U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000


Skip to content
FacebookYouTubeTwitterFlickrLinkedIn

Policy and Governmental Affairs
Legislative Affairs and Policy Communications

FHWA Home / Policy & Governmental Affairs / Legislative Affairs and Policy Communications / Appendix D

Funding Federal-aid Highways Cover

Funding Federal-aid Highways

Office of Policy and Governmental Affairs

Publication No. FHWA-PL-17-011
January 2017

Full PDF Version, 1.14 MB
To view PDF files, you can use the Acrobat® Reader®.


Appendix D. Penalties applicable to the Federal-aid highway program

TYPE/STATUTE

REQUIREMENT
(as of the effective date of the FAST Act)

PENALTY FOR NONCOMPLIANCE
(as of the effective date of the FAST Act)

STATE TRAFFIC SAFETY LAWS

National Minimum
Drinking Age

23 U.S.C. 158

Each State must have laws that prohibit the purchase or public possession of any alcoholic beverage by a person who is less than 21 years of age.

Withholding of 8 percent of the State’s apportionments for the National Highway Performance Program (NHPP) and Surface Transportation Block Grant Program (STBG). Funds withheld lapse immediately.

Drug Offenders

23 U.S.C. 159

Each State must certify that it either: 1) has a law that requires the revocation or suspension of drivers' licenses for at least 6 months (or delay in the issuance or reissuance of a license) for those convicted of any violation of the Controlled Substances Act or any drug offense or 2) has a statement by the Governor opposing enactment or enforcement of such a law and a resolution by the State legislature expressing opposition to such law.

Withholding of 8 percent of the State’s apportionments for the NHPP and STBG. Funds withheld lapse immediately.

Zero Tolerance Blood Alcohol Concentration for Minors

23 U.S.C. 161

Each State must enact and enforce a law that considers any individual under 21 years who operates a motor vehicle while having a blood alcohol concentration (BAC) of 0.02 grams of alcohol per 100 milliliters of blood or above to be driving while intoxicated or driving under the influence of alcohol.

Withholding of 8 percent of the State’s apportionments for the NHPP and STBG. Funds withheld lapse immediately.

Open Container
Requirements

23 U.S.C. 154

Each State must enact or have and enforce a law prohibiting the possession of open alcoholic beverage containers or the consumption of any alcoholic beverage in the passenger area of a motor vehicle.

For motor vehicles designed to transport many passengers, this requirement is considered satisfied if a State has a law prohibiting the possession of any open alcoholic beverage container by the driver (but not by a passenger): (1) in the passenger area of a motor vehicle designed, maintained, or used primarily for the transportation of persons for compensation; or (2) in the living quarters of a house coach or house trailer.

Reservation of an amount equivalent to 2.5 percent of the State’s NHPP and STBG apportionments and associated obligation authority. Reserved amounts will be transferred to the State’s Section 402 apportionment for use for alcohol-impaired driving countermeasures, for enforcement of impaired or intoxicated driving laws, or reserved for activities eligible under the Highway Safety Improvement Program (HSIP), with the amount for each purpose to be determined by the State. The amounts transferred to the State’s Section 402 program or reserved for HSIP-eligible uses may be derived from any combination of the NHPP and STBG apportionments at the State’s option.

Use of Safety Belts

23 U.S.C. 153(h)

Each State must have a law that makes it unlawful to operate a passenger vehicle if any front seat occupant (other than a child secured in a child restraint system) is not properly wearing a seat belt. An alternate compliance criterion is provided for New Hampshire (§354, P.L. 107-87, Dec. 18, 2001).

Transfer of 2 percent of the State’s apportionments for the NHPP, STBG, and HSIP to the section 402 safety program.

Repeat Offenders

23 U.S.C. 164

Each State must enact and enforce a law that provides that any individual convicted of a second or subsequent offense for driving under the influence or while intoxicated shall:

(a) receive a suspension of all driving privileges for at least 1 year or a restriction on driving privileges that limits the individual to operating only motor vehicles with an ignition interlock device installed for at least 1 year, unless a special exception applies, or a restriction on driving privileges that limits the individual to operating motor vehicles only if participating in, and complying with, a 24-7 sobriety program for at least 1 year or any combination thereof;

(b) receive an assessment of the individual’s degree of alcohol abuse and treatment as appropriate; and

(c) receive at least an assignment of 30 days of community service or 5 days imprisonment (unless the State certifies that the general practice is that such an individual will be incarcerated) for a second offense and at least an assignment of 60 days of community service or 10 days imprisonment for a third or subsequent offense (unless the State certifies that the general practice is that such an individual will receive 10 days of incarceration).

