submittal to the Office of Policy Planning, the MPO Liaison, to ensure that the information is accurate and complete before submittal to the Office of Policy Planning by the 10th of each month. The TIP/STIP amendment requests will be reviewed by the Office of Policy Planning to ensure they are th complete, prior to submittal to the Federal Aid Management Office by the 15 of each month. The Federal Aid Management Office will review the TIP/STIP for financial constraint and submit to FHWA and/or FTA for their review and approval. TIPs/STIP will require formal amendments based on the following criteria: 1. 2. 3. 4. 5. The change adds new individual projects to the current TIP/STIP; The change affects air quality conformity; The change adversely impacts financial constraint, including cost estimate increases; The change results in major scope changes; and/or, The change removes or deletes an individually listed project from the TIP/STIP
Caution: Please note that, although advancements from year 2, 3, or 4 of the TIP/STIP into year 1 do not require a formal TIP/STIP amendment, a Work Program Amendment will be required for such advancements (assuming the dollar thresholds are exceeded) along with all required notifications (including to MPOs). Similarly, deferrals from year 1 to year 2, 3, or 4 of the TIP/STIP do not require a formal TIP/STIP amendment, but a Work Program Amendment will be required (if dollar thresholds are exceeded) along with required notifications (including to MPOs). Application of Minimum Federal Criteria 1. Adding new individual projects to the current TIP/STIP: The TIP/STIP covers a period of four years. Any federally funded project listed in any of the years of the TIP/STIP may be advanced or deferred within those years without requiring a TIP/STIP amendment. Any new project added to any of the years of the TIP/STIP will require a TIP/STIP amendment, if any federal funding is involved. If a project is listed in the first four years of the Work Program with state funds only, and the funding is subsequently changed to add federal funds, then this fund change will not require a TIP/STIP amendment.
2. Changes affecting air quality conformity: If the MPO is in a designated maintenance area of the state, a determination must be made as to the effect of the change on air quality conformity. Any additions or deletions of projects, and any major scope changes to projects already in the TIP/STIP must consider the effect on air quality conformity.
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If the project is exempt from air quality conformity as defined by 40 C.F.R. 93.126, the TIP/STIP amendment transmittal letter must state that it is exempt. If the project is not exempt, a new conformity determination must be made by the MPO before the TIP/STIP amendment can be approved. The TIP/STIP amendment transmittal letter must state that conformity has been re-determined. A project is seen as affecting air quality conformity when it includes additions and modifications to the transportation network that the transportation plan reports will be operational in specific horizon years (40 C.F.R. 93.106). If a project affecting air quality is advanced or deferred such that the change crosses a designated horizon year, air quality must be re-determined. If a project affecting a milestone (an emissions level and the date on which it is required to be achieved) is added or deleted, air quality conformity must be re-determined. For further information regarding air quality conformity determinations, please contact the Office of Policy Planning. 3. Adverse impacts to financial constraint, including cost estimate increases: Federal law requires that the TIPs/STIP must be financially constrained to the amount of funds that have been projected to be available, by year, over the four year period of the approved TIPs/STIP. This means that the cost of new projects and cost increases on existing projects must be offset by decreases in other areas of the TIP/STIP to maintain the financial constraints upon which the TIP/STIP was originally developed, unless new sources of funds are identified. If new projects are added to the TIP/STIP, the TIP/STIP amendment transmittal letter must identify the source of funds for the new project. Examples include, but are not limited to, one or more of the following: The funds are coming from a contingency box item already included in the appropriate year of the Work Program. The TIP/STIP amendment should show the reduction in the contingency box item as well as the cost of the new project addition. The funds are coming from the deletion or deferral of another individual project in the appropriate year of the TIP/STIP. The TIP/STIP amendment should identify the specific project being deleted or deferred as well as the new project addition. The funds are coming from reduction(s) of cost estimate(s) to other project(s) already included in the appropriate year of the TIP/STIP. The TIP/STIP amendment should identify the specific project(s) where estimated costs are being reduced. The funds are coming from new appropriations or allocations of federal funds that were not available, or reasonably expected to be available, when the TIP/STIP was originally developed. The TIP/STIP amendment should identify the source and amount of the new funds.
If the estimated cost increases on an existing project already included in the TIP/STIP, then a TIP/STIP amendment is not required to make this cost adjustment, as long as all of the following statements are true: The funds financing this cost increase did not come from the deletion of another project already included in the TIP/STIP (or deferral of another project beyond the four years of the TIP/STIP), The TIP/STIP remains financially constrained after the cost adjustment, and The cost increase did not arise as a result of a major scope change to the project, as defined below, and
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The cost increase does not represent more than 20% of the total project cost, or $2 million, whichever is greater.
If the cost increase represents more than 20% of the total project cost, and the cost increase is more than $2 million, then a TIP/STIP amendment will be required. The following table provides examples of how these criteria are applied: Cost Estimate in STIP $ 1,000,000 $ 1,000,000 $ 5,000,000 $ 5,000,000 $10,000,000 $10,000,000 $15,000,000 $15,000,000 Latest Estimate in Work Program $ 1,250,000 $ $ $ 3,200,000 6,500,000 7,500,000 Increase Exceed 20%? Yes Yes Yes Yes No Yes No Yes Increase Exceed $2 million? No Yes No Yes No Yes Yes Yes STIP Amendment Required? No Yes No Yes No Yes No Yes
Increase in Cost $ 250,000 $2,200,000 $1,500,000 $2,500,000 $2,000,000 $5,000,000 $2,500,000 $3,500,000
Percentage Increase 25.0% 220.0% 30.0% 50.0% 20.0% 50.0% 16.7% 23.3%
$ 12,000,000 $ 15,000,000 $ 17,500,000 $ 18,500,000
4. Major scope changes A TIP/STIP amendment is required if there are major changes to the scope of a project. In this context a major scope change is defined to be one that changes or significantly expands the basic attributes or nature of a project (design concept). Examples include, but are not limited to, the following: Any change that would materially affect air quality conformity determinations; Any material changes to project limits; Any material changes to capacity (e.g. adding additional lanes); Any material changes to type of work (e.g. adding bridge repairs to resurfacing job, or changing modes from highway to transit); and, Any scope change that is significant enough to affect the priority order of projects in the TIP/STIP, or to affect consistency with the MPOs Long Range Transportation Plan (LRTP).
5. Deleting an individually listed project from the TIP/STIP: The deletion of any individually listed project in the four years of the TIP/STIP requires a TIP/STIP amendment, including a statement of its effect on air quality conformity, if applicable. Contents of TIP/STIP Amendment Package TIP Amendment packages must include specific documents and provide specific information regarding projects changes to be considered complete. The accompanying STIP amendment (prepared by the Federal Aid Management Office) will draw upon the contents of individual TIP amendments as the basis for its preparation.
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TIP Amendments must contain the following information for new projects: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13.
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14. 15. 16. 17. 18.
Project name, limits, a detailed project description and type of work; Financial Project Number (FPN); Federal Aid Project Number (FAP), if assigned; FDOT Work Program fund code; Estimated cost; Phase; State fiscal year in which work is to commence; Reason for the proposed change; Effect of the change to financial constraints; Effect of the change on air quality conformity, if applicable; Consistency of the change with the goals of the MPOs LRTP; Whether a STIP Amendment is required; Documentation of MPO Board approval of the TIP amendment (or staff approval if approval authority has been delegated to MPO staff, and documentation of the delegation of approval authority); Confirmation of coordination/consultation between District and MPO regarding the change; Signed document from District staff attesting that the TIP amendment package has been reviewed and found to be in compliance with applicable laws and procedures; Signed document (by MPO Chair or designee) attesting that the TIPamendment was developed and approved in compliance with applicable laws and procedures; and, A copy of the amended TIP page showing the change. For all TIP amendments involving FTA funding, include the FTA Funding Section Number and Description, i.e., Section 5307 Large Urban Cities Transit Improvements. Including this information on the WP01 screen as an xdesc field will ensure that the reference is automatically incorporated. See Part 3 - Public Transportation Office, Transit Section for specific programming instructions.
For existing projects, include the same information as 1-18 above, and: 1. 2. 3. As listed in the current TIP (include TIP page number); As proposed to be amended (include new TIP page number); and, The page number in the existing STIP where it may be found.
To assist MPO, District/Turnpike Enterprise staff in the preparation of TIP Amendment packages, a TIP amendment form has been developed and is available in electronic form from the Office of Policy Planning. This form is designed to function as a checklist to ensure all applicable criteria are met, and the amendment package is accurate and complete when submitted to the Office of Policy Planning for review. District/Turnpike Enterprise staff will be notified via email when TIP/STIP amendment(s) are approved by FHWA, and approved amendment packages will be posted to the Federal Aid Management Offices Internet site. Routing of STIP Amendment Requests STIP Amendment requests within MPO boundaries STIP Amendment requests within MPO boundaries are generally accompanied by corresponding TIP amendments already prepared by the various MPOs. These STIP amendment requests must be routed to the Office of Policy Planning for review for completeness and consistency with the TIP amendments, and for air quality conformity determinations, if applicable. After completing their review, OPP forwards these requests to the Federal Aid Management Office. The Federal Aid Management Office then consolidates all requests on hand into a single STIP Amendment for submission to FHWA.
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STIP Amendment requests outside of MPO boundaries
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STIP Amendment requests from areas outside of MPO boundaries will not have accompanying TIP amendments, and there are no air quality conformity areas outside MPO boundaries in Florida at the present time. Therefore, these requests DO NOT need to be sent to OPP for their review. STIP Amendment requests outside of MPO areas may be sent directly to the Federal Aid Management Office for incorporation into the next consolidated STIP Amendment. Schedule for processing TIP/STIP Amendments FHWA has requested we limit the processing of STIP amendments to once per month. Further, FHWA has indicated that in the month of September each year their staff is very involved in the review of the new MPO TIPs and the state STIP and will not accept STIP Amendments to the current STIP during the month of September. STIP Amendments will be processed according to the following schedule: TIP/STIP Amendment requests within MPO boundaries TIP/STIP Amendment requests received by the Office of Policy Planning (OPP) for review by the 10 of each month will be included in the STIP Amendment for that month, provided the requests are complete and require no clarifications or other District/Turnpike Enterprise, or MPO input. STIP Amendment requests outside of MPO boundaries STIP Amendment requests from areas outside of MPO boundaries received by the Federal Aid th Management Office by the 15 of each month will be included in the STIP Amendment for that month, provided the requests are complete and require no clarifications or other District/Turnpike Enterprise input. This should enable FHWA to routinely approve the amendment by the end of the month, or thereabouts. This schedule will apply to all months except September. No STIP Amendments will be processed during the month of September, so anticipate your needs early as we approach this last month of the federal fiscal year. It is important to note that submitting an incomplete STIP Amendment request may result in the request not being included in the consolidated STIP Amendment for that month, if needed information cannot be obtained prior to the due dates for that month as outlined above.
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Section F: Roll Forward Projects in new TIP

