FEDERAL-AID HIGHWAYS
Appropriations, Obligation Limitations, and Exempt Obligations
($000)
ACCOUNTS | FY 2006 ACTUAL | FY 2007 CONTINUING RESOLUTION | FY 2007 PRESIDENT'S BUDGET | FY 2008 REQUEST | |||
---|---|---|---|---|---|---|---|
[Limitation on administrative expenses] | [360,992] | [360,992] | [372,504] | [384,556] | |||
Federal-aid Highways Obligation Limitation | (34,183,033) | 1/ | (35,550,788) | 1/ | (38,244,211) | (39,585,075) | |
Revenue Aligned Budget Authority - RABA | ----- | ----- | (842,254) | ----- | |||
RABA transfer to FMCSA | ----- | ----- | -(3,502) | ----- | |||
Subtotal, Obligation Limitation | (34,183,033) | (35,550,788) | (39,082,963) | (39,585,075) | |||
Exempt Programs | 739,000 | 739,000 | 739,000 | 739,000 | |||
Subtotal, Obligation Limitation & Exempt Contract Authority | 34,922,033 | 36,289,788 | 39,821,963 | 40,324,075 | |||
Contract authority (Equity Bonus adjustment) | ----- | 105,172 | ----- | ----- | |||
Cancellations of new contract authority | [-383,752] | 2/ | -416,347 | 2/ | ----- | -630,976 | |
Cancellations of unobligated balances of contract authority | [-3,845,363] | 3/ | -3,845,363 | 3/ | ----- | -1,369,000 | |
[Congestion Initiative] | ----- | ----- | ----- | [175,000] | |||
TOTALS | 34,922,033 | 32,133,250 | 39,821,963 | 38,324,099 | |||
FTEs | |||||||
Limitation on Adminstrative Expenses | 2,215 | 2,215 | 2,430 | 2,430 | |||
Federal Aid Reimbursable | 587 | 587 | 619 | 587 |
Program and Performance Statement
This account provides necessary resources to the Federal-aid Highways program. These funds aid in the development, operations, and management of an intermodal transportation system that is economically efficient. It also provides the necessary resources to support and maintain the agency's administrative infrastructure.
[ ] Non-add
1/ Reflects $121 million transfer to NHTSA per P.L. 109-115. FY 2006 reflects $1,368 million flex funding transfer to FTA.
2/ Cancellation of new contract authority.
3/ Cancellation of unobligated balances.
EXHIBIT III-2
FEDERAL-AID HIGHWAYS
Summary Analysis of Change From FY 2007 to FY 2008
Appropriations, Obligation Limitations, and Exempt Obligations
($000)
Item | Change from FY 2007 Pres. Bud. to FY 2008 | FY 2008 PC&B by Program | FY 2008 FTEs by Program | FY 2008 Contract Expenses | Total |
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FY 2007 Base | Note: Columns are Non-Add | ||||
Federal-aid Highways | $39,821,963 | ||||
Adjustment to Base | |||||
Federal-aid Hwys | |||||
New or Expanded Programs | |||||
Federal-aid Hwys | -$1,497,864 | -1,497,864 | |||
Total Adjustment to Base | -1,497,864 | ||||
FY 2008 Request [Ob. Lim. + Exempt] | $38,324,099 |
1/ Marginal cost explanation within Section 4 narrative.
FEDERAL-AID HIGHWAYS
(LIMITATION ON OBLIGATIONS)
(HIGHWAY TRUST FUND)
None of the funds in this Act shall be available for the implementation or execution of programs, the obligations for which are in excess of $39,585,075,404 for Federal-aid highways and highway safety construction programs for fiscal year 2008: Provided, That within the $39,585,075,404 obligation limitation on Federal-aid highways and highway safety construction programs, not more than $429,800,000 shall be available for the implementation or execution of programs for transportation research (chapter 5 of title 23, United States Code; sections 111, 5505, and 5506 of title 49, United States Code; and title 5 of Public Law 109–59) for fiscal year 2008: Provided further, That this limitation on transportation research programs shall not apply to any authority previously made available for obligation: Provided further, That the Secretary may, as authorized by section 605(b) of title 23, United States Code, collect and spend fees to cover the costs of services of expert firms, including counsel, in the field of municipal and project finance to assist in the underwriting and servicing of Federal credit instruments and all or a portion of the costs to the Federal government of servicing such credit instruments: Provided further, That such fees are available until expended to pay for such costs: Provided further, That such amounts are in addition to administrative expenses that are also available for such purpose, and are not subject to any obligation limitation or the limitation on administrative expenses under section 608 of title 23, United States Code.
(CANCELLATION)
Notwithstanding section 110 of title 23, United States Code, for fiscal year 2008, the Secretary shall not allocate contract authority made available under section 110 of such title: Provided, That the amount of revenue aligned budget authority determined in accordance with such section for fiscal year 2008 is cancelled.
(CANCELLATION)
Of the unobligated balances of contract authority apportioned to each State under chapter 1 of title 23, United States Code, $1,317,000,000 are cancelled: Provided, That such cancellation shall not apply to the contract authority distributed in accordance with 23 U.S.C. 130(f), 23 U.S.C. 133(d)(1) as in effect prior to the date of enactment of Public Law 109-59, the first sentence of 23 U.S.C. 133(d)(3)(A), 23 U.S.C. 104(b)(5), or 23 U.S.C. 163 as in effect prior to the enactment of Public Law 109-59.
(INCLUDING CANCELLATION)
(a) Of the unobligated balances of funds made available under sections 1103(b), 1104(b), 1105(f), 1105(h), 1106(a), 1106(b), 1107(b), 1108(b), and 4008(j) of Public Law 102-240 and section 6023(b) of Public Law 102-240 (adding paragraph (10)(C) to section 11(b) of the Federal Transit Act), up to $175,000,000 shall be available to the Secretary of Transportation to carry out the National Strategy to Reduce Congestion on America’s Transportation Network: Provided, That of such funds, $100,000,000 shall be available to advance Urban Partnership Agreements with selected States under the Value Pricing Pilot Program (section 1012(b) of Public Law 102-240, as amended), $25,000,000 shall be available to support the Corridors of the Future investments, $25,000,000 shall be available to support the Real-Time System Management Information Program (section 1201 of Public Law 109-59), and $25,000,000 shall be available to expand congestion-related research activities under the Intelligent Transportation Systems Research and Development program: Provided further, That funds available pursuant to this section shall remain available for obligation until September 30, 2010, and shall not be subject to any limitation on obligations for Federal-aid highways and highway safety construction programs set forth in this Act or any other act: Provided further, That the Federal share payable on account of any program, project, or activity carried out with funds made available under this section may be up to 100 percent.
(b) After funds are made available in accordance with subsection (a), of the remaining unobligated balances of such funds, $52,000,000 are cancelled.
(LIQUIDATION OF CONTRACT AUTHORIZATION)
(HIGHWAY TRUST FUND)
Notwithstanding any other provision of law, for carrying out the provisions of title 23, United States Code, that are attributable to Federal-aid highways, not otherwise provided, including reimbursement for sums expended pursuant to the provisions of 23 U.S.C. 308, $38,000,000,000 or so much thereof as may be available in and derived from the Highway Trust Fund (other than the Mass Transit Account), to remain available until expended.
Note.—A regular 2007 appropriation for this account had not been enacted at the time the budget was prepared; therefore, this account is operating under a continuing resolution (P.L. 109–289, Division B, as amended). The amounts included for 2007 in this budget reflect the levels provided by the continuing resolution.
Detailed Justification for Federal-aid Highways
(in thousands of dollars)
Federal-aid Highways (Ob. Lim. and Exempt Contract Authority) |
FY 2008 Request: $40,324,075 |
Overview: The Federal Highway Administration (FHWA) is charged with the broad responsibility of ensuring that America’s roads and highways continue to be the safest and most technologically up-to-date. Although State, local, and tribal governments own most of the Nation’s highways, the Federal-aid Highway Program (FAHP) provides Federal financial resources and technical assistance to State and local governments for constructing, preserving, and improving the National Highway System, a 163,000-mile network that carries 40 percent of the Nation’s highway traffic. The program also provides resources for one million additional miles of urban and rural roads that are not on the System, but that are eligible for Federal-aid. Title 23 of the United States Code and other supporting legislation provide authority for the various activities of the FHWA. Surface transportation authorizing legislation provides upper limits of funding of contract authority, with program levels established by annual limitations on obligations set in appropriations acts. The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) authorized $193.1 billion for the FAHP for fiscal years 2005-2009. The annual budget of approximately $40 billion is funded by fuel and motor vehicle excise taxes. Funding proposed for the FAHP in 2008 is consistent with the base levels authorized in SAFETEA-LU and will be used to deliver the programs and projects envisioned in the authorizing legislation. |
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FY 2007 Base: The budget reflects a full year Continuing Resolution (CR) level for the Federal-aid highway program in FY 2007, totaling $36.3 billion in budgetary resources, equal to the level enacted in FY 2006. The CR level includes an obligation limitation of $35.6 billion for FAH programs and $739 million in exempt contract authority ($639 million for Equity Bonus and $100 million for Emergency Relief). In addition, under the CR, $4.3 million in cancellations of new and unobligated balances of contract authority enacted in FY 2006 would continue in FY 2007. |
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For the purpose of this budget presentation, the FY 2007 base reflects the CR level. The CR level is $3.5 billion less than the FY 2007 President’s Budget request, which reflects total budgetary resources of $39.8 billion. The FY 2007 President’s Budget reflected an obligation limitation of $39.1 billion (including $842 million for revenue aligned budget authority (RABA)) for FAH programs and $739 million in exempt contract authority, consistent with the levels authorized in SAFETEA-LU. In FY 2007, FHWA will continue to implement the provisions of SAFETEA-LU and enhance efforts to increase oversight and accountability to ensure the protection of the large Federal investment, while maintaining the prerogatives of the States in the delivery of highway transportation projects to the public. |
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Anticipated FY 2007 Accomplishments: FY 2007 funding will enable the FHWA to implement the programs authorized in SAFETEA-LU while working toward accomplishing the strategic goals and objectives of the Department and the Agency. The following summarizes anticipated accomplishments to achieve the Agency’s performance goals (please refer to Section 4 of the budget for additional performance information and anticipated accomplishments). Specific program funding levels for FY 2007 are detailed in the FY 2008 request section. Safety
The FHWA will continue to deliver technical assistance, training, and public awareness programs to advance priorities in the delivery of national safety programs. FY 2007 funding, including approximately $1 billion for the Highway Safety Improvement Program, will be used for a full range of highway safety related program efforts including: the implementation of new SAFETEA-LU provisions; redesign and construction of roadways and intersections to eliminate hazards; installation of safety improvement countermeasures, such as guardrails and rumble strips; and collecting crash and other safety-related data. Funds will also be used to assist state and metropolitan areas in developing plans and policies to improve safety and to educate decision makers within the transportation planning process on the importance of safety. Reduced Congestion
In 2007, the FHWA plans to fund transportation-related improvements that address traffic congestion in critical areas. Over $20 billion in funding apportioned to the States through the Surface Transportation, National Highway System, Interstate Maintenance, and Bridge Programs will contribute to improving mobility and infrastructure. States will increase the capacity of the highway system, remove bottlenecks, accelerate the deployment of Intelligent Transportation System (ITS) technologies, develop the next generation of system operational capabilities, support the creations of needed institutional arrangements, and increase the use of effective operational strategies and techniques. Funding will also support long-term research in operations and ITS and will be used to fund public education, technical assistance, and training to partner agencies and transportation system users. Also in FY 2007, Transportation Infrastructure Finance and Innovation (TIFIA) credit assistance will continue to support projects that otherwise might have difficulty in obtaining financing in existing capital markets. Global Connectivity
FHWA will fund the development and dissemination of the analytic capability and professional capacity needed by Federal, State, international and private sector partners to understand freight movement, support U.S. foreign policy priorities and initiatives including expanded opportunities and access for U.S. transportation industry, and support the FHWA’s efforts to coordinate highway transportation infrastructure and operations with planned changes at U.S. land borders. This includes data analysis tools, network performance metrics, improved freight modeling capability, professional capacity building, continuation of grants for both multi-state corridor and border efforts, linkages between investment decisions and impacts on land ports of entry, linkages between freight transportation and our national and regional economies, and improved bi-national planning. States and Metropolitan Planning Organizations (MPOs) will also use these resources to improve freight movement into and through major trade transport gateways and hubs, improve the transportation infrastructure that connects these gateways to the Nation’s mainline transportation networks, and relieve congestion related to high levels of truck traffic. Environmental Stewardship
