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Notice
Subject
APPORTIONMENT OF FEDERAL-AID HIGHWAY PROGRAM FUNDS FOR THE PERIOD BEGINNING ON OCTOBER 1, 2021, AND ENDING ON OCTOBER 31, 2021
Classification Code
N 4510.856
Date
October 20, 2021
Office of Primary Interest
HCFB-10

  1. What is the purpose of this Notice? This Notice transmits the certificate of apportionment for apportioned Federal-aid highway program funds authorized for the period beginning on October 1, 2021, and ending on October 31, 2021 (hereafter referred to as the “extension period”), pursuant to the Surface Transportation Extension Act of 2021 (hereafter, “Extension Act”), Public Law (Pub. L.) 117-44. The apportionments made available by this Notice are for the following programs: National Highway Performance Program (NHPP), Surface Transportation Block Grant Program, Highway Safety Improvement Program (HSIP), Railway-Highway Crossings Program, Congestion Mitigation and Air Quality Improvement Program, National Highway Freight Program (NHFP), and Metropolitan Planning Program. The apportionments are effective immediately.

  2. What is the availability of these funds?

    1. The funds resulting from this apportionment are available for obligation until September 30, 2025. Any amounts not obligated by the State on or before September 30, 2025, shall lapse.

    2. The funds resulting from this apportionment are available for obligation immediately and shall be subject to obligation controls in force at the time of obligation.

    3. For the extension period, an amount of NHPP funds equal to $54,271,233 prior to sequestration ($51,177,773 after sequestration) that is exempt from obligation controls is provided. See FHWA Notice N4510.857 for additional information on sequestration.

    4. The Federal share payable shall be in accordance with section 120 of title 23, United States Code (U.S.C.), except as specifically provided by another provision of law.

    5. The program codes to be used when obligating these funds were provided in a separate memorandum dated October 2, 2020.

    6. The Catalog of Federal Domestic Assistance (CFDA) number for these funds is 20.205, with the exception that the CFDA number for the Recreational Trails Program is 20.219.

  3. What amounts are authorized and available for apportionment?

    1. The Extension Act extends the surface transportation programs, including the Federal-aid highway program, under the Fixing America’s Surface Transportation (FAST) Act (Pub. L. 114-94) and title 23, U.S.C., through October 31, 2021.

    2. Section 101(a) of the Extension Act incorporates by reference and continues in effect through October 31, 2021, the requirements, authorities, conditions, eligibilities, limitations, and other provisions authorized under the covered laws, which would have otherwise expired or ceased to apply after September 30, 2021.

    3. Pursuant to section 2 of the Extension Act, the covered laws are:

      1. Titles I, II, III, IV, V, VI, VII, VIII, XI, and XXIV of the Fixing America’s Surface Transportation (FAST) Act (Pub. L. 114-94; 129 Stat. 1312);

      2. Division A, division B, subtitle A of title I and title II of division C, and division E of the Moving Ahead for Progress in the 21st Century Act (MAP‑21) (Pub. L. 112-141; 126 Stat. 405);

      3. Titles I, II, and III of the SAFETEA-LU Technical Corrections Act of 2008 (Pub. L. 110-244; 122 Stat.1572);

      4. Titles I, II, III, IV, V, and VI of SAFETEA-LU (Pub. L. 109-59; 119 Stat. 1144);

      5. Titles I, II, III, IV, and V of the Transportation Equity Act for the 21st Century (Pub. L. 105-178; 112 Stat. 107);

      6. Titles II, III, and IV of the National Highway System Designation Act of 1995 (Pub. L. 104-59; 109 Stat. 568);

      7. Titles I, II, III, IV, V, and VI of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub. L. 102-240; 105 Stat. 1914);

      8. Title 23, U.S.C.;

      9. Sections 116, 117, 330, 5128, 5505, and 24905 and chapters 53, 139, 303, 311, 313, 701, and 702 of title 49, U.S.C.; and

      10. Division B of the Continuing Appropriations Act, 2021 and Other Extensions Act (Pub. L. 116–159; 134 Stat. 725).

    4. Pursuant to section 101(b)(1)(A) of the Extension Act, there is authorized to be appropriated out of the Highway Account of the Highway Trust Fund for FY 2022 an amount equal to 31/365 of the amount authorized for appropriation for each program from such account under the covered laws for FY 2021.