Every March, the Office of Work Program provides the Districts the Tentative Work Program that is to be adopted on July 1. The MPOs TIP incorporates the Tentative Work Program and is also adopted on July 1. Year 1 of the TIP and the Work Program should always match. However when the new TIP and Work Program become adopted on July 1, there are often projects which were intended to be authorized prior to June 30 (i.e. when the previous TIP and Work Program were in effect), but did not. These projects will automatically roll forward in the Work Program (and also in the STIP) but not in the TIP. Hence there is a need to reconcile the two documents and bring the TIP up to date. This is accomplished by what is known as a Roll Forward TIP amendment. Around mid to late July, the Office of Work Program posts the Roll Forward Report online. This report lists, by District, those projects which did not get authorized by the end of the last fiscal year and have been rolled forward in the newly adopted Work Program. The Districts provide this list to the MPO, and the MPO uses this list to process a Roll Forward TIP Amendment.
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An MPO can do a Roll Forward TIP amendment as soon as the Roll Forward Report is published. However, FHWA will not recognize the approval of the Roll Forward TIP Amendment until after October 1, the effective date of the new MPO TIP. Please note that there is no need for the MPOs to request a Roll Forward STIP Amendment because these Roll Forward projects are already included in the new STIP, to be effective October 1.
Section G: Administrative TIP amendments for amending old TIP after new TIP is adopted on July 1st
Metropolitan Planning Organizations (MPOs) statewide will adopt their new Transportation Improvement st Programs (TIPs) to be effective July 1 . However, they will not be recognized as effective for federal st st purposes until October 1 since the federal fiscal year doesnt start until October 1 . This difference in state versus federal fiscal year presents the MPOs with the situation of having some projects in the state fiscal year '05 in the new TIP that may not appear in the old TIP because they were added during the last Tentative Work Program development cycle. FHWA has, in the past, required Board action to amend these same projects into the old TIP during the months of July, August and September before we can get a federal authorization approved for these projects. Yet MPO board action to adopt the new TIPs on July 1st each year clearly demonstrates the intent of the MPO to include these projects in their TIPs for that time period. FHWA recognizes the confusion caused by having to bring to the MPO Board these requests to amend st projects into the old TIP, after July 1 each year, when these same projects are already included in the st new TIP already approved by the Board and adopted on July 1 . Therefore, FHWA has agreed to allow the MPO Executive Directors to process "administrative" TIP amendments for these types of projects when adding them to the old TIPs during this three month period, rather than having to take full board action to add projects already included in the new adopted TIPs. FHWA will allow this ONLY under the following conditions: The administrative amendments take place between July 1 and September 30 of each year. The projects included in the administrative amendment are the identical projects already approved st and included in the first year of the new TIP adopted on July 1 . There must be no change in the project description, funding or scope of work. They must appear in the administrative amendment exactly as they appear in the new TIP.
st th
All other requirements for processing TIP amendments must be adhered to, including a letter from the MPO Executive Director approving the amendment, with the detailed project information included.
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CHAPTER 7: AUTHORIZING FEDERAL PROJECTS WITH FHWA

Section A: Flowchart on Federal Authorization Process
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Section B: Department Procedure No. 350-050-005 Federal Project Authorizations

This departmental procedure provides an overview of the process for obtaining an approved authorization from Federal Highway Administration (FHWA) to provide funding to begin a specific transportation project. It also provides an overview of the process for modifying initial project authorizations for contract awards, supplemental agreements, non-participating costs, and other adjustments as required throughout the life of the project, and for closing the project in FHWAs (and FDOTs) fiscal records upon completion. It is a brief procedure designed for individuals interested in the basic steps involved in obtaining federal participation in the cost of transportation projects administered by Federal Highway Administration. It does not address detailed instructions for each of these basic steps. Detailed instructions are found in later sections within this chapter and the procedure is available from: http://www2.dot.state.fl.us/proceduraldocuments/procedures/bin/350050005.pdf
Section C: Defining the Federal Project