In 2007, the FHWA will fund transportation improvement projects in States to help reduce mobile source emissions and adverse environmental effects. Funding, including $1.7 million for the Congestion Mitigation and Air Quality (CMAQ) Improvement program, will also be used for research, technical assistance, and public education initiatives to improve air quality. Funds will also be used for research, technical assistance, and public education initiatives to support further implementation of exemplary ecosystem and habitat conservation initiatives. These activities are consistent with congressional directives to develop rapid methods of ecosystem impact assessment and enhance the scenic beauty of highways. The FHWA will implement environmental streamlining activities that encourage States and resource agencies to establish and meet timelines for all projects with an Environmental Impact Statement or Environmental Assessment, use the Executive Order 13274 to resolve obstacles to environmental review early and develop new streamlined procedures, promote widespread implementation of environmental stewardship during project development through Context Sensitive Solutions (CSS), and promote processes that integrate environment and transportation decision making in more States. In addition, funding will serve as a surrogate for measuring implementation of the SAFETEA-LU environmental process provisions. Security, Response, and Preparedness
The FHWA will work with the State departments of transportation to implement critical security enhancement activities in the areas of critical infrastructure vulnerability assessments and countermeasure deployment; emergency operations, preparedness and response; freight and border security operations; and national defense mobility using the Strategic Highway Network. Organizational Excellence
The FHWA will contribute to the DOT Organizational Excellence strategic objective to implement the reform initiatives in the President’s Management Agenda (PMA), including activities contributing to the goal to achieve strategic management of human capital, competitive sourcing goals, financial performance goals, budget and performance integration goals, and e-government goals. The FY 2007 CR level would fund a Limitation on Administrative Expenses of $361.0 million to accomplish FHWA’s Organizational Excellence performance goals. |
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FY 2008 Budget Request: The FY 2008 budget request totals $40.3 billion for the Federal-aid Highway Program (FAHP). This funding reflects the base level authorized in SAFETEA-LU and includes an obligation limitation of $39.6 billion for FAH programs and $739 million in exempt contract authority ($639 million for Equity Bonus and $100 million for Emergency Relief). The budget does not propose an increase to the obligation limitation for the revenue aligned budget authority (RABA) adjustment. The FY 2008 request includes an obligation limitation of $429.8 million for research programs and a Limitation on Administrative Expenses of $384.6 million. In addition, the budget proposes $175 million for Congestion Initiative activities in support of the Department-wide National Strategy to Reduce Congestion on America’s Transportation Network, to be funded by reprogramming unobligated balances of Federal-aid highway program inactive demonstration and other projects. The budget request also proposes $2.0 billion in cancellations of new and unobligated balances of FAH contract authority. The budget supports the Department’s goals and policy initiatives, and the Agency’s priorities of improving highway safety, minimizing project delays, reducing traffic congestion, and promoting environmental stewardship. In FY 2008, the FHWA will continue to implement highway programs authorized in SAFETEA-LU, undertake efforts to improve financial stewardship and oversight, and carry out the President’s Management Agenda. Authorized contract authority and estimated obligation limitation amounts for FAH programs in FY 2007 and 2008 are detailed below. FY 2007 reflects estimated amounts under a full year CR. [Note: Amounts are net of authorized set-asides and takedowns. FY 2007 obligation limitation amounts do not include RABA adjustment]. (in thousands of dollars) The Surface Transportation Program (STP) provides flexible funding that may be used by States and localities for projects on any Federal-aid highway, including the NHS, bridge projects on any public road, transit capital projects, and intracity and intercity bus terminals and facilities. Program eligibilities include advanced truck stop electrification systems, high accident/high congestion intersections, and environmental restoration and pollution abatement, control of noxious weeds and aquatic noxious weeds, and establishment of native species. Funds will be distributed among the States based on lane-miles of Federal-aid highways, total vehicle-miles traveled on those Federal-aid highways, and estimated contributions to the Highway Account of the Highway Trust Fund (HTF). Each State must set aside a portion of their STP funds (10 percent or the amount set aside in 2005, whichever is greater) for transportation enhancements activities. National Highway System FY 2007 FY 2008 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. The NHS 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. The formula to distribute funding is based on lane-miles of principal arterials (excluding Interstate), vehicle-miles traveled on those arterials, diesel fuel used on the State’s highways, and per capita principal arterial lane-miles. Interstate Maintenance FY 2007 FY 2008 Under SAFETEA-LU, the 46,000 mile Dwight D. Eisenhower National System of Interstate and Defense Highways retains a separate identity within the NHS. The Interstate Maintenance (IM) program was established under the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) to provide for the on-going work necessary to preserve and improve Interstate highways. The IM program provides funding for resurfacing, restoring, rehabilitating and reconstructing (4R) most routes on the Interstate System. Funding will be distributed by formula based on each State’s lane-miles of Interstate routes open to traffic, vehicle-miles traveled on those routes, and contributions to the Highway Account of the Highway Trust Fund attributable to commercial vehicles. Bridge Program FY 2007 FY 2008 The Highway Bridge Program provides funding to enable States to improve the condition of their highway bridges through replacement, rehabilitation, and systematic preventive maintenance. Funding is provided to States to improve the condition of their eligible highway bridges over waterways, other topographical barriers, other highways and railroads. Each State must spend at least 15% of its bridge apportionment for bridges on public roads that are not Federal-aid highways (off-system bridges). Congestion Mitigation and Air Quality Improvement FY 2007 FY 2008 The Congestion Mitigation and Air Quality Improvement (CMAQ) Program 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. CMAQ provides a flexible funding source to State and local governments for transportation projects and programs to help meet the requirements of the Clean Air Act. Funding is available for areas that do not meet the National Ambient Air Quality Standards (nonattainment areas) as well as former nonattainment areas that are now in compliance (maintenance areas). The formula for distribution of funds considers an area’s population by county and the severity of its ozone and carbon monoxide problems within the nonattainment or maintenance area, with greater weight given to areas that are both carbon monoxide and ozone nonattainment/maintenance areas. Highway Safety Improvement Program FY 2007 FY 2008 SAFETEA-LU authorized a new core Federal-aid funding program beginning in FY 2006 to achieve a significant reduction in traffic fatalities and serious injuries on all public roads. The Highway Safety Improvement Program (HSIP) provides flexibility to allow States to target funds to their most critical safety needs. Of the funding authorized for HSIP, a portion is set aside for the Railway-Highway Crossing program, with the remainder to be distributed by formula based on each State’s lane miles, vehicle miles traveled, and number of fatalities, a portion of which is to be set aside annually for construction and operational improvements on high-risk rural roads. The HSIP requires States to develop and implement a strategic highway safety plan and submit annual reports to the Secretary that describe at least 5% of their most hazardous locations, progress in implementing highway safety improvement projects, and their effectiveness in reducing fatalities and injuries. Equity Bonus FY 2007 FY 2008 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 SAFETEA-LU. Selected States are guaranteed a share of apportionments and High Priority Projects not less than the State’s average annual share under SAFETEA-LU. This program replaces the Transportation Equity Act for the 21st Century’s (TEA-21’s) Minimum Guarantee program. Federal Lands Highways FY 2007 FY 2008 The Federal Lands Highways program (FLHP) provides funding for Indian Reservation Roads (IRR), Park Roads and Parkways, Public Lands Highways (discretionary and Forest Highways), and Refuge Roads programs. Funding can be used 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. In addition, FLHP funds can be used as the State or local match for most types of Federal-aid highway funded projects. Eligible uses of Public Lands Highways funds include up to $20 million per year for maintenance of Forest Highways, $1 million per year for signage identifying public hunting and fishing access, and $10 million by the Secretary of Agriculture to facilitate the passage of aquatic species beneath roads in the National Forest System.
High Priority Projects FY 2007 FY 2008 The High Priority Projects Program provides designated funding for specific projects identified in SAFETEA-LU. A total of 5,091 projects are identified, each with a specified amount of funding over the 5 years of SAFETEA-LU. Projects of Regional or National Significance FY 2007 FY 2008 The Projects of National and Regional Significance program provides funding for designated high cost projects of national or regional importance. Benefits could include improving economic productivity, facilitating international trade, relieving congestion, and improving safety. National Corridor Infrastructure The National Corridor Infrastructure Program is a discretionary program that provides funding for construction of highway projects in corridors of national significance to promote economic growth and international or interregional trade. This program replaces TEA-21 section 1118, the National Corridor Planning and Development program. Transportation Improvements FY 2007 FY 2008 The Transportation Improvements program provides designated funding for specific projects identified in SAFETEA-LU. A total of 466 projects are identified, each with a specified amount of funding over the 5 years of SAFETEA-LU. Appalachian Development Highway System FY 2007 FY 2008 The Appalachian Development Highway System (ADHS) Program continues funding for the construction of the Appalachian corridor highways in 13 States to promote economic development and to establish a State-Federal framework to meet the needs of the region.
Transportation, Community, 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. State and local governments, MPOs, and tribal governments are eligible for discretionary grants to carry out eligible projects to integrate transportation, community, and system preservation plans and practices. Funds must be equitably distributed to a diversity of populations and geographic regions. Transportation Infrastructure Finance The TIFIA program provides Federal 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. TIFIA provides secured loans, loan guarantees, and lines of credit for surface transportation infrastructure projects of national or regional significance. An explicit goal of the TIFIA program is to induce private and non-Federal investment in transportation infrastructure. Eligibility extends to highway, transit, or railroad projects at least $50 million in project costs or any ITS projects at least $15 million in project costs. Projects can also include intermodal freight transfer facilities, international bridges or tunnels, and multi-state trade corridors. Transportation and ITS Research FY 2007 FY 2008Contract Authority $373,662 $429,800 The purpose of the research and technology program is to develop new transportation technology that can be applied nationwide. The elements of the program include surface transportation research, development and deployment; University Transportation Research; training and education to develop and apply new technology; and other research-related programs. It will also support the continuation of the Bureau of Transportation Statistics’ major programs to provide convenient access to transportation data and information and to conduct transportation surveys and analysis. $3.6 million for the Global Positioning System Program. As part of FHWA’s research program, the Department of Transportation proposes to provide resources to the Department of Defense for assessment, development, acquisition, implementation, operation, and sustaining of additional designated Global Positioning System civil capabilities beyond the second and third civil signals already contained in the current Global Positioning System Program. FHWA requests the reprogramming of $3.6 million of unobligated balances of highway funds to be used to develop the new GPS L1C civil signal (modernized signal compatible with the EU Galileo Open Service signal on the new GPS III satellites), and for GPS Civil Signal Monitoring that entails software and hardware upgrades for global monitoring of all civil signals to include L1C/A, L2C, L5, and L1C. Surface Transportation Research, Development Training and Education FY 2007 FY 2008 University Transportation Research FY 2007 FY 2008
ITS Standards, Research and Development FY 2007 FY 2008 Bureau of Transportation Statistics FY 2007 FY 2008 Other Programs FY 2007 FY 2008 This category includes the following programs: Recreational Trails, National Scenic Byways, Coordinated Border Infrastructure, Ferry Boats, Highway For Life Pilot, Highway Use Tax Evasion, Truck Parking Facilities, Delta Regional Transportation Development, Work Zone Safety, National Historic Covered Bridge Preservation, the Puerto Rico Highway Program, the Denali Access System, and other programs. An additional amount of obligation limitation for FY 2007 is set aside for allocated carryover. Equity Bonus (exempt) FY 2007 FY 2008 A portion, $639 million, of the Equity Bonus program described above is exempt from the obligation limitation.