(Note: The FAST Act’s changes to this requirement are effective as of October 1, 2016. The requirement remains as in effect under MAP-21 for FY 2016. )

Reservation of an amount equivalent to 2.5 percent of the State’s NHPP and STBG apportionments and associated obligation authority. Reserved amounts will be transferred to the State’s Section 402 apportionment for use for alcohol-impaired driving countermeasures, for enforcement of impaired or intoxicated driving laws, or reserved for activities eligible under the HSIP, with the amount for each purpose to be determined by the State. The amounts transferred to the State’s section 402 program or reserved for HSIP-eligible uses may be derived from any combination of the NHPP and STBG apportionments at the State’s option.

Operation of Motor Vehicle by Intoxicated Persons

23 U.S.C. 163

Each State must enact and enforce a law that provides that any person with a BAC of 0.08 grams of alcohol per100 milliliters of blood or greater while operating a motor vehicle to be driving while intoxicated.

Withholding of an amount equivalent to 6 percent of the State’s NHPP and STBG apportionments.
If a State enacts and is enforcing the prescribed law within 4 years from the date that funds were withheld, the State’s apportionments will be increased by an amount equal to the amount withheld. Otherwise, the withheld funds will lapse.

TRUCKS

Vehicle Weight Limitations — Interstate System

23 U.S.C. 127(a)

Each State must permit a minimum and maximum of 20,000 pound single axle, 34,000 pound tandem axle, and 80,000 pound gross weight of combination (5-axles or more) vehicles to operate on the Interstate System. Maximum weight cannot exceed that allowable under bridge formula. Grandfather rights create State- specific exceptions to all limits.

Withholding of 50 percent of State’s NHPP apportionment. If withheld funds are not restored during their availability period, they will lapse.

Enforcement of Vehicle Size and Weight Laws

23 U.S.C. 141(a) and (b)

Each State must certify that it is enforcing all State laws respecting maximum vehicle size and weights permitted on the Federal-aid primary system, the Federal-aid urban system, and the Federal-aid secondary system, including the Interstate System in accordance with 23 U.S.C. 127.

Withholding of 7 percent of the State’s apportionments for NHPP, STBG, HSIP, Congestion Mitigation and Air Quality Improvement Program (CMAQ), National Highway Freight Program (NHFP), and Metropolitan Planning. Withheld apportionments are restored if enforcement is shown to be acceptable within 1 year; otherwise, the withheld funds are apportioned to all other eligible States.

Registration — Proof of Heavy Vehicle Use Tax Payment

23 U.S.C. 141(c)

Each State must require proof of payment of the Federal heavy vehicle use tax prior to registering a heavy vehicle subject to the use tax.

Withholding of up to 8 percent of the State’s apportionments for the NHPP. The withheld funds are apportioned to other eligible States.

Commercial Driver ’ s License

49 U.S.C. 31314

Each State must be in compliance with minimum Federal standards for licensing, reporting, and penalties related to the licensing of drivers of commercial vehicles.

Withholding of up to 4 percent of the State’s apportionments for the NHPP and STBG for the first noncompliance and up to 8 percent thereafter. Funds withheld lapse immediately.

MAINTENANCE

Maintenance

23 U.S.C. 116

Each State must properly maintain or cause to be maintained any project constructed under the provisions of the Federal-aid Highway Program.

After notifying the State of lack of proper maintenance, and a period of 90 days in which to remedy the issue, the Secretary shall withhold project approvals for all types of projects in the State highway district, municipality, county, and other subdivisions of the State in which the project is located, or the entire State, as the Secretary deems appropriate.

PLANNING, ENVIRONMENT, AND RIGHT-OF-WAY

Control of Outdoor Advertising

23 U.S.C. 131

Each State must provide for effective control of outdoor advertising signs along the Interstate System, on the Primary System as it existed on June 1, 1991, and on any highway not on such system but on the National Highway System (NHS). Effective control means that a State must not allow outdoor advertising signs along certain routes unless the signs are from a permissible category.

Withholding of 10 percent of the State’s apportionments for NHPP, STBG, HSIP, CMAQ, NHFP, and Metropolitan Planning. The funds withheld are apportioned to the other eligible States. The Secretary may suspend application of this penalty if deemed to be in the public interest.

Control of Junkyards

23 U.S.C. 136

Each State must provide for effective control of the establishment, use, and maintenance of junkyards adjacent to the NHS.

Withholding of 7 percent of the State’s apportionments for NHPP, STBG, HSIP, CMAQ, NHFP, and Metropolitan Planning. The withheld funds are apportioned to other eligible States. The Secretary may suspend application of this penalty if deemed to be in the public interest.

Clean Air Act Compliance

42 U.S.C. 7509

Each State is subject to State Implementation Plan (SIP) related sanctions. Each State must submit and implement all provisions of a complete, adequate SIP that provides for attainment of air quality standards in accordance with intermediate and final deadlines specified in the Clean Air Act. Penalty applies for failure to submit a SIP, or other related provisions, Environmental Protection Agency (EPA) disapproval of a SIP, and for failure to implement the SIP.