Relationship of Financial Projects to Federal Projects Each phase group generally represents a separate federal project phase. A typical road or bridge job will consist of two or three separate federal project phases, each having a separate Federal Aid Project Number: Preliminary Engineering Right of Way (if needed) Construction
With few exceptions, each phase of work must be closed in the fiscal systems (FAMS and FMIS) before the next phase of work can begin. Other types of phases are treated differently in terms of phasing and closing procedures. These are discussed in other sections of this chapter. Each federal project will consist of one or more financial projects and/or financial project phases. Generally, a federal project will consist of only one set of related phases, such as PE, R/W or st Construction. These are known as phase groups in FDOTs Work Program (1 digit of phase). The nd Work Program Phase Types (2 digit of phase) are more specific subsets of the Phase Groups. See Work Program Instructions, Appendix D, for details. Examples follow: A. A single federal project may consist of (be associated to) multiple types of construction (5x,6x) phases from a single financial project in a single year, such as: 1) 2) 3) 4) Phase 52, construction contractor Phase 56, construction utilities Phase 61, construction engineering support, in-house Phase 62, construction engineering support, consultant
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B. A single federal project may consist of a single type of design consultant phase for multiple financial projects in a single year, such as: 1) Phase 32, PE consultant, for Financial Project No. 123456 32 1 2) Phase 32, PE consultant, for Financial Project No. 234567 32 1 3) Phase 32, PE consultant, for Financial Project No. 345678 32 1 C. A single federal project may consist of multiple right of way phases of a single financial project programmed over several years, such as 1) 2) 3) 4) Phase 42, R/W Phase 42, R/W Phase 43, R/W Phase 43, R/W consultant Yr1 consultant in Yr2 purchase in Yr1 purchase in Yr2
Assigning the Federal Aid Project Number The District Federal Aid Coordinator initiates the request for Federal Aid Project Number (Exhibit 1). The request includes: A statement requesting a Federal Aid Project (FAP No.) number. Financial Project number(s) including the phase(s) and sequence(s) to be associated. FAP No.s are primarily derived from the geographical location. If an earlier phase of work on this financial project has already had a FAP No. assigned then the FAP No. should be provided with the request. The new request will then utilize the same geographical route number with a new assigned improvement number. Otherwise, provide a project location map so the route number can be identified and the improvement number assigned.
Show total project costs on FARs; Associate non-federal funds Federal Authorization Requests (FARs) should reflect the total cost of the project, not just the federal funds (and required state match, if any). Other funding sources on the project should be associated or incorporated within the FAR. These associated funds can be any type of funds other than federal funds, including state (in addition to required match, if any), local, turnpike, bonds (Tpk, R/W), and/or loans (SIB, TIFIA).
Section D: Common Criteria for all Federal Projects

Federal Authorization Requests (FARs) are prepared in FDOTs Federal Authorization Management System (FAMS) and submitted electronically to the Federal Aid Management Office in Tallahassee by the Federal Aid Coordinators in each district, turnpike and central offices where statewide programs are managed. It is the responsibility of Project Managers to ensure that Federal Aid Coordinators are notified in a timely manner of the need to request federal authorizations for federally funded projects. This responsibility includes ensuring all the required prerequisite criteria are met (and supporting materials are available) BEFORE requesting the Federal Aid Coordinators to prepare the FAR. Federal authorizations must be approved by FHWA before construction contracts can be advertised, or in the case of professional services contracts, before the contracts may be executed. Federal projects must be modified to match the contract award amount. Obligation of additional federal funds to match the contract award must be approved by FHWA prior to the award of the contract.
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Deobligation of federal funds to match the contract award must be requested within 90 days after award, so the federal funds can be released and used on other projects. FARs submitted to the Federal Aid Management Office must be reviewed for accuracy before they are transmitted electronically to FHWA, and are occasionally returned to the originator for corrections. FHWAs Financial Administrator also reviews all project transmittals and electronically approves projects exempt from federal oversight, and if the project is subject to FHWA oversight, a FHWA engineer reviews and approves it electronically. Occasionally, an engineer may be on travel status, which may also delay the approval. For these reasons, FARs should be submitted to the Federal Aid Management Office at least 30 days prior to the date the approval is needed, to avoid unnecessary delays. The Federal Aid Coordinators will notify appropriate staff when federal project authorizations are approved. Approved authorizations are also posted daily to the Federal Aid Management Offices Infonet site. Certain criteria must be met for all projects that are partially or fully funded with federal funds before work can commence on the project. These criteria are listed below: A. The project phase(s) must be included in FDOTs Adopted Five Year Work Program. B. The project phase(s) must be listed in FDOTs federally mandated STIP (with the exception of planning and emergency repair phases). C. If the project phase(s) is located in an area represented by an MPO, the project phase(s) must also be included in the MPOs TIP. D. State budget authority must be available for the project so it can be encumbered prior to contract execution. E. A Federal Aid Project Number (FAP No.) must be assigned to the project phase(s) included in each Federal Authorization Request. F. A Federal Authorization Request (FAR) must be prepared by the District Federal Aid Coordinator (or selected statewide program managers) in FAMS and submitted electronically to the Federal Aid Management Office in Tallahassee, along with all required supporting materials. The Federal Aid Management Office, after reviewing the FAR for accuracy, will electronically transmit the FAR to FHWA for their approval. G. The initial federal authorization must be approved by FHWA before any work can commence or any costs can be incurred on the project (with the exception of emergency repairs performed immediately after a declared disaster to keep roads and bridges open to traffic. See Chapter 1, Section W, Emergency Relief Program in this part of these instructions for further details.) Please refer to the following sections of this chapter for guidelines on the specific steps necessary to obtain approved federal authorizations for specific types of projects.
Section E: Authorizing Highway Planning and Research Projects

Planning includes the activities and resources required to evaluate the impact of development throughout the state, identify transportation problems and needs, develop short and long range transportation plans, and provide planning database services. New contracts and Task Work Orders must be submitted to FHWA for their approval prior to authorization. See Part III Programming Guidelines, Chapter 21: Planning, for additional detail. Highway Planning and Research Projects should use the HP numbers assigned for this purpose by Central Office. Each District will be assigned an FAP No. in the form HP0#-xxx where the # is representative of the District and xxx is the Improvement Number as the next sequential number available. CO will utilize HP09-xxx
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Financial project numbers are established for each type of work activity approved in the SPR are associated to the FAP No. established for each District and CO as follows:
*
Transportation Planning Activities Data Collection Activities Systems Planning Activities Operating Consultants
Phase 11 with a 1 year date range Phase 11 with a 1 year date range Phase 11 with a 1 year date range Phase 12 will not have a date range and the sequence number should be incremented for new contracts.
*CO will have many more project numbers for specialized tasks and special projects to be identified by the Office of Work Program, MPO Funds/HP Funds/ITS S/W Funds/SIS/ Work Program Coordinator in consultation and coordination with the Office of Policy Planning. o The Phase 11 Financial Project Numbers (FPN) will have a 1 year length and will be re-used and associated to a new FAP No. where the improvement number will be incremented by one. See Example 1 The Phase 12 FPN will not have a date range and the sequence number will be incremented by one and associated to the new FAP No. See Example 2
Example 1: FAP No. HP0X- 046 with an FPN Phase 11 should be established to end at the State fiscal year end 6/30/2009. The next number would be HP0X-047 and it would be associated with the same Phase 11 FPN and the date range would be from 7/1/2009 to 6/30/2010. Example 2: An FAP No. such as HP46-001 with an FPN Phase 12 will be assigned for the consultant phase of work with a three year date range to allow for the processing of invoices that will be submitted until the encumbrance is fully expended. Each year a new Route Identifier will be established to track which year the contract originated and will correspond to that years SPR approval. Each new consultant contract will receive the next subsequent FAP No. for that years approved SPR. The next contract would receive HP46-002 and would remain open until the encumbrance is fully expended or the maximum contract length negotiated with FHWA (currently three years with the potential for an extension). The following years Route ID would be HP47-001 and all consultant contracts approved in that years SPR will receive the next sequential number. FHWA may grant approval of three-year planning contracts (for HP funds) if all of the Federal requirements are incorporated into the boilerplate contractual provisions. PL funds will still be subject to the 2 year $750,000 limitation unless a documented exception is obtained from FHWA. Regardless of contract length, task work orders should be submitted to FHWA for approval prior to commencing work. Any work that begins prior to task work order approval by the FHWA Division Planning Programs Coordinator must be coded as non-participating. See Department Procedure Professional Services Acquisition Topic No. 375-030-002 (http://www2.dot.state.fl.us/proceduraldocuments/procedures/bin/375030002.pdf), which documents the process to be used when federal funds are used on any contract. In the event that federal funds are utilized on a task work order, operating margin will be established as a lump sum compensation element (fixed fee); otherwise FHWA will not participate in cost reimbursement.
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Section F: Authorizing Metropolitan Planning Projects