Emergency Relief (exempt) FY 2007 FY 2008 The Emergency Relief (ER) 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. The regular 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 under 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 ER allocations exceed $100 million. No additional funding is requested in the FY 2008 budget. Congestion Initiative FY 2007 FY 2008 In support of the Department’s National Strategy to Reduce Congestion on America’s Transportation Network, the budget proposes to reprogram $175 million in unobligated balances associated with Federal-aid highway program inactive demonstration and other projects. The $175 million will be distributed in support of the Congestion Initiative as follows:
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DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION FEDERAL-AID HIGHWAYS
PROGRAM AND FINANCING SCHEDULE in millions of dollars
Identification code: | FY 2006 | FY 2007 | FY 2008 | |||
69-8083-0-7-401 | Actual | Estimate | Estimate | |||
Obligations by Program Activity | ||||||
Direct program: | ||||||
Programs subject to obligation limitation: | ||||||
00.01 | Direct loan subsidy [TIFIA] | 4 | 121 | 79 | ||
00.02 | Guarantee loan subsidy [TIFIA] | ----- | 8 | 12 | ||
00.09 | Administrative expenses [TIFIA] | 2 | 2 | 2 | ||
00.10 | Surface transportation program | 7,860 | 8,288 | 9,906 | ||
00.11 | National highway system | 6,420 | 6,770 | 8,237 | ||
00.12 | Interstate maintenance | 4,306 | 4,541 | 5,525 | ||
00.13 | Bridge program | 3,910 | 4,123 | 5,017 | ||
00.14 | Congestion mitigation and air quality improvement | 842 | 1,077 | 1,081 | ||
00.15 | Highway Safety Improvement Programs | 251 | 321 | 322 | ||
00.16 | Equity Programs | 2,131 | 2,524 | 2,734 | ||
00.17 | Federal lands highways | 658 | 841 | 844 | ||
00.18 | Appalachian development highway system | 237 | 303 | 304 | ||
00.19 | High Priority Projects | 1,009 | 2,536 | 1,295 | ||
00.20 | Projects of national and regional significance | 99 | 433 | 306 | ||
00.21 | Transportation research | 393 | 430 | 421 | ||
00.22 | Administration [Federal-aid highways] | 360 | 361 | 385 | ||
00.23 | Other programs | 2,545 | 6,935 | 3,252 | ||
00.91 | Programs subject to obligation limitation | 31,027 | 39,614 | 39,722 | ||
Programs exempt from obligation limitation: | ||||||
02.11 | Emergency relief program | 34 | 192 | 123 | ||
02.13 | Equity Programs | 878 | 719 | 671 | ||
02.14 | Demonstration projects | 8 | 92 | 49 | ||
02.15 | Re-estimate on direct loan subsidy [TIFIA] | 2 | 7 | ----- | ||
02.91 | Programs exempt from obligation limitation | 922 | 1,010 | 843 | ||
03.01 | Emergency relief supplemental | 400 | 583 | ----- | ||
06.00 | Total direct program | 32,349 | 41,207 | 40,565 | ||
09.01 | Reimbursable program | 61 | 120 | 120 | ||
10.00 | Total obligations | 32,410 | 41,327 | 40,685 | ||
Financing: | ||||||
Budgetary resources available for obligation | ||||||
21.40 | Unobligated balance carried forward, start of year | 34,249 | 35,320 | 32,112 | ||
22.00 | New budget authority (gross) | 33,506 | 38,119 | 41,065 | ||
22.21 | Unobligated balance transferred to other accounts [69-8016] | -25 | ----- | ----- | ||
23.90 | Total budgetary resource available for obligation | 67,730 | 73,439 | 73,177 | ||
23.95 | Total new obligations | -32,410 | -41,327 | -40,685 | ||
23.98 | Unobligated balance expiring or withdrawn | |||||
24.40 | Unobligated balance carried forward, end of year. | 35,320 | 32,112 | 32,492 | ||
New budget authority (gross) detail: | ||||||
Current: | ||||||
40.26 | Appropriation | 36,032 | 36,032 | 38,000 | ||
40.49 | Portion applied to liquidate contract authority | -34,540 | -35,911 | -38,000 | ||
41.00 | Transferred to other account (69-8016) | -121 | -121 | ----- | ||
41.00 | Transferred to other account (69-8350) | -1,383 | ----- | ----- | ||
42.00 | Transferred from other account (69-8350) | 12 | ----- | ----- | ||
43.00 | Appropriation (total discretionary) | ----- | ----- | ----- | ||
49.00 | Contract authority | ----- | 105 | ----- | ||
49.35 | Contract authority permanently reduced | ----- | -416 | -631 | ||
49.36 | Unobligated balances permanently reduced | ----- | -3,845 | -1,369 | ||
49.90 | Contract authority (total discretionary) | ----- | -4,156 | -2,000 | ||
Spending authority from offsetting collections | ||||||
58.00 | Offsetting collections, (cash) | 43 | 120 | 120 | ||
58.10 | Change in uncollected cust payments fr Fed Sources | 65 | ----- | ----- | ||
58.62 | Transferred from other accounts [69-8350] | 3 | ----- | ----- | ||
58.90 | Spending authority from offsetting collections | 111 | 120 | 120 | ||
Mandatory | ||||||
60.26 | Appropriation (trust fund) | 2 | 7 | ----- | ||
62.50 | Appropriation (total) | 2 | 7 | ----- | ||
66.10 | Contract authority | 39,114 | 42,269 | 42,945 | ||
66.35 | Contract authority permanently reduced | -384 | ----- | ----- | ||
66.36 | Unobligated balances permanently reduced | -3,845 | ----- | ----- | ||
66.61 | Transfer to other accounts [69-8350] | -1,383 | ----- | ----- | ||
66.61 | Transfer to other accounts [69-8016] | -121 | -121 | ----- | ||
66.62 | Transfer from other accounts [69-8350] | 12 | ----- | ----- | ||
66.90 | Contract authority (total) | 33,393 | 42,148 | 42,945 | ||
70.00 | Total new budget authority (gross) | 33,506 | 38,119 | 41,065 | ||
Change in obligated balances | ||||||
72.40 | Obligated balance, start of year | 43,803 | 43,265 | 51,245 | ||
73.10 | Total new obligations | 32,410 | 41,327 | 40,685 | ||
73.20 | Total outlays (gross) | -32,883 | -33,347 | -37,140 | ||
74.00 | Chg in Uncollected cust orders fm Fed Sources (unexpired) | -65 | ----- | ----- | ||
74.40 | Obligated balance, end of year | 43,265 | 51,245 | 54,790 | ||
Outlays (gross), detail (unexpired and expired) | ||||||
86.90 | Outlays from new discretionary authority | 9,272 | 9,719 | 10,804 | ||
86.93 | Outlays from discretionary balances | 22,604 | 22,638 | 25,361 | ||
86.97 | Outlays from new mandatory authority | 202 | 207 | 200 | ||
86.98 | Outlays from mandatory balances | 805 | 783 | 775 | ||
87.00 | Total outlays (gross) | 32,883 | 33,347 | 37,140 | ||
Offsets: | ||||||
Against gross budget authority and outlays | ||||||
Offsetting collections (cash) from: | ||||||
88.00 | Federal sources | 43 | 120 | 120 | ||
88.95 | Portion of offsetting collection credited to unexpired accounts | 65 | ----- | ----- | ||
88.96 | Portion of offsetting collection credited to expired accounts | |||||
Net budget authority and outlays | ||||||
89.00 | Budget authority (net) | 33,398 | 37,999 | 40,945 | ||
90.00 | Outlays (net) | 32,840 | 33,227 | 37,020 |
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
FEDERAL-AID HIGHWAYS
OBJECT CLASSIFICATION
in millions of dollars
Identification code: 69-8083-0-7-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Direct obligations: | |||
Personnel compensation: | |||
11.11 Full-time permanent | 23 | 24 | 25 |
11.13 Other than full-time permanent | 1 | 1 | 1 |
11.15 Other personnel compensation | 1 | 1 | 2 |
11.19 Total personnel compensation | 25 | 26 | 28 |
11.21 Civilian personnel benefits | 4 | 4 | 5 |
12.10 Travel and transportation of persons | 8 | 8 | 9 |
12.51 Advisory and Assistance Services | 13 | 13 | 14 |
12.52Other services | 318 | 318 | 320 |
32.53Purchases of goods and services | |||
from government accounts | 339 | 339 | 341 |
12.57Operation and maintenance of equipment | 5 | 5 | 5 |
12.60Supplies and materials | 3 | 3 | 3 |
13.10Equipment | 1 | 1 | 1 |
14.10Grants, subsidies, and contributions | 30,407 | 39,265 | 38,588 |
19.90Limitation on general operating expenses (see separate schedule) | 2 | ----- | ----- |
19.90Subtotal, direct obligations | 31,125 | 39,982 | 39,314 |
Reimbursable obligations: | |||
Personnel compensation: | |||
21.11Personnel compensation: Full-time permanent | 20 | 20 | 21 |
21.21Civillian personnel benefits | 5 | 5 | 5 |
22.10Travel and transportation of persons | 3 | 6 | 6 |
22.33Communications, utilities, and misc. charges | 1 | 2 | 2 |
12.51Advisory and Assistance Services | 12 | 23 | 23 |
22.52Other services | 3 | 6 | 6 |
32.53Purchases of goods and services | |||
from government accounts | 10 | 44 | 44 |
12.57Operation and maintenance of equipment | 1 | 2 | 2 |
22.60Supplies and materials | 4 | 8 | 8 |
23.10Equipment | 2 | 4 | 3 |
29.90Subtotal, reimbursable obligations | 61 | 120 | 120 |
Allocation accounts - direct: | |||
Personnel compensation: | |||
31.11Full-time permanent | 32 | 33 | 34 |
31.13Other than full-time permanent | 4 | 4 | 4 |
11.15Other personnel compensation | 1 | 1 | 1 |
31.19Total personnel compensation | 37 | 38 | 39 |
31.21Civilian personnel benefits | 9 | 9 | 9 |
32.10Travel and transportation of persons | 2 | 2 | 2 |
32.31Rental payments to GSA | 3 | 3 | 3 |
32.51Advisory and assistance services | 1 | 1 | 1 |
32.52Other services | 115 | 114 | 114 |
32.53Purchases of goods and services | |||
from government accounts | 4 | 4 | 4 |
32.55Research and development contracts | 1 | 1 | 1 |
32.60Supplies and materials | 4 | 4 | 4 |
33.10Equipment | 4 | 4 | 4 |
33.20Land and structures | 22 | 22 | 22 |
34.10Grants, subsidies, and contributions | 662 | 662 | 663 |
39.90Subtotal, obligations from allocation accounts | 864 | 864 | 866 |
Limitation account - Direct Obligations: 1/ | |||
Personnel compensation: | |||
61.11Full-time permanent | 183 | 189 | 206 |
61.13Other than full-time permanent | 3 | 3 | 3 |
61.15Other personnel compensation | 3 | 3 | 3 |
61.19Total personnel compensation | 189 | 195 | 212 |
61.21Civilian personnel benefits | 53 | 53 | 58 |
62.10Travel and transportation of persons | 10 | 10 | 10 |
62.20Transportation of things | 1 | 1 | 1 |
62.31Rental payments to GSA | 22 | 26 | 27 |
62.32Rental payments to others | 1 | 1 | 1 |
62.33Communications, utilities, and misc. charges | 3 | 3 | 3 |
62.40Printing and reproduction | 1 | 1 | 1 |
62.51Advisory and assistance services | 18 | 12 | 12 |
62.52Other services | 19 | 15 | 15 |
62.53Purchases of goods and services | |||
from government accounts | 10 | 15 | 17 |
62.57Operation and maintenance of equipment | 20 | 21 | 20 |
62.60Supplies and materials | 2 | 2 | 2 |
63.10Equipment | 6 | 6 | 6 |
64.40Refunds | 5 | ----- | ----- |
69.90Subtotal, obligations from limitation account | 360 | 361 | 385 |
1/ Data revised from amounts reflected in FY 2008 Budget Appendix. | |||
FEDERAL AID HIGHWAY | |||
EMPLOYMENT SUMMARY | |||
Identification code: | FY 2006 | FY 2007 | FY 2008 |
69-8083-0-7-401 | Actual | Estimate | Estimate |
Direct: | |||
10.01Civilian full-time equivalent employment……….. | 333 | 333 | 333 |
Reimbursable: | |||
20.01Civilian full-time equivalent employment……….. | 215 | 215 | 215 |
Limitation Account - direct: | |||
60.01Civilian full-time equivalent employment……….. | 2,215 | 2,215 | 2,430 |
FEDERAL HIGHWAY ADMINISTRATION LIMITATION ON ADMINISTRATIVE EXPENSES
Not to exceed $384,556,000, together with advances and reimbursements received by the Federal Highway Administration, shall be paid in accordance with law from appropriations made available by this Act to the Federal Highway Administration for necessary expenses for administration and operation.