    5. Pursuant to section 101(c) of the Extension Act, the funds authorized to be appropriated for the extension period for each program, shall be distributed, administered, limited, and made available for obligation in the same manner as amounts authorized to be appropriated with respect to the program under the covered laws for FY 2021.

    6. The apportionment of Federal-aid highway program funds for the extension period is calculated first on an annualized basis.

    7. An annualized total of $43,373,294,311 ($3,683,759,243 for the extension period) is authorized for the Federal-aid highway apportioned programs.

    8. Of the amount authorized for the apportioned programs, section 104(h)(1) of title 23, U.S.C., as continued by the Extension Act, reserves an annualized amount of $66,717,816 ($5,666,445 for the extension period) as supplemental funds for the NHPP.

    9. Of the amount authorized for the apportioned programs, section 104(h)(2) of title 23, U.S.C., as continued by the Extension Act, reserves an annualized amount of $1,020,053,448 ($86,634,676 for the extension period) as supplemental funds for the Surface Transportation Block Grant Program (of which an annualized amount of $850,000,000 ($72,191,781 for the extension period) is for the Transportation Alternatives set-aside under section 133(h) of title 23, U.S.C.).

    10. After the reservation of supplemental funds for the NHPP and the Surface Transportation Block Grant Program, the remaining available annualized amount of $42,286,523,047 ($3,591,458,122 for the extension period) is the annualized base apportionment amount.

  4. How are the State-by-State amounts determined?

    1. Pursuant to section 104(c)(1)(A) of title 23, U.S.C., as continued by the Extension Act, the annualized initial amounts of the FY 2022 base apportionment, NHPP supplemental funds, and Surface Transportation Block Grant Program supplemental funds for a State are calculated by multiplying the annualized amount available for each by the ratio of that State’s FY 2015 combined amount of apportionments to the total FY 2015 combined amount of apportionments for all States.

    2. Pursuant to section 104(c)(1)(B) of title 23, U.S.C., as continued by the Extension Act, the annualized initial amounts are then adjusted to ensure that each State’s aggregate amount of apportionments for the base apportionment and supplemental funds is not less than 95 percent of the estimated tax payments attributable to highway users in that State paid into the Highway Trust Fund (other than the Mass Transit Account) in the most recent fiscal year for which data is available.

    3. The State-by-State amounts available for the extension period are then determined by multiplying the annualized amount calculated for each State by 31/365. However, for the purposes of continuing the determination of the program-by-program amounts under paragraph 5, the calculations use the annualized State apportionments.

  5. How are the program-by-program amounts determined?

    1. From each State’s total annualized base apportionment determined under section 104(c)(1) of title 23, U.S.C., as continued by the Extension Act, an annualized amount is set aside for the NHFP. Pursuant to section 104(b)(5) of title 23, U.S.C., as continued by the Extension Act, the set-aside amount for each State is calculated by multiplying the total annualized FY 2022 set-aside amount of $1,500,000,000 ($127,397,260 for the extension period) for all States by the ratio of that State’s total annualized base apportionment to the total annualized base apportionments for all States.

    2. Of the annualized amount set aside within a State for the NHFP, an annualized amount is made available for the Metropolitan Planning Program. This amount is calculated by multiplying the annualized NHFP set-aside amount for each State by the ratio of that State’s FY 2009 apportionment for the Metropolitan Planning Program to that State’s total FY 2009 apportionments.

    3. Pursuant to section 104(b)(4) of title 23, U.S.C., of a State’s annualized base apportionment amount remaining after the set-aside for the NHFP, an annualized amount is distributed for the Congestion Mitigation and Air Quality Improvement Program. This amount is calculated by multiplying the remaining amount of the annualized base apportionment to the State by the ratio of that State’s FY 2009 apportionment for the Congestion Mitigation and Air Quality Improvement Program to that State’s total FY 2009 apportionments.

    4. Pursuant to section 104(b)(6) of title 23, U.S.C., of a State’s annualized base apportionment amount remaining after the set-aside for the NHFP, an annualized amount is distributed for the Metropolitan Planning Program. This amount is calculated by multiplying the remaining amount of the annualized base apportionment to the State by the ratio of that State’s FY 2009 apportionment for the Metropolitan Planning Program to that State’s total FY 2009 apportionments. The resulting amount is added to the amount of Metropolitan Planning Program funding made available from the NHFP, as described above.