The allocations to the Metropolitan Planning Organizations (MPOs) should be used for their Unified Planning Work Programs (UPWP) as well as HP allocations for In-House and Operating Budget Consultants in the Districts and Central Office. SAFETEA-LU requires the State to promptly reimburse metropolitan planning (PL) funds to MPOs in Section 1007, Metropolitan Planning, with the following provision of 23 USC 104(f)(4): "(B) REIMBURSEMENT.-Not later than 30 days after the date of receipt by a State of a request for reimbursement of expenditures made by a metropolitan planning organization for carrying out Section 134, the State shall reimburse, from funds distributed under this paragraph to the metropolitan planning organization by the State, the metropolitan planning organization for those expenditures. This provision became effective with SAFETEA-LU and is applicable to all claims for reimbursement for PL funds that the State receives from an MPO after August 10, 2005, which must be paid within 30 days of receipt of the MPO's request for reimbursement. This requirement is also reflected in a revision to 23 CFR Part 420, Planning and Research Program Administration. The Metropolitan Planning funds resulting from this apportionment are available for obligation until September 30, 2009. Any amounts not obligated by the State on or before September 30, 2009, shall lapse. The funds resulting from this apportionment are available for obligation immediately and will be subject to obligation controls in force at the time of obligation. The program code to be used when obligating these funds is L450 and the federal share will be at 100%. For FAP No. assignment, the Route ID Number will represent the county using the Federal County Codes and Improvement Number will be the next sequential number incremented by one each year they are assigned for a period of two fiscal years. See Part III Programming Guidelines, Chapter 21: Planning, Section C, for additional detail.
Section G: Authorizing Preliminary Engineering Projects (including PD&E)

District Federal Aid Coordinators should e-mail their Central Office representative for a FAP No. and the Financial Management phases to be associated to the project along with a location map. With the exception of Interstate, Bridge and Off the State Highway System projects, all in-house preliminary engineering phases shall be programmed with DIH, DSBX or PKXX, as appropriate. For Interstate or Bridge projects, in-house preliminary engineering phases may be programmed with federal funds. For projects Off the State Highway System, in-house engineering phases must be programmed with federal funds.
Section H: Authorizing Right of Way Projects

Presently, FHWA requires that Districts provide a Right of Way (R/W) cost estimate when requesting the initial federal authorization on a right of way phase. FHWA has confirmed that R/W map submission is no longer required on any project, including oversight, except for advance acquisition (hardship buying, protective buying).
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However, there have been several instances recently where it was discovered that offers had been presented to property owners prior to the date of the approved federal authorization. This is a violation of the federal regulations relating to acquisition of right of way land with federal aid funds. The FHWA Florida Division Office Realty Officer has requested the Department to provide documentation that offers have not been made prior to the federal authorization. In addition to the R/W cost estimate, Districts must also provide the Acquisition Detail Report for the R/W phase requesting authorization. This report is generated out of the Right of Way Management System (RWMS) and will show, for each parcel, the dates when initial negotiations began. The column on this report titled Initiation of Negotiation should be blank prior to the approval of the federal authorization request. This will provide FHWA with the negative assurance they require in order to approve the initial authorization request. This report may be generated and saved in either Adobe PDF format or Excel spreadsheet XLS format. The file can then be attached to an email and sent directly to Brian Telfair, FHWA Florida Division Office Realty Officer, or it can be sent to your District Representative in the Federal Aid Management Office. We will forward the document to FHWA when we submit the Authorization Request to FHWA for approval. If the document is sent directly to FHWA by the District, then a comment should be placed on the authorization request indicating it was sent, and include the date it was sent. A representative sample of the Acquisition Detail Report is shown below:
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Section I: Authorizing Construction Projects

Initial Authorization Construction letting projects must be authorized prior to Advertisement. Schedule of Advertising dates can be found on Production Managements Website under Critical Dates. For each letting, the Federal Aid Management Office (FAMO) determines the Oversight classification of each project and posts the classification to Production Managements Processing List. Production Management Office coordinates receipt of required documents known as the Contract Package. The completed Contract Package is forwarded to FAMO on or before the date shown on the Critical Processing Dates list as To Fed Aid for Assembly of PS&E package. On or before that same date, the district Federal Aid Coordinator submits the Federal Authorization Request (FAR) to FAMO. Required documents to be included in the contract package are listed below. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Checklist Preliminary Engineering Certification Utility Certification Environmental Re-evaluation (no more than one year old) Design Certification (including documentation of design variances on Oversight projects) Calendar Days Calculation if the project is Oversight. Maintenance Agreement (all off-system jobs) CM justification if the project uses Congestion Mitigation Funds. Right of Way Certification. Estimate (from TRNS*PRT) including summary sheet
FAMO does a quality assurance review of the FAR, assembles the required portions of the package to transmit to FHWA on the Oversight Projects, and transmits the FAR to FHWA. FHWA completes the authorization process by electronically signing the authorization. Modifications All project modifications that result in an increase of federal funds must accurately and succinctly describe in the comments why additional funds are justified. Supplemental agreements should be signed by the FHWA area engineer for oversight projects and remain available upon request in accordance with the Departments records retention schedule. Prior approval must be obtained before commencing work. Initial contingency amounts and other non-participating pay items should be coded as non-participating. Closing the Project Project is identified as potentially ready for final voucher audit (District, FAMO, OOC). For a project to be ready for audit all encumbrances and retainage on all phases must be cleared and appropriate documentation must be in the file. In Preparation for Final Voucher An In preparation for final voucher modification may be processed to balance to billable amounts as long as encumbrances and retainage are cleared. Project should NOT be placed in Ready Final Voucher mode on the FP55 screen until encumbrances are cleared and documentation is in the file.
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Ready Final Voucher
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After project is in Ready Final Voucher mode, OOC proceeds with audit. Files will remain available for OOC audit purposed until the audit is complete. The files will be sent to archive for offsite storage in accordance with the Departments record retention schedule when the audit is complete. Audit Completed When OOC completes the audit, they send an e-mail requesting a modification if needed. FAMO processes the modification, Based on OOC FV Audit and to Close. The modification should be processed with the project in FV Audit 07 status. This will accomplish both the final modification and the project close simultaneously. Closing the Project When the billed amounts equal the agreement and OOC is satisfied that the project is complete, they send an e-mail saying that the project is ready to be closed. At this time, estimates are balanced to commitments in Work Program. A response is sent to OOC that the status may be changed to FV Audit 07. This is the last opportunity to delete complete years from WP20. District should thoroughly examine Work Program at this time. OOC changes the status from Ready Final Voucher to FV Audit 07. After the status of the project has been changed to FV Audit 07 (FV07), the project will be quality reviewed in FAMO to verify that: Agreement and expenditures in FMIS and FM are equal for all funds. The project has an FV07 Status. OOC audit is complete (e-mail from them will be sufficient). Project has no pending ARs. There is a final acceptance on file (if one cannot be located, check the FMIS screen to see if it has a project completed date indicating that FHWA has the final acceptance and obtain a copy from the FHWA area engineer).
The project will be quality reviewed in FAMO when it is ready to close to verify that all requirements have been met and will be certified and transmitted to FHWA. Once FHWA signs the project in FMIS, the nightly batch approval transaction in FAMS closes the project to an FV Audit 09 status.
Section J: Authorizing Design/Build Projects