Note.-A regular 2007 appropriation for this account had not been enacted at the time the budget was prepared; therefore, this account is operating under a continuing resolution (P.L. 109-289, Division B, as amended). The amounts included for 2007 in this budget reflect the levels provided by the continuing resolution.
Detailed Justification for Limitation on Administrative Expenses
(in thousands of dollars)
Operating Expenses (Ob. Lim.) |
FY 2008 Request: $384,556 FY 2007 Continuing Resolution: $360,992 |
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Overview: This account provides for the necessary resources to support Limitation on Administrative Expenses activities and maintain the agency’s administrative operations. Funding will support activities related to the goals of the President’s Management Agenda, implementing the requirements of the SAFETEA-LU authorization, and meeting other Federal mandates. |
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FY 2007 Base: The Limitation on Administrative Expenses funds salaries and benefits, travel, rent, communications, utilities, printing, contractual services, supplies and equipment. As shown in Exhibit II-6, the FY 2007 estimate totals $361.0 million. This level reflects a full year Continuing Resolution (CR) and includes $248.6 million for the salaries and benefits for 2,215 full time equivalents (FTE), which is below the authorized staffing level. The FY 2007 CR level also includes $26.4 million for rent, $15.2 million for the Working Capital Fund, $9.7 million for travel, and $61.0 million for other activities critical to maintaining the agency’s administrative operations. For the purpose of this budget presentation, the FY 2007 base reflects the CR level. The CR level is $11.5 million less than the FY 2007 President’s Budget request, which reflects an obligation limitation for LAE of $372.5 million. |
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Anticipated FY 2007 Accomplishments: The FHWA will shift to a multidisciplinary workforce, while continuing to assess the needed skill change of employees through workforce planning and closing the gaps in mission critical occupations in anticipation of the significant number of employees retiring. The Agency expects that the cultural shift to an organization committed to project oversight and effective financial management will be fully operational. The Professional Development Program will be used to hire individuals in critical disciplines, including financial management. Recruitment incentives will be critical to attracting individuals with the needed multidisciplinary skills. The FHWA will implement actions necessary to change the skills mix of the financial management workforce. The Agency’s learning and development program will train increasing numbers of employees in project oversight and financial management and incorporate the multidisciplinary files and accountability and at all levels of training. Plans to fund rotational assignments for mid-career hires to ensure that they have the skills needed to perform on the job. Numerous training programs will be offered via videoconferencing and web conferencing. These include Support Staff Training, parts of the New Supervisor Training and the New Employee Orientation. The FHWA will continue to implement the Diversity Action Plan and create an organizational climate that enables a multidisciplinary workforce to achieve the strategic goals of the Agency. Recruitment incentives will be used to attract individuals with diverse skills and backgrounds. The Agency will work to reduce the under-representation of Hispanic employees and individuals with disabilities. The FHWA plans to ensure that awards are being used to recognize achievements that advance the Agency’s goals and objectives. The Agency will carefully monitor that these Agency goals and objectives, as stated in the Agency Performance Plan and the Administrator’s Performance Agreement with the Secretary, are cascaded down to Senior Executives’ performance objectives and to the performance plans of individual employees, and are used as the basis for recognizing and rewarding employee accomplishments. The Agency will use approximately 1% of the salaries paid in FY 2007 for its employee recognition and awards budget to support this strengthening of the performance culture in the FHWA in FY 2007. In its role as the “Executive Agent” for the DOT automated staffing unit, FHWA will continue to enhance the automated staffing system and work with the modal administrations within DOT to improve timeliness of selections. In FY 2006, the performance measurement of the 45-Day model for the Department was changed to track the percentage of cases that met the 45 workday goal as opposed to the average number of days. The Executive Agent will work with each mode to promote awareness of the goal and improve timeliness of the actions such that 80 percent of certificates are signed by the Selecting Officials within 45 workdays from the date the announcement closes. The Executive Agent will continue to reduce the average number of days to 7 days or less and to issue 90 percent of certificates within 15 days, with over 80 percent being issued within 7 days. The FHWA plans continued accomplishments in the IT e-Gov area in FY 2007. The accomplishments include continuing to lead a Departmental e-Government committee to work on crosscutting IT initiatives, completing the consolidation of IT infrastructure in the Field as a matter of best practice and conform the Field infrastructure with IT in Headquarters, continuing to improve and refine the FHWA enterprise architecture, and continuing to improve and refine management of the FHWA IT portfolio. The FHWA will continue to enhance IT security and support the 24 E-Gov initiatives through contributions and partnering. In FY 2007, new versions of the Department of Interior’s Federal Personnel and Payroll System (FPPS) will be implemented as they become available. FHWA anticipates implementing the advanced functionality, Individual Development Plan (IDP), within the DOT Electronic Learning Management System (eLMS) in FY 2007. The Enterprise Human Resource Integration (EHRI) is an e-Gov initiative under the President’s Management Agenda, which includes implementation of the Electronic Official Personnel File (e-OPF). In FY 2007, the FHWA will begin to convert paper OPFs to electronic format. |
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FY 2008 Budget Request: FHWA requests $384.6 million for the Limitation on Administrative Expenses (LAE). In addition, SAFETEA-LU authorizes $3 million for administrative expenses of the Appalachian Regional Commission (ARC) and $3.5 million for audits conducted by the DOT Office of Inspector General. The FY 2008 estimate reflects increases to the FY 2007 estimate for cost of living adjustments (COLA), filling mission-critical vacancies, rent costs, and Working Capital Fund costs. The adjusted base totals $369.3 million, an increase of $8.3 million above the FY 2007 CR level. As detailed in Exhibit II-6, the requested increase in FY 2008 is needed to cover the expenses of COLA and of filling 215 mission-critical vacancies, increased rent costs, and increased Working Capital Fund assessments. As a result of hiring up to the authorized FTE level in FY 2008, FHWA estimates additional salaries and benefits costs of $15.2 million in FY 2008. LAE funding will also be utilized to support the Department-wide Congestion Initiative. This funding will address the following potential needs:
FHWA expects to accomplish the operational activities described below in FY 2008. By FY 2008, the FHWA will have fully developed and implemented an ongoing multi-year schedule of accountability reviews addressing other specific program areas in accordance with the DOT Accountability Review Program Plan and the FHWA Accountability Review Program. In addition, follow-up assessments will be initiated to measure the effectiveness of program improvements implemented as a result of previous Accountability Reviews. The Agency’s focus on pay-for-performance will be results-driven, producing a distribution of pay adjustments and awards based on individual contribution, organizational performance, and/or team performance. Follow-up assessments will be conducted to measure the effectiveness of program improvements implemented as a result of previous Accountability Reviews. The FHWA is in a transition period and facing the possible retirement of a substantial portion of its workforce over the next 5 years. The Agency will recruit extensively to attract top quality candidates with diverse competencies so FHWA can achieve its mission through a multi-disciplinary workforce. The Succession Plan will be implemented to ensure its workforce has depth in leadership skills to replace retiring employees. The FHWA learning community will implement a more coordinated, more comprehensive view of employee development. Learning will be part of a career development plan tied to the FHWA strategic and performance goals, competencies and career paths. Together, the FHWA learning organizations will continue to engage in delivering learning activities that affect every segment of the FHWA. The FHWA will persist in transitioning to an organization that:
The FHWA will support the Human Capital Initiative by providing a variety of competitive management and executive training programs geared to the development of our leaders. With many supervisors and managers becoming retirement-eligible, we are developing the next generation of leaders to lead the FHWA into the future. FHWA will also fund rotational assignments and mid-career hires to ensure they have the skills needed to perform their job. FHWA will support delivery of training and learning activities to improve financial accountability at every level of the organization. Through degree and certificate programs, FHWA will support education and training in the areas of project management, business and financial and engineering management, as well as other areas that enhance the financial performance and abilities of employees. |
Explanation of Funding Changes for
Limitation on Administrative Expenses
(in thousands of dollars)
Overview: This account provides for the necessary resources to support Limitation on Administrative Expenses (LAE) activities and maintain the agency’s administrative infrastructure. Funding will support activities related to the goals of the President’s Management Agenda, implementing the requirements of the SAFETEA-LU legislation, and meeting other Federal mandates. |
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LAE, FY 2007 Continuing Resolution |
$360,992 |
Adjustments to Base: Salaries and BenefitsThe requested increase is needed for Personnel Compensation and Benefits (PC&B) related annualizations. Assumes 2.2% pay raise and two additional compensable days as compared with FY 2007. GSA Rent and UtilitiesThe requested increase for GSA rent is due to inflation. Other Contractual Services |
+$6,301
+$498
+$1,539
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Total Adjustments to Base: |
$8,338 |
Program Changes: Salaries and BenefitsThe requested increase is needed to fill filling 215 mission-critical vacancies. FHWA’s staffing level is well below the authorized level of 2,430 FTE due to the reauthorization delays prior to the enactment of SAFETEA-LU and the FY 2007 CR. FHWA is committed to filling these important vacancies in FY 2008. |
$15,226 |
LAE, FY 2008 President’s Budget |
$384,556 |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION EMERGENCY RELIEF
BACKGROUND
The Emergency Relief program receives $100 million annually in mandatory funds from the Highway Trust Fund in the Federal-aid highways account. SAFETEA-LU authorized the program to receive additional General Fund discretionary funding as needed. These funds are provided through this account starting in FY 2006. In FY 2006, $3.5 billion in supplemental appropriations were provided for this program (P.L. 109-148 and 109-234).
BUDGETARY RESOURCES
No new budget authority is requested for FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION EMERGENCY RELIEF
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-0500-0 |
2006 Actual | 2007 Estimate | 2008 Estimate | |
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Obligations by program by activity: | ||||
00.01 | Emergency relief program | 2,123 | 1,329 | …… |
10.00 | Total new obligation (object class 41.0) | 2,123 | 1,329 | …… |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | …….. | 1,329 | …….. |
22.00 | New budget authority (gross) | 3,452 | …….. | …….. |
23.90 | Total budgetary resources available for | |||
obligations | 3,452 | 1,329 | ……. | |
23.95 | Total new obligations | -2,123 | -1,329 | ……. |
24.40 | Unobligated balance available, end of year | 1,329 | ……. | ……. |
New budget authority (gross), Detail: | ||||
Discreationary: | ||||
40.00 | Appropriation | 3,452 | ……. | ……. |
Change in obligated balances | ||||
72.40 | Obligated balance, start of year | ……. | 1,274 | 1,165 |
73.10 | New obligations | 2,123 | 1,329 | …….. |
73.20 | Total outlays (gross) | -849 | -1,438 | -586 |
74.40 | Obligated balance, end of year | 1,274 | 1,165 | 579 |
Outlays (gross), detail | ||||
86.90 | Outlays from new discretionary authority | 849 | …….. | …….. |
86.93 | Outlays from discreationary balances | …….. | 1,438 | 586 |
87.00 | Total outlays (gross) | 849 | 1,438 | 586 |
Net budget authority and outlays: | ||||
89.00 | Budget authority | 3,452 | …….. | …….. |
90.00 | Outlays | 849 | 1,438 | 586 |
95.02 | Unpaid obligation, end of year | 1,274 | …….. | …….. |
EMERGENCY RELIEF
OBJECT CLASSIFICATION
In millions of dollars
Identification code:69-0500-0 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
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Direct obligations: | ||||
14.10 Direct obligations:Grants,susbsides, and contributions | 2,123 | 1,329 | ......... |
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM
BACKGROUND
The Federal Highway Administration received an appropriation of $19.8 million from the General Fund for the Appalachian Development Highway System in FY 2006. Under the terms of a full-year Continuing Resolution in FY 2007, this program would receive an appropriation of $82.3 million. Obligations and outlays for the Highway Trust Fund account result from prior year appropriations.
