FEDERAL-AID POLICY GUIDE
December 9, 1991, Transmittal 1

G 3016.3

CHAPTER 1

TRANSFER OF FEDERAL-AID HIGHWAY AND HIGHWAY SAFETY FUNDS

OPI: HFS-30

Par.

  1. Purpose

  2. Authority

  3. Legislated Requirements

  4. Other Considerations

  5. Submission of Documents

  6. Regional Office Action

  1. PURPOSE. To prescribe the procedures for transfer of Federal-aid highway funds under sections 104(c) and (d) and for transfer of Highway Safety funds under section 104(g) of title 23 U.S.C.

  2. AUTHORITY

    1. Section 104(c)(1), title 23 U.S.C., permits transfer between consolidated primary and rural secondary funds apportioned for the same fiscal year in accordance with 23 U.S.C. 104(b)(1) and (2) when such transfer is requested by the State highway agency and is approved by the Governor of such State and the Federal Highway Administration (FHWA) as being in the public interest.

    2. Section 104(c)(2), title 23, U.S.C., permits transfer between consolidated primary and urban system funds apportioned for the same fiscal year in acccordance with 23 U.S.C. 104(b)(1) and (6) when such transfer is requested by the State highway agency and is approved by the Governorof such State and the FHWA as being in the public interest.

    3. Section 104(g), title 23, U.S.C., permits transfer between funds apportioned for the samefiscal year in accordance with 23 U.S.C. 130, Railway-Highway Crossings; 144, Highway Bridge Replacement, and Rehabilitation Program; and 152, Hazard Elimination Program when such transfer is requested by the State highway agency and approved by the FHWA as being in the public interest.

  3. LEGISLATED REQUIREMENTS

    1. Total transfers between apportionments made under 23 U.S.C. 104(b)(1) and (2) and between apportionments made under 23 U.S.C.104(b)(1) and (6) for any fiscal year shall not increase or decrease the original apportionment by more than 50 per centum.

    2. For funds apportioned under 23 U.S.C. 104(b)(1), (2) and (6), no transfer shall be made decreasing an apportionment in any fiscal year if a transfer has already been made to increase it. Likewise, no transfer shall be made to increase an apportionment in any fiscal year if a transfer has already been made to decrease it.

    3. Requests for transfer of funds apportioned in accordance with 23 U.S.C. 104(b)(6) and allocated to any urbanized area with a population of 200,000 or more under 23 U.S.C. 150 shall also be approved by the local officials of such urbanized area.

    4. Not more than 40 per centum of the funds apportioned in any fiscal year to each State in accordance with 23 U.S.C. 130, 144, and 152 may be transferred from the apportionment under one section to the apportionment under any other section is such a transfer is requested by the State highway department and is approved by FHWA as being in the public interest.

    5. To comply with the provisions of 23 U.S.C. 130(e), not more than 50 percent of the amount eligible to be transferred from theRailway-Highway Crossings apportionment under 23 U.S.C. 130 may be transferred from the half of the apportionment reserved for installation of protective devices.

    6. One hundred per centum of the funds apportioned in any fiscal year to each State under 23 U.S.C. 130, 144, or 152 may be transferred from one apportionment to any other such appor tionment if the transfer is requested by the State highway agency and is approved by the FHWA as being in the public interest, if the FHWA has received satisfactory assurances from such State highway agency that the purposes of the program from which such funds are to be transferred have been met.

  4. OTHER CONSIDERATIONS

    1. Funds transferred to any apportionment are to be expended under the provisions of law governing the expenditure of the apportionment to which the transfer is made.

    2. Funds obligated are not eligible for transfer.

    3. Transfers may be approved only between funds apportioned for the same fiscal year.

    4. "Local officials of such urbanized area" as referred to in paragraph 3f, means the principal elected officials of general purpose local governments acting through the metropolitan planning organization (MPO) designated by the Governor in accordance with 23 CFR 450, Subpart A.

    5. Transfers to the Rail-Highway Crossings apportionment may be used for either protective devices or the elimination of other hazards. The amount transferred should be added to appro priation code 138, Rail-Highway Crossings-Elimination of Hazards.

  5. SUBMISSION OF DOCUMENTS. The State's request for transfer of funds should be addressed to the FHWA Division Administrator and forwarded to the Regional Administrator with the Division Administrator's rec ommendation for approval or disapproval.

  6. REGIONAL OFFICE ACTION. Regional Administrators will consider all requests and advise the State highway agency through the Division Administrator of their approval or disapproval. For approved requests Regional Administrators will also advise the Washington Headquarters Office of Fiscal Services, Program Analysis Division (HFS-30) of:

    1. the State involved;

    2. the urbanized area of 200,000 or more population concerned if the transfer involves an allocatio nof attributable urban system funds;

    3. the fiscal year of apportionment involved;

    4. the category of funds from which the transfer was approved;

    5. the category of funds to which the transfer was approved; and

    6. the amount transferred.
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