    5. After making the set-aside for the NHFP and distributing the amounts for the Congestion Mitigation and Air Quality Improvement Program and the Metropolitan Planning Program, pursuant to paragraphs (1) through (3) of section 104(b) of title 23, U.S.C., the remainder of the annualized base apportionment to a State is distributed in the following proportions: 63.7 percent for the NHPP, 29.3 percent for the Surface Transportation Block Grant Program, and 7 percent for the HSIP.

    6. The NHPP supplemental funds for a State are treated as if apportioned under section 104(b)(1) of title 23, U.S.C. The annualized NHPP supplemental funds amount is added to that State’s annualized NHPP amount calculated from the annualized base apportionment.

    7. The Surface Transportation Block Grant Program supplemental funds for a State are treated as if apportioned under section 104(b)(2) of title 23, U.S.C. The annualized Surface Transportation Block Grant Program supplemental funds amount is added to that State’s annualized Surface Transportation Block Grant Program amount calculated from the annualized base apportionment.

    8. Pursuant to section 130(e)(1) of title 23, U.S.C., as continued by the Extension Act, an annualized total of $245,000,000 ($20,808,219 for the extension period) for FY 2022 shall be set aside from the HSIP, prior to the apportionment of that program, for the Railway-Highway Crossings Program. The Railway-Highway Crossings Program amount for each State is determined by distributing the $245,000,000 annualized amount according to the formula in section 130(f) of title 23, U.S.C. The resulting Railway-Highway Crossings Program annualized amount for a State is then set aside from that State’s annualized initial HSIP amount.

    9. Pursuant to section 1519(a) of MAP-21, as amended by the FAST Act, as continued by the Extension Act, an annualized total of $3,500,000 ($297,260 for the extension period) for FY 2022 is set aside from the HSIP prior to the apportionment of that program to carry out safety-related activities and operate authorized safety-related clearinghouses under such section. The set-aside is made on a proportional basis from each State’s annualized initial HSIP amount.

    10. A State’s official annualized HSIP apportionment is the annualized initial HSIP amount net of the annualized Railway-Highway Crossings Program set-aside amount and the annualized set-aside amount under section 1519(a) of MAP-21. In addition, the $3,500,000 annualized amount ($297,260 for the extension period) set aside under section 1519(a) of MAP-21 is classified as allocated funding for safety-related activities and clearinghouses and, therefore, does not appear in the table of State-by-State apportionments.

    11. The program-by-program amounts are then determined by multiplying each of the annualized program amounts calculated for each State by 31/365.

    12. Table 1 shows the State-by-State, program-by-program apportionment amounts (before post-apportionment set-asides, before penalties, and before sequestration) available under the Extension Act for the extension period.

  6. Are certain States subject to transfer penalties? Yes. Currently, the States that are listed under the following requirements are subject to transfer penalties.

    1. Open Container Requirements – 23 U.S.C. 154 – 2.5 percent

      Funds subject to transfer penalty: NHPP and Surface Transportation Block Grant Program.

      Alaska, Connecticut, Delaware, Hawaii, Louisiana, Maine, Mississippi, Missouri, Ohio, Tennessee, Virginia, and Wyoming

      The funds subject to transfer for a State in noncompliance with section 154 of title 23, U.S.C., are reserved and then, in the proportions elected by the State, released for use on eligible HSIP activities under section 148 of title 23, U.S.C., or transferred to the State’s Highway Safety Program under section 402 of title 23, U.S.C.

      Table 2 shows the transfer penalty amounts for the extension period under section 154 of title 23, U.S.C., subject to section 154(c)(5), which authorizes a State to designate how the total transfer penalty amount is to be derived from the NHPP and the Surface Transportation Block Grant Program.

    2. Minimum Penalties for Repeat Offenders for Driving While Intoxicated or Driving Under the Influence – 23 U.S.C. 164 – 2.5 percent

      Funds subject to transfer penalty: NHPP and Surface Transportation Block Grant Program.

      Alaska, California, Colorado, Hawaii, Indiana, Louisiana, Minnesota, Mississippi, Missouri, Montana, Nevada, New Mexico, North Dakota, Ohio, Oregon, Rhode Island, South Carolina, South Dakota, Vermont, Washington, and Wyoming

      The funds subject to transfer for a State in noncompliance with section 164 of title 23, U.S.C., are reserved and then, in the proportions elected by the State, released for use on eligible HSIP activities under section 148 of title 23, U.S.C., or transferred to the State’s Highway Safety Program under section 402 of title 23, U.S.C.