BUDGETARY RESOURCES
No new budget authority is requested for FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-0640-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
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Obligations by program by activity: | ||||
00.01 | Appalachian Hwy. Dev. Sys. 2005 | 105 | 216 | ......... |
10.00 | Total obligations | 105 | 216 | ......... |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | 196 | 134 | ......... |
22.00 | New budget authority (gross) | 20 | 82 | ......... |
23.90 | Total budgetary resources available for obligation | 239 | 216 | ......... |
23.95 | New obligations | -105 | -216 | ......... |
24.40 | Unobligated balance available, end of year | 134 | ......... | ......... |
New budget authority (gross), detail | ||||
Discretionary | ||||
40.00 | Appropriation | 20 | 82 | ......... |
Change in obligated balance | ||||
72.40 | Obligated balance, start of year | 189 | 176 | 253 |
73.10 | New obligations | 105 | 216 | ......... |
73.20 | Total outlays (gross) | -95 | -139 | -126 |
73.45 | Recoveries of prior year obligations | -23 | ......... | ......... |
74.40 | Obligated balance, end of year | 176 | 253 | 127 |
Outlays (gross), detail | ||||
86.90 | Outlays from new discretionary authority | 22 | ......... | |
86.93 | Outlays from discretionary balances | 95 | 117 | 126 |
87.00 | Total outlays (gross) | 95 | 139 | 126 |
Net budget authority and outlays | ||||
89.00 | Budget authority | 20 | 82 | ......... |
90.00 | Outlays | 95 | 139 | 126 |
95.02 | Unpaid obligations end of year | 176 | ......... | ......... |
APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM
OBJECT CLASSIFICATION
In millions of dollars
Identification code: 69-0640-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
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Direct obligations: | |||
12.52 Other Services | 105 | 216 | ......... |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-8072-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
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Obligations by program by activity: | ||||
00.02 | Sec. 378 of P.L. 106-346 | 1 | 3 | ......... |
. | ||||
10.00 | Total obligations | 1 | 3 | ......... |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | 3 | 3 | ......... |
22.10 | Resources available from recoveries of prior | |||
year obligations | 1 | ......... | ......... | |
23.90 | Total budgetary resources available for | |||
obligations | 4 | 3 | ......... | |
23.95 | New obligations | -1 | -3 | ......... |
24.40 | Unobligated balance available, end of year | 3 | ......... | ......... |
Change in obligated balances | ||||
72.40 | Obligated balance, start of year | 9 | 7 | 6 |
73.10 | New obligations | 1 | 3 | ......... |
73.20 | Total outlays (gross) | -2 | -4 | -4 |
73.45 | Recoveries of prior year obligations | -1 | ……. | ……. |
74.40 | Obligated balance, end of year | 7 | 6 | 2 |
Outlays (gross), detail | ||||
86.93 | Outlays from discretionary balances | 2 | 4 | 4 |
Net Budget authority and outlays: | ||||
89.00 | Budget authority | ......... | ......... | ......... |
90.00 | Outlays | 2 | 4 | 4 |
95.02 | Unpaid obligations, end of year | 9 |
APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM
OBJECT CLASSIFICATION
In millions of dollars
Identification code: 69-8072-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
Direct obligations: | ||||
12.52 Other Services | 1 | 3 | ......... |
MISCELLANEOUS APPROPRIATIONS
(CANCELLATION)
Any unobligated balances under this heading are cancelled.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION MISCELLANEOUS APPROPRIATIONS
BACKGROUND
This account contains miscellaneous appropriations from the General Fund. Obligations and outlays result from prior year appropriations.
BUDGETARY RESOURCES
No new budget authority is requested for FY 2008. The budget proposes the cancellation of $149 million of the remaining unobligated balances in FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION MISCELLANEOUS APPROPRIATIONS
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-9911-01-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
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Obligations by program by activity: | ||||
00.01 | Interest on TIFIA Upward Reestimate | ……… | 1 | …… |
00.12 | Interstate transfer grants | 1 | ……. | …… |
00.24 | Highway demonstration projects | 3 | ……. | …… |
00.30 | Highway demonstration | |||
projects-preliminary engineering | 3 | ……. | …… | |
00.79 | Surface transportation projects | 3 | ……. | ……. |
00.83 | Miscellaneous highway projects/muscle shoals | 15 | 1 | ……. |
10.00 | Total new obligation (object class 41.0) | 25 | 2 | ……. |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | 138 | 150 | 149 |
22.00 | New budget authority (gross) | …….. | 1 | -149 |
22.10 | Resources available from recoveries of | |||
prior year obligations | 37 | ……. | ……. | |
23.90 | Total budgetary resources available for | |||
obligations………………… | 175 | 151 | ……. | |
23.95 | Total new obligations | -25 | -2 | ……. |
24.40 | Unobligated balance available, end of year | 150 | 149 | ……. |
New budget authority (gross), Detail: | ||||
Discreationary: | ||||
40.36 | Unobligated balance permanetly reduced | …….. | ……. | -149 |
New budget authority (gross), Detail | ||||
Mandatory: | ||||
60.00 | Appropriations (trust fund) | ……. | 1 | ……. |
70.00 | Total new budget authority (gross) | …….. | 1 | -149 |
Change in obligated balances | ||||
72.40 | Obligated balance, start of year | 511 | 312 | 197 |
73.10 | New obligations | 25 | 2 | ……. |
73.20 | Total outlays (gross) | -187 | -117 | -41 |
73.45 | Recoveries of prior year obligations | -37 | …….. | …….. |
74.40 | Obligated balance, end of year | 312 | 197 | 156 |
Outlays (gross), detail | ||||
86.90 | Outlays from new discretionary authority | …….. | …….. | -40 |
86.93 | Outlays from discreationary balances | 187 | 116 | 81 |
86.97 | Outlays from new mandatory authority | ……. | 1 | …….. |
87.00 | Total outlays (gross) | 187 | 117 | 41 |
Net budget authority and outlays: | ||||
89.00 | Budget authority | …….. | 1 | -149 |
90.00 | Outlays | 187 | 117 | 41 |
95.02 | Unpaid obligation, end of year | 310 | …….. | …….. |
MISCELLANEOUS APPROPRIATIONS
OBJECT CLASSIFICATION
In millions of dollars
Identification code: 69-9911-01-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Direct obligations: | ||||
14.10 Direct obligations:Grants,subsidies, and contributions | 25 | 2 | ......... |
MISCELLANEOUS HIGHWAY TRUST FUNDS
(CANCELLATION)
Any unobligated balances under this heading are cancelled.
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
MISCELLANEOUS HIGHWAY TRUST FUNDS
BACKGROUND
This account contains miscellaneous appropriations from the Highway Trust Fund. Obligations and outlays result from prior year appropriations.
BUDGETARY RESOURCES
No new budget authority is requested for FY 2008. The budget proposes the cancellation of $260.5 million of the remaining unobligated balances in FY 2008.
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
MISCELLANEOUS HIGHWAY TRUST FUNDS
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-9972-0-7-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
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Obligations by program by activity: | ||||
00.27 | Miscellaneous highway projects | 124 | ……. | …… |
10.00 | Total new obligation (object class 41.0) | 124 | ……. | …… |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | 356 | 260 | 260 |
22.00 | New budget authority (gross) | …….. | …….. | …….. |
22.10 | Resources available from recoveries of | |||
prior year obligations | 28 | ……. | ……. | |
23.90 | Total budgetary resources available for | |||
obligations | 384 | 260 | ……. | |
23.95 | Total new obligations | -124 | ……. | ……. |
24.40 | Unobligated balance available, end of year | 260 | 260 | ……. |
New budget authority (gross), Detail: | ||||
Discreationary: | ||||
40.36 | Unobligated balance permanetly reduced | …….. | ……. | -260 |
Change in obligated balances | ||||
72.40 | Obligated balance, start of year | 387 | 338 | 198 |
73.10 | New obligations | 124 | …….. | …….. |
73.20 | Total outlays (gross) | -145 | -140 | -11 |
73.45 | Recoveries of prior year obligations | -28 | …….. | …….. |
74.40 | Obligated balance, end of year | 338 | 198 | 187 |
Outlays (gross), detail | ||||
86.90 | Outlays from new discretionary authority | …….. | …….. | -70 |
86.93 | Outlays from discreationary balances | 145 | 140 | 81 |
87.00 | Total outlays (gross) | 145 | 140 | 11 |
Net budget authority and outlays: | ||||
89.00 | Budget authority | …….. | …….. | -260 |
90.00 | Outlays | 145 | 140 | 11 |
95.02 | Unpaid obligation, end of year | 338 | …….. | …….. |
MISCELLANEOUS HIGHWAY TRUST FUNDS
OBJECT CLASSIFICATION
In millions of dollars
Identification code: 69-9972-0-7-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
Direct obligations: | ||||
14.10 Direct obligations:Grants,susbsides, and contributions | 124 | ......... | ......... |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION MISCELLANEOUS TRUST FUNDS
BACKGROUND
Funds received by this account come completely from non-Federal sources. FHWA holds these funds in trust until they outlay. The following programs are included in this fund:
Cooperative work, forest highway (Proprietary Receipts) - Contributions are received from States and countries in connection with cooperative engineering, survey, maintenance, and construction projects for forest highways.
Technical assistance, U.S. dollars advance from foreign governments (Proprietary Receipts) - The Federal Highway Administration renders technical assistance and acts as agent for the purchase of equipment and materials for carrying out highway programs in foreign countries.
Contributions for highway research programs (Governmental Receipts) - Contributions are received from various sources in support of the FHWA Research, Development, and Technology Program. The funds are used primarily in support of pooled-funds projects.
Advances from State cooperating agencies (Proprietary Receipts) - Funds are contributed by the State highway departments or local subdivisions for construction and/or maintenance of roads and bridges. The work is performed under the supervision of the Federal Highway Administration.
International highway transportation outreach (Proprietary Receipts) - Funds collected to inform the domestic highway community of technological innovations, promote highway transportation expertise internationally, and increase transfers of transportation technology to foreign countries.
BUDGETARY RESOURCES
The budget estimates that $300 million will be available from non-Federal sources in FY 2008.
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
MISCELLANEOUS TRUST FUNDS
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-9971-0-7-999 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Obligations by program by activity: | ||||
00.01 | Cooperative work, forest highways | 3 | 51 | 51 |
00.03 | Contributions for highway research | 6 | 16 | 16 |
00.04 | Advances from State cooperating Agencies | 45 | 41 | 41 |
00.05 | Advances from other Federal Agencies | 27 | 238 | 192 |
10.00 | Total obligations | 81 | 346 | 300 |
Budgetary resources available for obligation | ||||
21.40 | Unobligated balance available, start of year | 78 | 47 | 1 |
22.00 | New budget authority (gross) | 50 | 300 | 300 |
23.90 | Total budgetary resources available for | |||
obligations | 128 | 347 | 301 | |
23.95 | Total new obligations | -81 | -346 | -300 |
24.40 | Unobligated balance available, end of year | 47 | 1 | 1 |
New budget authority (gross), Detail: | ||||
Mandatory: | ||||
60.26 | Appropriations (trust fund) | |||
[69-9971-0-999-N-0500-01] | 50 | 300 | 300 | |
Change in obligated balances | ||||
72.40 | Obligated balance, start of year | 155 | 164 | 201 |
73.10 | New obligations | 81 | 346 | 300 |
73.20 | Total outlays (gross) | -72 | -309 | -364 |
74.40 | Obligated balance, end of year | 164 | 201 | 137 |
Outlays (gross), detail | ||||
86.97 | Outlays from new mandatory authority | ......... | 243 | 243 |
86.98 | Outlays from mandatory balances | 72 | 66 | 121 |
87.00 | Total outlays (gross) | 72 | 309 | 364 |
Net budget authority and outlays: | ||||
89.00 | Budget authority | 50 | 300 | 300 |
90.00 | Outlays | 72 | 309 | 364 |
95.02 | Unpaid obligation, end of year | 165 |
MISCELLANEOUS TRUST FUNDS
OBJECT CLASSIFICATION
In millions of dollars
Identification code: 69-9971-0-7-999 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Direct obligations: | ||||
Personnel compensation: | ||||
11.11 | Personnel Compensation: Full-time permanent | 4 | 4 | 4 |
12.52 Other Services | 77 | 342 | 296 | |
99.99 Total new obligations | 81 | 346 | 300 |
MISCELLANEOUS TRUST FUNDS
EMPLOYMENT SUMMARY
Identification code: 69-9971-0-7-999 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Direct: | ||||
10.01 | Civilian full-time equivalent employment | 39 | 39 | 39 |
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION ACT
FINANCING ACCOUNTS
BACKGROUND
As required by the Federal Credit Reform Act of 1990, these non-budgetary accounts record all cash flow to and from the Government resulting from credit assistance obligated in 1992 and later years (including modifications of credit assistance resulting from obligations in any year). The amounts in these accounts are a means of financing and are not included in the budget totals. The TIFIA credit program utilizes three separate financing accounts, one for each credit instrument offered by the program: direct loan, loan guarantee, and contingent line of credit.