The following instructions cover the scheduling of the project authorization, preparing the authorization request, and closing the project. Design/Build (D/B) projects are authorized under the Special Experimental Project (SEP) 14 plan approved by FHWA. This annually approved plan governs federal participation in D/B projects. See Part III, Chapter 34 on Special Contracting Methods in these instructions for more information on SEP 14. Federal Aid authorization on D/B projects is also subject to the provisions of the Exemption Agreement executed between FHWA and the Department. This agreement identifies types of projects and functions subject to oversight by FHWA and those projects and functions delegated to the Department. It is suggested that District Work Program Managers and District Federal Aid Coordinators be included in District coordination activities, meetings and correspondence concerning D/B Projects to insure timely programming and federal aid authorization activities.
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Phasing in the Work Program
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Once a project is identified as a D/B project, it should be decided who is going to perform the services necessary to bring the project to completion (services such as utilities/railroad, permits, geotechnical services, survey, and CEI). Some of these services may be done prior to the D/B contract. However, it is important to ensure that the funds are programmed in the correct category, i.e., in-house or consultant. D/B contracts will be identified in WPA as phase 52, contract class 9. Depending upon who is to perform necessary services, additional phases may be needed for PD&E work prior to the D/B phase, right of way (R/W) land acquisition and/or R/W services, construction engineering (CEI) services, and/or phases for the payment of compensation to the short-listed firms on D/B projects. The following guidelines provide more information on when each of these additional phases may be appropriate. Construction Engineering and Inspection (CEI): FHWA requires that the department provide independent verification testing and oversight inspection outside of the D/B firms contract. This can be accomplished with in-house forces (phase 61) or with an oversight CEI contract (phase 62). This is true even if the majority of the CEI work is done within the D/B contract and is included in the phase 52. In-house CEI estimates that are automatically generated by WPA (based on the overall phase 52 level) must be manually revised to represent only the in-house effort required to manage the CEI consultant. When independent inspection is to be performed by CEI consultants who are not members of the D/B firm and included in the D/B contract, a separate contract shall be advertised and awarded for CEI services (use phase 62). If R/W services (consultant and support) are to be provided as part of the D/B contract, R/W support will be included in the construction (phase 52) authorization. Consideration must be given to how R/W support will be provided in the eminent domain phase of the project and whether that portion of the total R/W support needs to be authorized separately. R/W land payments and relocation payments must be programmed as Phase 43 and Phase 45 respectively. R/W land and relocation payments can never be programmed in Phase 52. Phases 41 and 49 (in-house support and indirect overhead) will be programmed in accordance with the Work Program instructions for right of way projects. D/B projects including Right of Way services will still require in-house support. The District Federal Aid Coordinator should request one Federal Aid Project Number for the entire D/B project, regardless of the number of phases programmed. Timing of the Federal Authorization Unlike regular construction which uses activities/events pertaining to the letting schedule, D/B projects must be authorized before the Request for Proposals and Design Criteria Package is published or mailed and after approval of the RFP and Design Criteria Package. RFP and Design Criteria packages for Interstate system capacity projects subject to FHWA Oversight ($1 million or more) are approved by the FHWA Division office. The FHWA Division office requests up to three weeks to review the RFP and Design Criteria Package before granting their approval. Since several draft submittals and re-submittals can occur, the authorization request is processed only upon final written package approval. For Exempt projects, the District D/B team approves the package. Usually, the District Professional Services Administrator notifies the Federal Aid Coordinator in writing of this approval. These package approvals are necessary for FHWA participation in the project. The D/B authorization request should be processed immediately upon notice of receipt of package approval. Upon receipt of the approved FHWA authorization, District Federal Aid Coordinators should notify the District D/B team so that the RFPs and Design Criteria packages can be distributed.
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D/B projects must be included in the TIP/STIP before the federal authorization can be approved by FHWA. Scheduling the Federal Authorization The Department plans for the obligation of federal funds apportioned and allocated to Florida based upon projects in the Adopted Work Program and their related activities and events in the Project Scheduling System. Major D/B projects consume significant amounts of these funds. The Federal Obligating Authority Plan includes D/B project fund commitments in months when the authorization is needed as defined by the scheduled Activity/Event. A Project Scheduling System Activity/Event has been established to plan for the future obligation of federal funds and also to schedule the anticipated date of package approval. The PSM code is: RFP/DES BUILD PKG APPROVAL Activity/Event No. 285 Regardless of the Oversight or Exempt project nature or type of D/B (Adjusted Score or Low Bid), this Activity/Event is to be scheduled in PSM when the project is incorporated into the Work Program. Preparing the Federal Authorization Since R/W must be certified clear with environmental determinations and permitting complete before the RFP Design Criteria Package is approved, these activities normally will be authorized with federal funds in advance of the D/B authorization. Therefore, District work for Project Development phases should serve as the basis for the original federal project authorization, followed by R/W (survey and acquisition) if required. The sequence of federal authorizations is as follows: A. PD&E advance activities are included in the original project authorization B. Authorization modification for R/W, if required C. Authorization modification for D/B. Note: If the RFP package includes a provision to pay compensation to short-listed firms on an Adjusted Score D/B project, the authorization request will include a Work Program Phase 32 for the compensation with the D/B Phase 52 and CEI Phase. D. Work program phase estimates for D/B (Phase 52) and CEI (Phase 61 and/or 62) and the FHWA federal aid authorization previously established, will need to be adjusted after the contract is awarded. Generally, these contract price adjustments should occur in the month following D/B contract award. E. For district-let D/B oversight projects, the District must ensure that the FHWA area engineer has provided concurrence in award via e-mail or formal letter to be included in the Central Office, Federal Aid Management Office files and District Procurement Office files. F. Final authorization modification for project closeout, if needed, to balance authorization to final expenditures. Right of Way (R/W): If R/W services are included in the D/B contract, the request for federal authorization for each D/B project shall include a R/W certification signed by the District Right of Way Manager. The certification may be either a certification for construction or a certification for authorization and advertisement. The certification for construction shall state that either no additional R/W is required for the project, or additional R/W was
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required for the project and all R/W activities have been completed in accordance with applicable federal and state requirements. The certification for authorization and advertisement shall state that additional R/W is required for the project, that the necessary processes and procedures are in place to address R/W issues, and appropriate controls have been included in the D/B contract to ensure construction activities do not commence prior to the Departments certification that all R/W activities have been completed in accordance with applicable federal and state regulations On federally funded projects, federal authorization is required prior to beginning any R/W activities. For those projects which include R/W services in the D/B contract, authorization for R/W land may be obtained at the same time as the authorization for the D/B contract as long as the Department has controls established by contract to preclude the start of negotiations prior to NEPA approval. R/W maps, title information and legal descriptions must also be complete prior to the start of negotiations. Documentation requirements for federal authorization The form of documentation requirements for D/B is different from regular construction projects. D/B authorizations with federal funds, whether Oversight or Exempt, should be supported by: R/W clear certifications Written FHWA or District D/B Team approval of the RFP and Design Criteria Package For projects exempt from FHWAs project level oversight, the state is required to assure these projects meet the 12 D/B Operating Parameters described in FHWA memo to the Department dated December 19, 2001, and reproduced as part of Federal Aid Technical Bulletin 02-03 (may be found on Federal Aid Management Offices Infonet site. This statement may be made via email but must come from the Project Manager or the District Production Director. Signed electronic signature forms from FHWA authorizing funds for the project
The RFP and Design Criteria package documentation should confirm that other applicable checklist items, such as utilities and permits and NEPA status, are complete. See DOT Procedure Topic Number 625-020-010 Design Build Procurement and Administration, for additional information.
Section K: Authorizing Local Agency Program (LAP) Projects