Cessation of certain highway project approvals within the non-attainment area 2 years after the SIP deficiencies are not corrected. Some projects are exempt from highway sanctions (i.e., seven congressionally authorized activities that discourage single occupancy vehicles (SOV); safety projects whose principal purpose is to improve safety by significantly reducing or avoiding accidents; and projects which EPA finds will improve air quality and not encourage SOV).

Transportation Conformity

42 U.S.C. 7506(c)

No transportation plan, program, or project may be approved, accepted, or funded unless it has been found to conform to an applicable SIP by the metropolitan planning organization and the DOT. The Clean Air Act requires USDOT to make a conformity finding on the metropolitan transportation plan and TIP and a project level conformity finding on FHWA/FTA projects within a nonattainment or maintenance area, based on technical analysis using transportation, emissions, and air quality models.

Lack of a conformity determination (a conformity lapse) on an area's transportation plan or transportation improvement program (TIP) will prevent the expenditure of FHWA and FTA funds on many activities, with the exception of certain exempt categories. The consequences of a conformity lapse would apply to the entire nonattainment or maintenance area.

Metropolitan Planning

23 U.S.C. 134(k)(5)

Each metropolitan planning organization (MPO) in a transportation management area must be certified at least every 4 years by the Secretary of Transportation to be carrying out the required planning process in accordance with applicable provisions of Federal law.

The Secretary may withhold up to 20 percent of the State’s apportionments attributable to the metropolitan planning area of the MPO for projects funded under Title 23 and Chapter 53 of Title 49, U.S.C. Funds are restored when the Secretary certifies the MPO.
 

PERFORMANCE AND ACCOUNTABILITY

Interstate System Pavement Minimum Condition

23 U.S.C. 119(f)(1)

Interstate pavement condition, excluding bridges on the Interstate system, in each State must meet or exceed the minimum level of condition established by the Secretary by regulation.

If a State reports that Interstate pavement conditions (not including on Interstate bridges) falls below the minimum, the State must, at a minimum, devote the following resources to improve Interstate pavement conditions during the following fiscal year (and each year thereafter if the condition does not exceed the minimum):

(1) NHPP funds in an amount not less than the State’s FY 2009 Interstate Maintenance (IM) apportionment, to increase by 2% per year for each year after FY 2013; and

(2) funds transferred from STBG (other than suballocated amounts) to NHPP in an amount equal to 10% of the State’s FY 2009 IM apportionment.

NHS Bridge Minimum Condition

23 U.S.C. 119(f)(2)

Not more than 10 percent of the NHS bridge deck area in each State may be on structurally deficient bridges.

Set-aside from the State’s NHPP funds of an amount equal to 50 percent of the State's Highway Bridge Program apportionment in FY 2009; set-aside amount to be used only for eligible projects on NHS bridges.

NHPP Target Achievement

23 U.S.C. 119(e)(7)

Each State must achieve or make significant progress toward achieving its performance targets for the performance measures established by DOT for the NHS.

If a State fails to achieve or make significant progress toward these targets, it must describe in its next performance report to DOT the actions it will undertake to achieve its targets.

Rural Road Safety

23 U.S.C. 148(g)(1)

Each State must maintain or improve the fatality rate on rural roads.

If the traffic fatality rate on rural roads in a State increases over the most recent two-year period for which data are available, in the next fiscal year the State must obligate for projects on high risk rural roads an amount equal to at least 200 percent of the amount of funds that the State received for high risk rural roads in FY 2009.

Older Driver Safety

23 U.S.C. 148(g)(2)

Each State must maintain or improve the number of fatalities and serious injuries per capita for drivers and pedestrians over the age of 65

If the number of traffic fatalities and serious injuries per capita for drivers and pedestrians over 65 in a State increases during the most recent two-year period for which data are available, the State must include, in the subsequent Strategic Highway Safety Plan of the State, strategies to address the increases in those rates, taking into account the recommendations in the FHWA’s Highway Design Handbook for Older Drivers and Pedestrians.

HSIP Target Achievement

23 U.S.C. 148(i)

Each State must achieve or make significant progress toward achieving its performance targets for the performance measures established by DOT for the HSIP.

If a State fails to achieve or make significant progress toward these targets it must: 1) annually submit an implementation plan as described under the HSIP; and 2) use a portion of its obligation authority only for HSIP projects. The dedicated amount must be equal to the State’s apportionment for the HSIP program in the prior year. The requirements continue until the Secretary determines that the State is meeting its targets or making significant progress.

< Previous | Table of Contents | Next >
Page last modified on April 27, 2017
Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000