SAFETEA-LU provides contract authority for the TIFIA program to assist in the funding of nationally or regionally significant transportation projects. The subsidy costs and administrative expenses associated with this program are included in the Federal-aid Highway schedules.
In FY 2006, USDOT received three toll road project applications seeking a total of $1.2 billion in TIFIA credit assistance. Two of these applications represent public-private partnerships (P3s) with State DOTs that would replicate development models common in Europe, Australia and South America. Three additional projects indicated, via letters of interest, their intent to seek TIFIA assistance in the near future.
The interest among many States and other government transportation providers in utilizing P3s to privatize existing facilities and to develop new facilities creates many new opportunities to utilize TIFIA to assist infrastructure investment. The DOT interacts with all sectors of this growing industry via participation in conferences, ongoing production of an innovative finance newsletter and a user-friendly website, and frequent meetings with rating agencies, banks, equity investors, developers and operators. The DOT expects the use of TIFIA to increase significantly as a result of this trend.
A 2006 Program Assessment Rating Tool (PART) review of the TIFIA program found that TIFIA's guidelines do not necessarily ensure that the type of credit assistance provided is the most cost effective for the Government, and that TIFIA's design does not ensure promotion of private investment. In response DOT is developing loan approval criteria for applicants to take full advantage of private-sector financing opportunities and to better target TIFIA assistance.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION FINANCING ACCOUNT - DIRECT LOAN
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-4123-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Program by Activities: | |||
00.01 Loan obligations | 42 | 2,200 | 1,381 |
00.02 Interest paid to Treasury | 17 | 21 | 66 |
00.91 Direct Program by Activities | 59 | 2,221 | 1,447 |
08.02 Downward Reestimate | 14 | …… | ...... |
10.00 Total new obligations | 73 | 2,221 | 1,447 |
Budgetary resources available for obligation: | |||
21.40 Unobligated balance brought forward | 39 | 32 | …… |
22.00 New financing authority (gross) | 64 | 2,349 | 1,512 |
22.10 Resources available from recoveries of prior year Obligations | 704 | 163 | 0 |
22.60 Portion applied to repay debt | 0 | (35) | (65) |
22.70 Balance of authority to be withdrawn | (702) | (288) | …… |
23.90 Total budgetary resources available for obligation | 105 | 2,221 | 1,447 |
23.95 Total new obligations | (73) | (2,221) | (1,447) |
24.40 Unobligated balance carried forward, end of year | 32 | …… | …… |
New financing authority (gross), detail: | |||
Appropriations | |||
Mandatory: | |||
67.10 Authority to borrow (indefinite) | 55 | 2,184 | 1,439 |
Mandatory | |||
67.90 Authority to borrow (total mandatory) | 55 | 2,184 | 1,439 |
69.00 Offsetting collections (cash) | 249 | 118 | 121 |
69.10 Change in uncollected customer | |||
payments from Federal Sources (unexpired) | 2 | 47 | (48) |
69.47 Portion applied to repay debt | (242) | ...... | …… |
69.90 Spending authority from offsetting collections | 9 | 165 | 73 |
70.00 Total new financing authority (gross) | 64 | 2,349 | 1,512 |
Change in obligated balances | |||
72.40 Obligated balance, start of year | 2,008 | 1,298 | 1,976 |
73.10 Total new obligations | 73 | 2,221 | 1,447 |
73.20 Total financing disbursements (gross) | (77) | (1,333) | (1,417) |
73.45 Recoveries of prior year obligations | (704) | (163) | …… |
74.00 Change in uncollected customer payments from Federal | |||
sources, (unexpired) | (2) | (47) | 48 |
Unpaid obligations, end of year: | |||
74.40 Obligated balance, end of year | 1,298 | 1,976 | 2,054 |
Outlays (gross) detail: | |||
87.00 Total financing disbursements (gross) | 77 | 1,333 | 1,417 |
Offsets against gross financing authority and Financing disbursements: | |||
Offsetting collections (cash) from: | |||
88.00.01 Federal sources: Subsidy from program account | 3 | 110 | 121 |
88.00.02 Federal sources: Payment from program account -- upward restimate | 2 | 8 | ...... |
88.25 01 Interest on uninvested funds | 8 | ...... | ...... |
88.40 01 Interest payments from borrowers | 11 | …… | …… |
88.40 02 Repayment of Principal, net | 225 | …… | …… |
88.90 Total offsetting collections (cash) | 249 | 118 | 121 |
Against gross financing authority only | |||
88.95 Change in receivables from program account | 2 | 47 | (48) |
Net financing authority and financing disbursements: | |||
89.00 Financing authority | (187) | 2,184 | 1,439 |
90.00 Financing disbursements | (172) | 1,215 | 1,296 |
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION
FINANCING ACCOUNT - DIRECT LOAN
STATUS OF DIRECT LOAN
In millions of dollars
Identification code: 69-4123-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Portions with respect to appropriations act | |||
limitation on obligations: | |||
11.31 Direct loan obligations exempt from limitation | 42 | 2,200 | 1,381 |
11.42 Unobligated direct loan limitation | …… | ...... | ...... |
11.50 Total direct loan obligations | 42 | 2,200 | 1,381 |
Cumulative balance of direct loans outstanding: | |||
12.10 Outstanding, start of year | 290 | 119 | 407 |
12.31 Disbursement: Direct loan disbursements | 54 | 288 | 1,351 |
12.51 Repayments: Repayments and Prepayments | (225) | …… | …… |
12.90 Outstanding, end of year | 119 | 407 | 1,758 |
62.00 Net financing disbursements | (172) | 1,215 | 1,296 |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION FINANCING ACCOUNT - LOAN GUARANTEE
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-4145-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Program by Activities: | |||
Budgetary resources available for obligation: | |||
21.40 Unobligated balance carried forward, start of year | ...... | ...... | 9 |
22.00 New financing authority (gross) | ....... | 9 | 8 |
23.90 Total budgetary resources available for obligation | ....... | 9 | 17 |
24.40 Unobligated balance carried forward, end of year: | ....... | 9 | 17 |
New financing authority (gross), detail: | |||
Mandatory | |||
69.00 Offsetting collections (cash) | ....... | 9 | 8 |
Offsets | |||
Against gross financing authority and financing disbursements: | |||
88.00 Offseting collections (cash) from: | |||
Federal sources: loan guarantee subsidy | ....... | 8 | 7 |
88.25.01 Interest on uninvested funds | ……. | 1 | 1 |
88.90 Total, offsetting collections (cash) | ....... | 9 | 8 |
Net financing authority and financing disbursements | |||
89.00 Financing Authority | ....... | ....... | ....... |
90.00 Financing disbursements | ....... | (9) | (8) |
STATUS OF GUARNTEED LOANS
In millions of dollars
Identification code: 69-4145-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Position with respect to appropriations act | |||
limitation on commitments: | |||
21.31 Guarnteed loan commitments exempt from limitation | 200 | 200 | 200 |
21.42 Uncommitted loan guarantee limitation | (200) | ...... | ...... |
21.50 Total guaranteed loan commitments | ....... | 200 | 200 |
21.99 Guaranteed amount of guaranteed loan commitments | ....... | 200 | 200 |
Cummulative balance of guarantee loans outstanding | |||
22.10 Outstanding, start of year | …… | …… | 200 |
22.31 Disbursements of new guaranteed loans | ....... | 200 | 200 |
22.51 Repayments and Prepayments | ....... | ....... | ....... |
22.90 Outstanding, end of year | ....... | 200 | 400 |
Memorandum | |||
22.99 Guaranteed amount of guaranteed loans outstanding, | |||
end of year | ....... | 200 | 400 |
62.00 Net financing disbursements | ....... | (9) | (8) |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION FINANCING ACCOUNT - LINE-OF-CREDIT
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-4173-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Program by Activities: | |||
Obligations by program activity | |||
00.01 Llines of credit | ....... | 200 | 200 |
00.02 Interest Paid to Treasury | ....... | 2 | 2 |
10.00 Total new obligations | ....... | 202 | 202 |
Budgetary resources available for obligation: | |||
22.00 New financing authority (gross) | …… | 202 | 202 |
22.10 Resources available from recoveries of prior year obligations | …… | 20 | ....... |
22.70 Balance of authority to borrow withdrawn | …… | (18) | ....... |
23.90 Total budgetary resouces available for obligation | ....... | 204 | 202 |
23.95 Total new obligations | ....... | (202) | (202) |
New financing authority (gross), detail: | |||
Mandatory: | |||
67.10 Authority to borrow | ....... | 191 | 191 |
Mandatory: | |||
69.00 Offsetting collections (cash) | ....... | 3 | 3 |
69.10 Change in uncollected customer payments from Federal sources (unexpired) | …… | 8 | 8 |
69.90 Spending authority from offsetting collections (total mandatory) | 0 | 11 | 11 |
70.00 Total new financing authority (gross) | 0 | 202 | 202 |
Change in obligated balances | |||
72.40 Obligated balance, start of year | 18 | 18 | 150 |
73.10 Total new obligations | ....... | 202 | 202 |
73.20 Total financing disbursements (gross) | ....... | (42) | (42) |
73.45 Recoveries of prior year obligations | …… | (20) | …… |
74.00 Change in uncollected customer payments from Federal sources (unexpired) | …… | (8) | (8) |
74.40 Obligated balance, end of year | 18 | 150 | 302 |
87.00 Total financing disbursements (gross) | ....... | 42 | 42 |
Offsets | |||
Against gross financing authority and financing disbursements: | |||
88.00 Offsetting collections (cash) from Federal sources | ....... | 3 | 3 |
Against gross financing authority only | |||
88.95 Change in receivables from program account | …… | 8 | 8 |
Net financing authority and financing disbursements: | |||
89.00 Financing authority | ....... | 191 | 191 |
90.00 Financing disbursements | ....... | 39 | 39 |
STATUS OF LINE-OF-CREDIT
In millions of dollars
Identification code: 69-4173-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Portions with respect to appropriations act | |||
limitation on obligations | |||
11.31 Limitation on direct loans | 200 | 200 | 200 |
11.42 Unobligated direct loan limitation | (200) | ....... | ...... |
11.50 Total direct loan obligations | ....... | 200 | 200 |
Cumulative balance of direct loans outstanding: | |||
12.10 Outstanding, start of year | ....... | …… | 42 |
12.31 Disbursements: Direct loan disbursements | ....... | 42 | 42 |
12.90 Outstanding, end of year | ....... | 42 | 84 |
62.00 Net financing disbursements | ....... | 39 | 39 |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION ORANGE COUNTY (CA) TOLL ROAD DEMONSTRATION PROJECT
BACKGROUND
San Joaquin Hills Project
The Congress appropriated $9.6 million in FY 1993 to extend a $120 million line-of- credit to the Transportation Corridor Agency's (TCA) San Joaquin Hills public toll road. The loan agreement stipulates that no more than $12 million may be disbursed in any year of operation and draws may be taken only through December 31, 2007. Because of the time and amount limitations on draws, $12 million of the line-of-credit expires each year if not drawn.