Local Agency Program (LAP) Agreements executed between the Department and local LAP certified government entities may include more than one phase of work. Locals may be performing design phases (including PD&E) and right of way (R/W) acquisition phases as well as the construction phase. FHWA presently requires 1) the PE phase is complete and 2) R/W (if any) is certified clear before the construction phase can be authorized. This means that encumbrances and federal authorizations must be requested by phase of work, not for the entire amount of the LAP Agreement, unless the Agreement only includes a single phase of work (PE, R/W, or Construction). LAP Agreements must contain language stating that: Encumbrances and federal authorizations can only be requested for the cost of the first phase of work included in the LAP Agreement. Subsequent phases of work, if any, must request additional encumbrance and federal authorization before a Notice to Proceed can be issued to begin the subsequent phase of work. Construction LAP projects must be authorized before the project will be encumbered. The FAR is transmitted to FAMO for authorization, and the authorization process is completed in the same manner as for regular construction projects. The request for authorization from the district must contain an assertion that the Preliminary Engineering phase of the project is complete.
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LAP Project Certification Process:
September 9, 2011
To ensure compliance with all Federal-aid requirements, a checklist will be used to verify and reference the corresponding construction contractual documents. The process will be as follows: The Local Agency and the District LAP Administrator will review the contract documents, reference the location of the requirements, and sign indicating that the project complies with all requirements in the checklist. The entire package will be submitted to the State LAP Administrator and an e-mail will be sent to the District Federal Aid Coordinator by the District LAP Administrator so they can begin preparing the project for review in the Federal Authorization Management System (FAMS). The State LAP Administrator will review the package and determine if it meets all of the requirements. If more information or clarification is needed, it will be returned to the District LAP Administrator for correction. Once the State LAP Administrator signs off on the checklist for these projects, he will send the contract package and the original checklist back to the District LAP Administrator to be retained in their files. He will also send a copy of the signed checklist to the Federal Aid Management Office (FAMO) for retention. The State LAP Administrator will send an e-mail to the District Federal Aid Coordinator and District LAP Administrator upon certification so that they can put the project in review for submission to the FAMO. In addition, the District LAP Administrator needs to make sure a copy of the signed checklist is sent to the District Federal Aid Coordinator. The District Federal Aid Coordinator will place the date of the State LAP Administrator signature, in the field in FAMS designed to store this information. Projects that were previously authorized will still need to go through the LAP Project Certification process before any subsequent authorization modifications will be processed (including modification to convert Advanced Construction projects to regular funds).
Use of Checklists for LAP projects authorized prior to 7/19/05 FHWA has approved the use of an abbreviated checklist for projects that were authorized prior to July 19, 2005. The abbreviated checklist will be available on the Project Management, Research & Development Office website. Written explanations must be prepared and sent with the checklist explaining any problems (no responses) and what was done to resolve them. FHWA will not participate in any additional costs necessary to resolve these compliance problems. o o If federal funds must be removed from the project and the project is off the state highway system, then the Department will have to request repayment for the cost of the project from the local government. No state funds can be used on off-system projects. Districts are encouraged to prioritize seeking certification on projects which are still underway, where the contractor has an incentive to cooperate in the process.
Projects that have received FHWA Final Acceptance prior to July 19, 2005, or are on the approved list of completed projects, can proceed without either form of the checklist. The Final Acceptance date must be entered in FAMS as the Project Completion Date and, in the comments field, indicate that the project does not require a LAP certification checklist due to the project being complete prior to July 19, 2005.
Page 100 of 109
Part IV Federal
September 9, 2011
All Advanced Construction funded projects authorized prior to July 19, 2005, regardless of completion status, must have an approved abbreviated checklist before they can be converted to federal funds, or any other authorization modifications can take place. All construction projects authorized after July 19, 2005, will still need the long checklist, and all other projects with phases such as Right of Way and Design do not need any type of checklist completed.
Section L: Authorizing National Bridge Inspection Program

The NBIS Program is a District Wide Program that will fall under the rules outlined in Chapter 5: Section D of this part of these Instructions and will be subject to the 5 year limitation unless a documented exception is obtained from FHWA. The work type should be entered as Special Bridge in FAMS. Each District should request to have an on-system and an off-system number set up, every two years. The project must be in the approved Statewide Transportation Improvement Program (STIP) prior to authorization. Contact your district representative in FAMO for assistance. The Route Number for these FAP No.s will begin with NBIS.
Section M: Authorizing Intelligent Transportation System (ITS) Projects

Intelligent Transportation System projects must be sent to the FHWA ITS Engineer for determination of oversight status. If the project is designated as oversight, Task Work Orders or Scope of Services must be approved by the FHWA ITS Engineer prior to authorization. Modifications that increase the total project cost or significantly change the approved scope must also be approved by the FHWA ITS Engineer. The Route Numbers assigned to ITS projects will be assigned in the format (ITS#-xxx), where the # is representative of the District and the xxx is the next sequential improvement number.
Section N: Authorizing Projects in Local Government Advance/Reimbursement Program where repayment is with Federal Funds
It is not necessary to associate the A8 payback phase of a project in FAMS because this would create an inflated appearance and overstate the financial impact of the project. The locals are providing the funds to the Department to advance the project into a more current year of the adopted Work Program and they will be paid back when the project was originally scheduled. A note should be added on the Federal Project Information (FP Info) screen in FAMS indicating that the A8 phase does not need to be associated.
Section O: Authorizing Projects with State Infrastructure Bank (SIB) Loans where repayment is with Federal Funds
The State Infrastructure Bank (SIB) is a revolving loan and credit enhancement program consisting of two separate accounts. The federally-funded SIB account is capitalized by federal money matched with state money as required by law; the state-funded SIB account is capitalized by bond proceeds and state money only. SIB funds may be loaned to a variety of public and private entities, and may be used for various forms of financial assistance such as subordinated loans, interest subsidies, letters of credit, capital reserves for bond financing and construction loans.
Page 101 of 109
Part IV Federal
September 9, 2011
Federal payback of SIB loans federalizes the entire project and all normal federal requirements must be fulfilled prior to letting the project. Additionally, all repayments with federal (FHWA) funds must be authorized in FAMS for the total of all future loan repayments before any loan proceeds are disbursed. The estimate summary sheet for letting projects should not include the payback phases because this would potentially make the project appear to be in excess of the STIP/TIP amendment threshold. All right of way land acquired using the federally-funded SIB must be in compliance with Public Law 91646, Uniform Relocation Assistance and Real Property Acquisition policies Act of 1970, as amended and all state/federal laws and rules governing Right of Way acquisition by FDOT. See Part III Programming Guidelines, State Infrastructure Bank for additional guidance and programming examples.
Section P: Authorizing Projects with Transportation Infrastructure Finance & Innovation Act (TIFIA) Loans
The Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) established a new Federal credit program under which the United States Department of Transportation (USDOT) may provide three forms of credit assistance - secured (direct) loans, loan guarantees, and standby lines of credit for surface transportation projects of national or regional significance. The program's fundamental goal is to leverage Federal funds by attracting substantial private and other non-Federal co-investment to help finance critical improvements in the nation's surface transportation system. The USDOT uses a merit based system to award credit assistance to project sponsors for eligible projects, taking into account statutory selection criteria. After approval of a project and completion of negotiations, the USDOT executes a credit agreement that is the definitive legal agreement between the USDOT and the project sponsor specifying all terms and conditions of the TIFIA credit assistance. Although the repayment is with state funds, a project that includes federal TIFIA loans as part of the funding becomes federalized. A Federal Aid Project Number will not be assigned since TIFIA doesn't flow through our normal federal authorization process. TIFIA loans are obtained through electronic funds transfer directly from FHWA into the State Transportation Trust Fund, well ahead of the time of the construction letting. There may be times when a FAP No. will be assigned for tracking purposes and additional assurance that oversight responsibilities are being fulfilled. Nonetheless, if any part of a contract is funded by federal dollars then the entire contract becomes federalized and subject to all the federal contract provisions such as Davis-Bacon, Buy America, etc. See Part IV, Chapter 1, Section Y of these instructions for more detail or http://tifia.fhwa.dot.gov/.
Section Q: Authorizing Federal Lands Highways Projects

The Eastern Federal Lands Highway Division holds a program meeting with Federal Aid Programs Office, District representatives, Federal Highway Administration, and Forest Services. The following items are discussed at the program meeting: Status of Forest Highway funds Prioritized list of projects Status of current projects Funding plan for current FY plus next 4 years The funds must be used within 4 years and the Federal Share is 100%. District Federal Aid Coordinator will request authorization based on the obligation plan.
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Part IV Federal

