U. S. Department of Transportation
Federal Highway Administration
Subject: Guidance on Transfer Provisions Contained in the Transportation Equity Act for the 21st Century
Date: September 17, 1998
From: Director, Office of Budget and Finance
Attn of: HFS-1
To: Associate Administrators
Director, ITS Joint Program Office
The Transportation Equity Act for the 21st Century (TEA-21) section 1310 contains uniform transfer provisions for transferring federal aid funds between categories. In addition to the new transferability provisions, many of the transfer provisions of ISTEA and 23 U.S.C. remain unchanged. In those instances where there are conflicting provisions the TEA-21 provision prevails. The ISTEA and 23 U.S.C. provisions are detailed in our memorandum, "Guidance on Transfer Provisions contained in the Intermodal Surface Transportation Act of 1991 (ISTEA)" dated June 26, 1992 (available on Staffnet under the Finance Division Home Page).
The following table outlines the major transfer provisions included in TEA-21:
Optional Safety and Transportation Enhancement suballocations can be transferred in amounts up to 25 percent of the difference between the amount suballocated for the fiscal year and the amount suballocated for fiscal year 1997.
STP State Flexible suballocation can be transferred in amounts up to 50 percent of apportionments.
A State may transfer IC funds to NHS under either of two provisions of TEA-21, Section 1106(b):
TEA-21, section 1217(d), contains a special provision allowing the State of Connecticut the option to transfer any Interstate Construction unobligated funds to any other program eligible for assistance under Chapter 1 of Title 23 U.S.C.
Division Administrators are delegated the authority to approve the State's request to transfer funds between funding categories, as appropriate. The Finance Division will record the transfers in the Fiscal Management Information System (FMIS). Notification of approved transfers must be made in writing (fax or E-mail is acceptable) to Minnie Baskerville or Linda Lightfoot, Finance Division (HFS-20). The transfer worksheet "Worksheet for Review of Fund Transfers", previously used for ISTEA transfer requests, is the only documentation required. Divisions should retain a copy of the State's request in their files for future reference.
Questions concerning these transfer provisions can be addressed by E-mail or phone to Dale Gray 202-366-0978 or firstname.lastname@example.org.
Original signed by T. Merlo
for Frederick G. Wright, Jr.