As required by the Federal Credit Reform Act of 1990, program and financing accounts have been established to record activity related to direct loan obligations for the Orange County toll roads. The original subsidy obligation of $9.6 million in the program account and the loan obligation of $120 million in the financing account for the San Joaquin Hills Project were recorded when the loan agreement was executed. As loan amounts expire, they are de-obligated in both the program and financing accounts. To date, the San Joaquin Hills Project has not drawn down its line-of-credit.
Foothills/Eastern Transportation Corridor
The Congress appropriated $8 million in FY 1995 to extend a $120 million line-of-credit to the Transportation Corridor Agency's (TCA) Foothills-Eastern Transportation Corridor public toll road. The loan agreement stipulates that no more than $12 million may be disbursed in any year of operation and draws may be taken only through December 31, 2009. Because of the time and amount limitation on draws, $12 million of the line-of-credit expires each year if not drawn. As required by the Federal Credit Reform Act of 1990, program and financing accounts have been established to record activity related to direct loan obligations for the Orange County to roads. The original subsidy obligation of $8 million in the program account and the loan obligation of $120 million in the financing account for the Foothills/Eastern Transportation Corridor were recorded when the loan agreement was executed. As loan amounts expire, they are de-obligated in both the program and financing accounts. To date, the Foothills/Eastern Transportation Corridor has not drawn down on its line-of- credit.BUDGETARY RESOURCES
No new appropriations are requested for FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION ORANGE COUNTY (CA) TOLL ROAD DEMONSTRATION PROJECT DIRECT LOAN PROGRAM ACCOUNT
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-0543-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Change in unpaid obligations | ||||
72.40 | Unpaid Obligations, start of year | 5 | 5 | 3 |
73.45 | Uncollected customer payments from prg. acct. | 0 | -2 | ......... |
74.40 | Unpaid Obligations, end of year | 5 | 3 | 3 |
89.00 | Financing authority | ......... | ......... | ......... |
90.00 | Financing disbursements | ......... | ......... | ......... |
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
ORANGE COUNTY (CA) TOLL ROAD DEMONSTRATION PROJECT
DIRECT LOAN FINANCING ACCOUNT
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-4264-0-3-401 | 2006 Actual |
2007 Estimate |
2008 Estimate |
|
---|---|---|---|---|
Budgetary resources available for obligation | ||||
22.00 | New financing authority (gross) | 0 | 0 | ......... |
22.10 | Resources available from recoveries of | |||
prior year obligations | 24 | 24 | ......... | |
22.70 | Balance of authority to borrow withdrawn | -24 | -24 | ......... |
23.90 | Total budgetary resources available for obligations | ......... | ......... | ......... |
69.10 | Change in uncollected customer payments from | |||
Federal sources (unexpired) | …… | …… | ......... | |
66.90 | Spending authority from offsetting collections | …… | …… | ......... |
Change in obligated balance | ||||
72.40 | Obligated Balance, start of year | 91 | 67 | 43 |
73.45 | Recoveries of prior year obligations | -24 | -24 | ......... |
74.00 | Change in uncollected customer payments from Federal | |||
sources (unexpired) | 0 | 0 | ......... | |
74.40 | Obligated balance, end of year | 67 | 43 | 43 |
Against gross financing authority only | ||||
88.95 | Change in recievables from program accounts | …… | …… | ......... |
89.00 | Financing authority | ......... | ......... | ......... |
90.00 | Financing disbursements | ......... | ......... | ......... |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION RIGHT-OF-WAY REVOLVING FUND
BACKGROUND
The Federal-Aid Highway Act of 1968 authorized the establishment of a Right-of Way fund. This fund is used to make cash advances to States for the purchase of right-of-way parcels in advance of highway construction to reduce the impact of land price inflation on construction costs.
This program was terminated by TEA-21 but will continue to be shown for reporting purposes, while loan balances remain outstanding. The purchase of right-of-way is an eligible expense of the Federal-aid program and therefore a separate program is unnecessary. Funds shall remain available to the State for use on the projects for which the funds were advanced for a period of 20 years from the date on which the funds were advanced. The cumulative balance of loans outstanding at the end of FY 2006 was $67 million. No further obligations are estimated in FY 2007 or 2008.
Section 1915 of SAFETEA-LU (P.L.109-059) authorized loan forgiveness on California project Q-DPM-0013 (001) in the amount of $11 million. The California loan forgiveness was executed in FY 2006 and is reflected in the associated Right-of-Way program, financing and liquidating accounts. Repayments are returned to the Highway Trust Fund.
BUDGETARY RESOURCES
No new budgetary resources are requested in FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION RIGHT-OF-WAY (ROW) REVOLVING FUND PROGRAM ACCOUNT - DIRECT LOAN
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-8309-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Obligations by program activity: | |||
00.01 Subsidy for modification of direct loans | 11 | …… | …… |
Budgetary resources available for obligation: | |||
22.00 New financing authority (gross) | 11 | …… | …… |
23.95 Total new obligations | (11) | …… | …… |
24.40 Unobligated balance carried forward, end of year | 0 | 0 | 0 |
New financing authority (gross), detail: | |||
Appropriations | |||
Mandatory: | |||
60.26 Appropriation (trust fund) | 11 | …… | …… |
Change in obligated balances | |||
73.10 Total new obligations | 11 | …… | …… |
73.20 Total financing disbursements (gross) | (11) | …… | …… |
74.40 Obligated balance, end of year | 0 | 0 | 0 |
Outlays (gross) detail: | |||
86.97 Outlays from new mandatory authority | 11 | 0 | 0 |
Net financing authority and financing disbursements: | |||
89.00 Financing authority | 11 | …… | …… |
90.00 Financing disbursements | 11 | …… | …… |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION RIGHT-OF-WAY (ROW) REVOLVING FUND FINANCING ACCOUNT - DIRECT LOAN
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-4270-0-3-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
Obligations by program activity: | |||
00.03 Loan subsidy payment for forgiven liquidating account loan | 11 | …… | …… |
Budgetary resources available for obligation: | |||
22.00 New financing authority (gross) | 11 | …… | …… |
23.95 Total new obligations | (11) | …… | …… |
New financing authority (gross), detail: | |||
Mandatory: | |||
69.00 Offsetting collections (cash) | 11 | …… | …… |
Change inobligaed balances: | |||
73.10 Total new obligations | 11 | …… | …… |
73.20 Total financing disbursements (gross) | (11) | …… | …… |
Offsets | |||
Against gross financing authority and financing disbursements: | |||
88.00 Offseting collections (cash) from: | |||
Federal sources: ROW program account | 11 | …… | …… |
89.00 Financing Authority | ....... | ....... | ....... |
90.00 Financing disbursements | ....... | …… | …… |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION RIGHT-OF-WAY (ROW) REVOLVING FUND LIQUIDATING ACCOUNT - DIRECT LOAN
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-8402-0-8-401 | 2006 Actual | 2007 Estimate | 2008 Estimate |
---|---|---|---|
Budgetary resources available for obligation: | |||
21.40 Unobligated balance carried forward, start of year | 12 | 15 | …… |
22.00 New financing authority (gross) | 12 | …… | …… |
22.10 Resources available from recoveries of prior year obligations | 2 | …… | ....... |
22.40 Portion returned to trust fund from liquidating account | (11) | (15) | ....... |
23.90 Total budgetary resouces available for obligation | 15 | …… | …… |
24.40 Unobligated balance carried forward, end of year | 15 | …… | …… |
New Budget Authority (gross), detail | |||
Mandatory: | |||
69.00 Offsetting collections (cash) | 12 | …… | …… |
Change in obligated balances | |||
72.40 Obligated balance, start of year | 10 | 6 | 6 |
73.20 Total financing disbursements (gross) | (2) | …… | …… |
73.45 Recoveries of prior year obligations | (2) | …… | …… |
74.40 Obligated balance, end of year | 6 | 6 | 6 |
87.00 Total financing disbursements (gross) | 2 | …… | …… |
Offsets | |||
Against gross financing authority and financing disbursements: | |||
88.00 Offsetting collections (cash) from Federal sources | 12 | …… | …… |
Net financing authority and financing disbursements: | |||
89.00 Financing authority | ....... | …… | …… |
90.00 Financing disbursements | (10) | …… | …… |
Cumulative balance of direct loans outstanding: | |||
12.10 Outstanding, start of year | 78 | 67 | 67 |
12.51 Repayments: Repayments and prepayments | ....... | …… | …… |
12.64 Write-offs for default: Loan forgiveness (P.L. 109-59) | (11) | ||
12.90 Outstanding, end of year | 67 | 67 | 67 |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION STATE INFRASTRUCTURE BANKS
BACKGROUND
In FY 1997, FHWA received an appropriation of $150 million from the General Fund for the State Infrastructure Banks (SIBs) program. This schedule shows the obligation and outlay of that funding. In FY 1999 and 2002, $6.5 million and $5.75 million of the funds provided for the SIBs program were rescinded, respectively.
SIBs have provided critical funds for more than 351 projects. States have entered into agreements with a dollar value of over $4.5 billion as of September 30, 2003. All of the funds have been provided to the States to capitalize the infrastructure banks. Because the funding was provided for grants, not loans, FHWA will not receive reimbursements of amounts expended for the SIBs program.
BUDGETARY RESOURCES
No new budgetary resources are requested in FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION STATE INFRASTRUCTURE BANKS DIRECT LOAN FINANCING ACCOUNT
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-0549-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Change in obligated balance | ||||
72.40 | Obligated Balance, start of year | 4 | 3 | 2 |
73.20 | Total Outlays (gross) | -1 | -1 | -1 |
74.40 | Obligated balance, end of year | 3 | 2 | 1 |
Outlays (gross), detail: | ||||
86.93 | Outlays from discretionary balances | 1 | 1 | 1 |
89.00 | Financing authority | ......... | ......... | ......... |
90.00 | Financing disbursements | 1 | 1 | 1 |
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION HIGHWAY RELATED SAFETY GRANTS
BACKGROUND
In FY 1997, this account was transferred from the Federal Highway Administration to the National Highway Traffic Safety Administration. Obligations and outlays reflected in this account are from previous to FY 1997 appropriations.
BUDGETARY RECOURCES
No new budgetary resources are requested in FY 2008.
DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION HIGHWAY RELATED SAFETY GRANTS
PROGRAM AND FINANCING SCHEDULE
In millions of dollars
Identification code: 69-8019-0-1-401 | 2006 Actual | 2007 Estimate | 2008 Estimate | |
---|---|---|---|---|
Change in obligated balances: | ||||
72.40 | Obligated balance, start of year | 1 | 1 | 1 |
74.40 | Obligated balance, end of year | 1 | 1 | 1 |
89.00 | Budget authority | ……… | ……… | ......... |
90.00 | Outlays | ……… | ……… | ......... |
95.02 | Unpaid obligations, end of year | 1 | ……… | ......... |
ADMINISTRATIVE PROVISIONS-FEDERAL HIGHWAY ADMINISTRATION
SEC. 110. Notwithstanding 31 U.S.C. 3302, funds received by the Bureau of Transportation Statistics from the sale of data products, for necessary expenses incurred pursuant to 49 U.S.C. 111, may be credited to the Federal-aid highways account for the purpose of reimbursing the Bureau for such expenses: Provided, That such funds shall be subject to the obligation limitation for Federal-aid highways and highway safety construction.
Note.-A regular 2007 appropriation for this account had not been enacted at the time the budget was prepared; therefore, this account is operating under a continuing resolution (P.L. 109-289, Division B, as amended). The amounts included for 2007 in this budget reflect the levels provided by the continuing resolution.