September 9, 2011
District Federal Aid Coordinator creates a Federal Authorization Request by entering data into FAMS and submits request to Federal Aid Management Office for review. Federal Aid Management Office will review the Federal Authorization Request and place in a certified status. Federal Aid Management Office will also create a PR1240/2 for the initial authorization or modification for submittal to Eastern Federal Lands Highway Division. The Federal Aid Program Manager must sign the original PR1240/2. A copy of the PR1240/2 is placed in the file. The original PR1240/2 is mailed to Eastern Federal Lands Highway Division.
Section R: Authorizing Federal Earmarks

Once allocations have been received, the district federal aid coordinator should email their central office representative for a number assignment. A map, if applicable, should also be attached to the email, requesting a federal aid number. Once received, the district federal aid coordinator can submit a Federal Authorization Request (FAR). The FAR should be submitted based on the following criteria:
Federal Appropriation Category Unknown at this time WP FUND Unknown at this time PLHD HPP PROGRAM FAP ROUTE ID Unknown at this time PLH_* SFTLDEMO ID FEDERAL SHARE 100% 80% Technology Partnerships 100% 80% SOFT-MATCH OR STATE MATCH None
Highways for Life Pilot Program (Discretionary)
4130 HY10, HY20, LY10, and LY20
Public Lands Highway Discretionary Program High Priority Projects
None Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. None
LY30
TIMP
Transportation Improvements Projects
SFTLDEMO ID
90% Interstate 80% - Noninterstate
LY60
S112
Section 112 of the Transportation, Treasury, Housing and Urban Development, the Judiciary, District of Columbia, and Independent Agencies Appropriations Act
S112DEMO ID
100%
Page 103 of 109
Part IV Federal

L020 IMD Interstate Maintenance Discretionary IMD_ * 90%
September 9, 2011
Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. None
HX20 HX80
IBRC
Q680 H680 L680 92C0 92E0
TCSP
Innovative Bridge Research & Construction (Discretionary) Transportation, Community, and System Preservation Program (Discretionary)
IBRC
100%
TCSP
81.93%
H880 L880
VPPP
Value Pricing Pilot Program (Discretionary)
VPP_*
80%
Q950 3270
FBD
Ferry Boat Discretionary
FBD_*
80%
Q970 3330
SB
National Scenic Byways Program (Discretionary)
SBF_*
80%
Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required. Toll credits can be utilized in lieu of matching with state funds; therefore, federal share can be increased to 100% with no additional nonfederal funds required.
* Last digits should be representative of the District where the project is located.
Page 104 of 109
Part IV Federal
Revised: January 5, 2012 September 9, 2011
Advance Construction must be used on all High Priority (HPP). AC conversions will occur to the expenditure level as needed. Specific earmarks identified in the act (other than Discretionary Programs) and High Priority Projects should be assigned a Federal Aid Number with an SFTx route number and improvement number that matches the allocation in the act (i.e. FL-154). When the time comes for a new number to be assigned for R/W, the improvement number for the earmark will stay the same and the Route, SFTL, will change to SFT1 for R/W and SFT2 for Construction. For example, SFTL-154 was for the PE phases, SFT1-154 for R/W and SFT2-154 for the Construction phases. When more than one Demo ID is used on the same contract proposal, multiple federal aid numbers are often assigned. If more than one Demo ID is needed on the same item segment, the sequences of 90-99 must be used so that each federal project will accumulate a proportionate share of indirect costs attributable to each project.
Section S: Required Statistical Information in FAMS and FMIS

Environmental Clearance Information The date (month, day, & year) must be present on Federal Authorization Requests for all environmental clearances. For our purposes, one of the following must be used for the Categorical Exclusion: Programmatic (Programmatic under FDOT PD&E procedures) State Documented (Type I under FDOT PD&E procedures) FHWA Documented (Type 2 under FDOT PD&E procedures)
Other environmental clearance type data selections when issued by FHWA are available options from the drop-down menu when applicable (I.e.: Environmental Assessment, Finding of No Significant Impact (FONSI), or Environmental Impact Statement (EIS). Congressional Districts If a new line is being added to the project, the Does FMIS have this District? checkbox should be No the first time that line is transmitted. Project Completion and Estimated Construction Dates The Project Completed date in FAMS should be entered from the final inspection date that the resident engineer signed the Final Inspection and Acceptance of Federal-Aid Project form number 700-010-032 available at: http://formserver.dot.state.fl.us/MiscRepository/forms/70001032.pdf. These may be signed by a local public official if an engineer is not on staff but may not be signed by a consultant. The Estimated Construction date field should be the day that construction is anticipated to begin and should always be prior to the project completion date. Project completion dates are not required on the project for R/W and PE phases unless Earmark, Demonstration, or Discretionary funds are being utilized.
Page 105 of 109
Part IV Federal
September 9, 2011
Section T: Using the Comments and Notes fields in FAMS and Other Miscellaneous Information
In general, comments should summarize the modifications being requested on the project. These will be transmitted with the project and will be reviewed by FHWA prior to approval. They should not include information which is FDOT specific, such as phase numbers or obscure activity work codes which may be superfluous information to FHWA. Notes, on the other hand, which are reviewed by both the District and CO Federal Aid staff, are an excellent method of capturing any relevant information to explain irregularities, status changes, special exceptions, dates, or other useful information. These are not transmitted to FHWA and will appear each time project edits are generated during the review process. Authorizing federal funds on tolled roads The AR should indicate in the comments field that the project is under Section 129 Agreement executed on (date). Districts/Turnpike Enterprise must request project review by the Office of Financial Development prior to initiating the Agreement. Congestion Mitigation (CM) eligibility approvals by FHWA Projects proposed for funding with CM funds must first get approval from FHWA in writing that the proposed project is, in fact, certified as eligible to use CM funds. The Federal Aid Management Office does not need to be provided with a copy of this certification document when submitting the Federal Authorization Request. Rather, simply indicate in comments that the CM certification was signed on (give date) by (give FHWA representatives name). Local Agency Program (LAP) As a result of audit findings, LAP Projects now require a project level quality assurance review that includes completion of a checklist for each project. FHWA approved a list of projects that were complete prior to the issuance of the report July 19, 2005. These projects should include a comment indicating that the Project is on the FHWA approved list of closed LAP projects prior to July 19, 2005 which do not need a checklist. Permanent Emergency Relief During the 2004 hurricanes a number of Emergency Relief (ER) permanent repairs were commenced prior to obtaining an approved federal authorization and, in some instances, not in accordance with federal bidding requirements. There were a total of 20 specific Detailed Damage Inspection Reports (DDIRs) associated with these projects which Mr. David Gibbs, the FHWA Florida Division Administrator, approved to proceed with the authorizations and reimbursement for these projects on April 3, 2006. The Federal Authorization Request (FAR) for each of these projects must include in the comments to FHWA the following language....... "As permitted by 23 CFR Section 1.9, the FHWA Florida Division Office has approved this project for authorization as indicated in their letter to FDOT of April 3, 2006." These 20 Projects will not need a LAP checklist to obtain the approved authorization, as long as this language is included in the comments to FHWA on the FAR. Boilerplate Contract Language for LAP Projects This provision has been added to new Local Agency Program (LAP) and Joint Participation Agreements (JPA), and emergency agreement contracts.
Page 106 of 109
Part IV Federal