      Table 3 shows the transfer penalty amounts for the extension period under section 164 of title 23, U.S.C., subject to section 164(b)(5), which authorizes a State to designate how the total transfer penalty amount is to be derived from the NHPP and the Surface Transportation Block Grant Program.

  7. What other amounts are related to these apportionments? Supplementary tables showing other amounts related to these apportionments will be issued at a later date via a separate notice. The amounts shown in the supplementary tables will include set-asides (e.g., State Planning & Research, Transportation Alternatives, etc.), suballocations for the Surface Transportation Block Grant Program and the Transportation Alternatives set-aside, and various limiting amounts.

  8. What action is required? Division Administrators should ensure that copies of this Notice are provided to the State departments of transportation.

 

Signature of Stephanie Pollack

Stephanie Pollack
Acting Administrator

Attachments

CERTIFICATE OF APPORTIONMENT FROM THE SUM OF $3,683,759,243
AUTHORIZED TO BE APPROPRIATED FOR APPORTIONED FEDERAL-AID
HIGHWAY PROGRAMS FOR THE PERIOD BEGINNING ON OCTOBER 1, 2021,
AND ENDING ON OCTOBER 31, 2021

TO—

The Secretary of the Treasury of the United States and the State departments of transportation:

Pursuant to section 9503 of the Internal Revenue Code of 1986, the Fixing America’s Surface Transportation (FAST) Act, title 23 of the United States Code (U.S.C.), and the Surface Transportation Extension Act of 2021, I certify—

First, that the Secretary of the Treasury has made the estimate required by section 9503(d) of the Internal Revenue Code of 1986 and, based on that estimate, I have determined that the amount that can be apportioned for the Federal-aid highway program under the Surface Transportation Extension Act of 2021, Public Law 117-44, is $3,683,759,243, which is 100 percent of the amount authorized to be appropriated from the Highway Trust Fund (other than the Mass Transit Account) for the period beginning on October 1, 2021, and ending on October 31, 2021.

Second, that I have computed the apportionment to each State and the District of Columbia of the amounts authorized to be appropriated for the apportioned Federal-aid highway programs and further computed the distribution among the programs within each State and the District of Columbia in the manner provided by law.

Third, pursuant to section 1519(a) of the Moving Ahead for Progress in the 21st Century Act, Public Law 112-141, as amended by the FAST Act, as continued by the Surface Transportation Extension Act of 2021, I have set aside $297,260 to carry out safety-related activities and operate authorized safety-related clearinghouses under such section for the period beginning on October 1, 2021, and ending on October 31, 2021. Such amount is set aside from the Highway Safety Improvement Program (HSIP) prior to the apportionment of that program under section 104(b)(3) of title 23, U.S.C. The resulting amount for all apportioned Federal-aid highway programs after such set-aside is $3,683,461,983 for the period beginning on October 1, 2021, and ending on October 31, 2021.

Fourth, that in compliance with section 154 of title 23, U.S.C., the Open Container Requirements, 2.5 percent of the National Highway Performance Program (NHPP) and Surface Transportation Block Grant Program apportionments for the States of Alaska, Connecticut, Delaware, Hawaii, Louisiana, Maine, Mississippi, Missouri, Ohio, Tennessee, Virginia, and Wyoming are reserved for release for use on eligible HSIP activities or transfer to the States’ 402 Safety programs.

Fifth, that in compliance with section 164 of title 23, U.S.C., the Minimum Penalties for Repeat Offenders for Driving While Intoxicated or Driving Under the Influence, 2.5 percent of the NHPP and the Surface Transportation Block Grant Program apportionments for the States of Alaska, California, Colorado, Hawaii, Indiana, Louisiana, Minnesota, Mississippi, Missouri, Montana, Nevada, New Mexico, North Dakota, Ohio, Oregon, Rhode Island, South Carolina, South Dakota, Vermont, Washington, and Wyoming are reserved for release for use on eligible HSIP activities or transfer to the States’ 402 Safety programs.

Sixth, subject to the above-mentioned penalties, that the sums that are hereby apportioned to each State and the District of Columbia, effective immediately, are respectively as follows:

Table 1
Table 2
Table 3

Best for printing: n4510856.pdf (1.46 MB)

Page posted on October 20, 2021
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