PERFORMANCE OVERVIEW
Annual Performance Results and Targets
The Federal Highway Administration (FHWA) integrates performance results into its budget requests to demonstrate alignment with the Department of Transportation (DOT) Strategic Plan. The FHWA tracks the following DOT level performance measures to demonstrate program results:
Strategic Objective: Safety
Fatalities per 100 million vehicle miles traveled. *Shared measure with NHTSA. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
1.40 |
1.40 |
1.38 |
1.38 |
1.38 |
1.38 |
1.37 |
Actual |
1.51 |
1.48 |
1.44 (r) |
1.45 * |
1.44 # |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Passenger vehicle occupant highway fatalities per 100 million VMT. Shared measure with NHTSA. |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
N/A |
N/A |
1.12 |
1.10 |
1.06 |
Actual |
1.21 |
1.17 |
1.14 |
|
|
|
(r) Revised; * Preliminary Estimate; # Projection
Non-occupant highway fatalities per 100 million VMT. Shared measure with NHTSA. |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
N/A |
N/A |
0.16 |
0.15 |
0.19 |
Actual |
0.19 |
0.19 |
0.20 |
|
|
|
(r) Revised; * Preliminary Estimate; # Projection
Motorcycle rider highway fatalities per 100 million VMT. Shared measure with NHTSA. |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
0.75 |
0.76 |
0.76 |
Actual |
0.75 |
|
|
|
(r) Revised; * Preliminary Estimate; # Projection
Large truck and bus fatalities per 100 million VMT. Shared measure with FMCSA. |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
0.179 |
0.175 |
0.171 |
Actual |
0.184 |
|
|
|
(r) Revised; * Preliminary Estimate; # Projection
Strategic Objective: Reduced Congestion
Percent of total annual urban-area travel time occurring in congested conditions |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
30.9 |
31.6 |
32.3 |
33.0 |
33.7 |
32.5 |
32.3 |
Actual |
30.7 (r) |
31.0 (r) |
31.6(r) |
31.8 # |
32.6 # |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Percent of U.S. population with access to 511 travel telephone service. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
30 |
35 |
40 |
50 |
65 |
75 |
Actual |
14 |
17 |
25 |
28 |
35 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Percent of travel on the National Highway System (NHS) meeting pavement performance standards for good ride. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
N/A |
53.0 |
54.0 |
55.5 |
57.0 |
|
Actual |
49.3 (r) |
50.0 (r) |
52.0 (r) |
51.8 |
54.2 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Strategic Objective: Global Connectivity
Number of freight corridors with an annual decrease in the average buffer index rating. |
2006 |
2007 |
2008 |
Target |
5 |
25 |
25 |
Actual |
3 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Strategic Objective: Environmental Stewardship
Number of exemplary ecosystem initiatives. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
8 |
10 |
17 |
24 |
50 |
55 |
Actual |
5 |
8 |
15 |
23 |
43 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
12-month moving average number of areas in transportation conformity lapse. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
6.0 |
6.0 |
6.0 |
6.0 |
6.0 |
6.0 |
6.0 |
Actual |
6.0 |
6.0 |
6.3 (r) |
5.8(r) |
1.3 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Median time in months required for all Federal-aid Highway projects to have a completed Environmental Impact Statement (EIS). – Supplemental to DOT-wide Measure. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
51 |
48 |
45 |
40 |
36 |
36 |
Actual |
80 |
68 |
54 |
56 (r) |
57 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Median time in months required for all Federal-aid Highway projects to have a completed Environmental Assessment (EA). |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
17 |
16 |
15 |
14 |
12 |
12 |
Actual |
26 |
25 |
25 (r) |
43 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Strategic Objective: Organizational Excellence
Percent of major Federally funded transportation infrastructure projects with less than 2% annual growth in the project completion milestone as reported in the finance plan. Shared measure with FTA. Actual results do not reflect results for FTA projects. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
90 |
Actual |
N/A |
N/A |
50 |
83 |
86 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Percent of finance plan cost estimates for major Federally funded transportation infrastructure projects with less than 2% annual growth Shared measure with FTA. Actual results do not reflect results for FTA projects. |
2002 |
2003 |
2004 |
2005 |
2006 |
2007 |
2008 |
Target |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
90 |
Actual |
N/A |
N/A |
75 |
83 |
86 |
|
|
(r) Revised; * Preliminary Estimate; # Projection
Detailed performance budget information can be found in Section 4 of the budget submission.
Program Assessment Rating Tool (PART) Assessment
PART was developed by the Office of Management and Budget to provide a standardized way to assess the effectiveness of the Federal Government’s portfolio of programs. The structured framework of PART provides a means through which programs can assess their activities differently than through traditional reviews. The following Federal Highway Administration programs have been assessed via the PART:
Program PART Cycle OMB Assessed Score
Federal Aid Highway Program FY 2004 82
FY 2005 70
Federal Lands Highway Program FY 2005 82
Research and Development FY 2006 83
Emergency Relief FY 2007 70
TIFIA (Credit Programs) FY 2008 69
Federal Aid Highway Program Analysis: While the score of 82 and 70 indicate the program is ‘moderately effective’ OMB’s review identified several areas where improvements could be made to the administration of the Federal-aid Highway program.
OMB Recommendation #1: Propose budget and legislative changes to this program through the reauthorization of surface transportation legislation in 2004 that will allow FHWA to more effectively and efficiently meet its performance goals.
Action Taken: Requirements for an oversight program to monitor the effective and efficient use of funds was inserted into Section 1904 of SAFETEA-LU. This program is currently under development. Completion Date: 06/03/04.
Action Taken: Using some of the provisions from the SAFETEA-LU legislation and in conjunction with the Financial Integrity Review and Evaluation (FIRE) procedures, FHWA is developing a more comprehensive review of how the State DOTS use their Federal aid funds. A specific improvement plan is under development and will be available by January 2007. Completed
OMB Recommendation #2: Prepare a plan for improving program and project oversight of States.
Action Taken: The FHWA has implemented a draft plan, which should be final by December 2006, for improving the oversight of major projects. "Interim Major Project Guidance" sets forth specific direction on how FHWA will conduct major project oversight and stewardship activities, cost estimating guidance, finance plan guidance, project management plan guidance, cost estimating training, project management training, project management certification program and a lessons learned program. Completed.
OMB Recommendation #3: Direct more resources to comprehensive evaluation activities; particularly at the State project level.
Actions Taken: Twenty centrally controlled FTE have been dedicated to project oversight manager positions in the Division Offices. Personnel are assigned to one or more major projects and are responsible for ensuring compliance with the Interim Major Project Guidance concerning the preparation of Financial Plans, Project Management Plans, and the independent validation of project cost estimates for major projects. Completion Date: 09/01/05.
OMB Recommendation #4: Devise efficiency measures to show that program delivery is cost-effective.
Actions Taken: FHWA has made using efficiency measures of its programs a standard management practice. The cost and schedule of major projects are tracked semi-annually. Completion Date: 02/02/04.
Federal Lands Highway Program Analysis: The OMB PART assessment of the Federal Lands Highway Program is also a ‘moderately effective’ program. The one area where OMB made improvement recommendations was in external program reviews. This led to the following recommendation.
OMB Recommendation #1: Schedule comprehensive evaluations of program effectiveness.
Action Taken: FLH/NPS Team was established to develop guidance to facilitate the implementation of the MOA concerning the delivery of a larger Park Roads and Parkway Program. The Team identified eleven issues that are critical to the delivery of the program. Several groups are currently working on many of these issues and it has been proposed that additional teams be established to address the remaining issues. The ultimate goal is to develop a comprehensive delivery plan and performance measures.
Next Milestone: Develop comprehensive evaluation plan based on the commitments made by FHWA in the MOA that implements the President's National Park Service Initiative. Completed: July 2005. Recommendations from plan continuously being implemented.
OMB Recommendation #2: Developing revised performance measures in coordination with the National Park Service and implementing a program delivery plan that more clearly links activities with goals and performance.
Action Taken: FLH Developing revised performance measures in coordination with the National Park Service and implementing a program delivery plan that more clearly links activities with goals and performance. Action taken, but not completed.
Research and Development (Includes ITS) Analysis: OMB completed its PART assessment of FHWA’s Research and Intelligent Transportation System (ITS) programs during 2004. The following recommendations have been made by OMB:
OMB Recommendation #1: Recommend that the FHWA R&T Program specifically address how the FHWA is implementing the President's investment criteria for R&D in the DOT budget and performance report. This recommendation would be in alignment with OMB’s earlier recommendations to the research community at large.
Action Taken: FHWA has taken steps to expand the R&T discussions to include the President’s investment criteria in this budget document and future performance reports. Completed. Annual event.
OMB Recommendation #2: Recommend that FHWA R&T Program include a numeric chart showing projects completed by goal in FHWA RD&T annual performance report. Implementing this recommendation would strengthen the linkage between the research roadmaps, the individual research projects and both FHWA and DOT performance goals. This recommendation would address one of the weaknesses in the documentation and goal alignment of the R&T program.
Action Taken: FHWA plans to include the goal chart and linkages in their future performance plans and reports. Completed. Annual event.
OMB Recommendation #3: Recommend that FHWA R&T program require the recipients of earmarked funds to demonstrate how their projects and their results specifically support the FHWA/DOT goal(s). While there is no guarantee that implementing this recommendation would necessarily result in OMB's approval of the earmarking question, it would demonstrate that FHWA is doing everything possible to influence the appropriate use of Research funds.
Action Taken: FHWA has developed contract provisions requiring recipients to demonstrate the link between their projects and FHWA and DOT goals. These provisions will be included in all future RD&T contracts. Completed.
OMB Recommendation #4: Reviewing the project selection process and determining whether projects funded are consistent with the priorities of the new 2007-2011 USDOT Strategic Plan.
Action Taken: New program improvement item. To be implemented in FY 2007. No action taken.
OMB Recommendation #5: Making program improvements consistent with the recommendations of recently completed lab assessments.
Action Taken: New program improvement item. Full implementation to begin in FY 2007. Action taken but not completed.
Emergency Relief Program Analysis: OMB completed its PART assessment of FHWA’s Emergency Relief program during 2005. OMB has made the following recommendations concerning program improvements.
OMB Recommendation #1: Incorporating the program within FHWA's Financial Integrity Review and Evaluation procedures.
Action Taken: Emergency Relief will be included in FHWA's Financial Integrity Review and Evaluation procedures. Projects to be reviewed will be determined by an independent accounting team. Completed.
OMB Recommendation #2: Establishing in-house guidance and criteria that will focus on project approval performance.
Action Taken: Formalized the ER PART measures within the Divisions Offices.
Scheduled August 2006.
Action Taken: Incorporate performance metrics into disaster acknowledgement letter that designates ER event. Letter will be sent to both Division and State Office whenever an event occurs. Completed. April 2006. Continuous Event.
OMB Recommendation #3: Establishing in-house guidance and criteria to ensure all FHWA state division offices approve projects according to the same standards.
Action Taken: ER manual developed that provides standard guidance. Completed: January 2006
Action Taken: Form a team to look at lessons learned from May 2006 disasters. Scheduled: Fall 2006
Action Taken: Incorporate lessons into ER manual update. Scheduled: Spring 2007
TIFIA Program Analysis: OMB completed its review of the Transportation Infrastructure Finance and Innovation Act (TIFIA) credit program during FY 2006. The TIFIA program received a Performance Assessment Rating Tool (PART) score of 69, or adequate, in meeting its goals. As a primary measure of performance, FHWA uses the 3-year moving average of the total cost of projects supported by TIFIA as a proxy for the degree to which TIFIA assistance promotes such investment. This measure captures the impact of TIFIA funds as well as the program’s effectiveness in leveraging resources from other sources. The TIFIA program supports a relatively small number of large-scale projects, resulting in a great deal of volatility in the level of investment on an annual basis. By tracking the 3-year moving average, FHWA is able to smooth out annual fluctuations, providing a more accurate picture of trends in program operations than the annual level of investment.
The PART analysis indicated that the TIFIA program needs to set more ambitious goals, achieve better results, improve accountability, and strengthen its management practices. The following are recommended actions:
OMB recommendation #1: Develop loan approval criteria to ensure that loan applicants take full advantage of private sector financing opportunities.
OMB recommendation #2: Implement a strategy for encouraging borrowers to seek and private lenders to offer loans guaranteed by the TIFIA program.
OMB recommendation #3: Develop loan approval criteria ensuring that the TIFIA program targets projects that were not able to access capital through other means.
Actions taken: These three recommendations are new improvement items. Full implementation to begin in FY 2007.