LAP example:
September 9, 2011
If Agency fails to timely perform its obligations in submitting invoices and documents necessary for the close out of the project, and said failure results in a loss of the remaining unbilled Federal (FHWA) funding either by Federal withdrawal of funds or loss of State appropriation, Agency will be responsible for the remaining unbilled federal funds on the project. No other funds will be provided by the Department. Agency waives the right to contest such removal of funds by the Department, if said removal is directly related to Federal (FHWA) withdrawal of funds or loss of State appropriation due to local Agencys failure or nonperformance. In addition to loss of funding, the Department will consider de-certification of said Agency for future LAP projects. The Comptrollers Office, in consultation with the General Counsel, has updated the Emergency Local Government Emergency Relief Agreement, Form No. 350-000-15 and the Financial Provisions for Joint Participation Agreements (NON-PTO), Topic No. 350-020-301, have been updated to reflect the suggested language below. The boilerplate language for agreements that are funded by FHWA must be updated to include the following language: The Agency shall be fully responsible for the proper billing of any federal reimbursable costs or charges, including those incurred by its contractors and subcontractors. The agency shall timely submit invoices and documents necessary for the close out of the project. The Agency agrees to promptly reimburse the Department for any and all amounts for which the Department has made payment to the Agency if such amounts become ineligible, disqualified, or disallowed for federal reimbursement due to any act, error, omission, or negligence of the Agency, including missing or deficient documentation of costs and charges, untimely, incomplete, or insufficient submittals, or any other reason declared by the applicable Federal Agency. The Agency agrees that the Department may offset such amounts from payments due for work or services done under any agreement between the parties if payment for the Agency is not received by the Department after (Generally 90) days of written notice from the Department. Offsetting any amount pursuant to this paragraph shall not be considered a breach of contract by the Department. The Agency understands that if it fails to timely perform its obligations, or timely submit invoices and documents necessary for the close out of the project, the maximum limiting amount may become unavailable or reduced due to a removal or withdrawal of federal funds or a loss of state appropriation, and the Department will have no obligation to provide funds from other sources. The Agency agrees that in the event the maximum limiting amount of this Agreement is reduced by such removal, withdrawal, or loss of funds, the Agency will be solely responsible for payment of costs and outstanding invoices no longer reimbursable due to the loss of funding. In addition, if there is not already a start date in the agreement, language must be added setting a date certain by which the project must begin or the agreement becomes null and void. There should already be an end date. This will allow us to pull the funding if the project does not start in a timely manner and FHWA requires the funds to be deobligated. FDOT Final Inspection and Acceptance for Emergency Relief (ER) Projects There is a new Final Inspection and Acceptance website available for use on State Administered (exempt) projects. The site is accessible from the Infonet Offices Work Program Final Acceptance Form, which will link to the following location: http://webapp02.dot.state.fl.us/fmsupportapps/federalaid/FinalAcceptance.aspx
Page 107 of 109
Part IV Federal
September 9, 2011
The form should be processed by contract number. All the financial project numbers, the amounts for each financial project, DDIR number(s), and Federal Aid numbers will appear and can be selected for inclusion in the automated form. Final Inspection and Acceptance for a contract that has more than one Federal Aid Project Number or multiple projects that will be completed at different times may be closed by financial project number(s). When the contract number is entered, the form will be populated with all of the associated phase/project(s) which are associated to that contract number and only those portions of the contract that are being final accepted should be selected. If all of the associated financial project numbers are not selected, when the Print Suitable format button is selected, a note will be automatically inserted indicating: NOTE: This is a partial contract closeout. Interstate Projects and Changes to FAMS for Capacity Work Mixes Projects on the Interstate which are adding capacity through lanes will default to an 80/20 participation rate in FAMS for the soft-match calculation. Projects will still be entered at 100% on the AR Detail and the soft-match will be displayed on the FAR Update screen once the project has been submitted to review. Projects which incorrectly used the 90/10 soft-match rate on previous authorizations will automatically be corrected when the project is modified. New projects will no longer be able to use Interstate Maintenance (IM) funds if there is any capacity work associated with the other IM work on the project, unless the capacity work is only HOV, auxiliary, or turn lanes; or the project is an interchange improvements or ramp work. 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 may also use IM funds. This work is not considered capacity and is eligible for 90% participation. If there is any capacity work on the project that is adding through lanes, NH must be used and we will soft-match at 80/20. Some work mixes are optional, such as 0022 - Bridge Replacement, as to whether capacity is being added. The FP Info page must be updated prior to any authorization requests being pulled. The system will not allow a pending authorization until this field has been updated by the District Federal Aid Coordinator. This determination should be made based on the plans and in consultation with the project manager. The following work mixes have been identified as capacity work types and will default to Added Capacity in the system: 0002 0020 0023 0025 0213 0218 0547 2000 9982 NEW ROAD CONSTRUCTION NEW BRIDGE CONSTRUCTION BRIDGE-REPLACE AND ADD LANES BRIDGE-REHAB AND ADD LANES ADD LANES & RECONSTRUCT ADD LANES & REHABILITATE PVMNT ADD THRU LANE(S) RIGHT OF WAY - FUTURE CAPACITY PRELIM ENG FOR FUTURE CAPACITY
If any other funds such as Urban (SU) are to be used on the Interstate, the 1.93% additive for sliding scale should not be included. Payback Phases for Local Government Reimbursements A note should be added on the Federal Project Information (FP Info) screen in FAMS indicating that the A8 phase does not need to be associated if it is part of a local government reimbursement.
Page 108 of 109
Part IV Federal

Edit Errors
September 9, 2011
Any edit error that cannot be corrected must include a legitimate explanation to proceed with Federal Aid Authorization. Certification and transmission of projects with edit errors will be evaluated by the FAMO Coordinators in Central Office on a case by case basis. Estimating Fuel Overruns FHWA has approved authorizing the estimated fuel/bituminous overruns that are expected to occur over the lifecycle of a construction project. These will be tracked by pay item and Activity 209 and will periodically be adjusted to actual amounts as other modifications to the project are needed. This should reduce the number of authorization requests for the project in the Federal Authorization Management System because the funds would be authorized in advance. Please do not encumber these amounts. The Office of Comptrollers current process will continue and they will be paid as unencumbered disbursements. Please indicate in the FAMS comments the amount of the modification and that the increase is for "Anticipated Fuel/Bituminous Adjustments." The estimate should be added to the phase 52 of the construction project based on current prices and the remaining term of the contract.
Page 109 of 109
Part IV Federal

Federal Aid Programs For Hwy Admin

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Work Program Instructions Tentative Work Program FY 12/13 16/17

Revised: November 1, 2011 September 9, 2011

CHAPTER 2: FINANCIAL PROVISIONS ........................................................................................... 42

CHAPTER 3: FEDERAL STEWARDSHIP ......................................................................................... 60

Work Program Instructions Tentative Work Program FY 12/13 16/17

Revised: November 1, 2011 September 9, 2011

Section D: Value Engineering Analysis ....................................................................................................... 63

CHAPTER 4: ANNUAL FEDERAL DISCRETIONARY PROJECT SOLICITATION PROCESS ..................................................................................................................... 64

CHAPTER 5: OTHER FEDERAL PROGRAM CHARACTERISTICS ................................................ 76

CHAPTER 7: AUTHORIZING FEDERAL PROJECTS WITH FHWA ................................................ 88

Work Program Instructions Tentative Work Program FY 12/13 16/17

CHAPTER 1: OVERVIEW OF MAJOR PROGRAMS

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section A: National Highway System

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section B: Interstate Maintenance Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section C: Surface Transportation Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section D: Highway Bridge Replacement and Rehabilitation Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section E: Congestion Mitigation and Air Quality Improvement Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section F: Highway Safety Improvement Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section G: Equity Bonus Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section H: Safe Routes to School Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section I: State Planning and Research Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section J: Metropolitan Planning

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section K: Recreational Trails Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section L: Forest Highways Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section M: Highways for Life Pilot Program (new)

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section N: Ferry Boats and Ferry Terminal Facilities

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section P: Interstate Maintenance Discretionary

Section Q: Public Land Highways

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section R: National Scenic Byways

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section S: Transportation, Community, and System Preservation Program

Work Program Instructions Tentative Work Program FY 12/13 16/17

Section T: Tolling Programs

Work Program Instructions Tentative Work Program FY 12/13 16/17

Work Program Instructions Tentative Work Program FY 12/13 16/17