[Federal Register Volume 64, Number 78 (Friday, April 23, 1999)]
[Notices]
[Pages 20048-20052]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-10246]


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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration
[FHWA Docket No. FHWA-1999-5382]


Fiscal Year (FY) 2000 Implementation Guidance for Interstate 
Maintenance Discretionary Program Funds

AGENCY: Federal Highway Administration (FHWA), DOT.

ACTION: Notice; FHWA solicitation memorandum for FR 2000 funds; request 
for comments on selection criteria for FY 2001 and beyond.

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SUMMARY: This document provides implementation guidance on the 
Interstate maintenance discretionary (IMD) program for FY 2000 and 
beyond. On March 4, 1999, a memorandum on

[[Page 20049]]

this topic was issued to division offices soliciting candidate projects 
from State transportation agencies for FY 2000 IMD funding, The 
memorandum also contains information of criteria used by the FHWA in 
evaluating candidate projects. This document seeks comments from all 
interested parties on the selection criteria and their continued use by 
the FHWA for FY 2001 and beyond.

DATES: Comments on the selection criteria for IMD funding for FY 2001 
and beyond must be received on or before June 22, 1999.

ADDRESSES: Your signed, written comments on project selection criteria 
for IMD founding for FY 2001 and beyond must refer to the docket number 
appear at the top of this document and you must submit the comments to 
the Docket Clerk, U.S. DOT Dockets, Room PL 401, Seventh Street, SW, 
Washington, DC 20590-0001. All comments received will be available for 
examination at the above address between 9 a.m. and 5 p.m., e.t., 
Monday through Friday, except Federal holidays. Those desiring 
notification of receipt of comments should include a self-addressed, 
stamped envelope or postcard.
    Applications for candidate projects for FY 2000 funding should be 
submitted to the FHWA Division Office in the State of the applicant in 
accordance with the guidance provided in the solicitation memorandom.

FOR FURTHER INFORMATION CONTACT: Cecilio Leonin, Office of Program 
Administration, (202) 366-4651; or Wilbert Baccus, Office of the Chief 
Counsel, (202) 366-1396; Federal Highway Administration, 400 Seventh 
Street SW., Washington DC 20590. Office hours are from 7:45 a.m. to 
4:15 p.m., e.t., Monday through Friday except Federal holidays.

SUPPLEMENTARY INFORMATION: 

Electronic Access

    Internet users can access all comments received by the U.S. DOT 
Dockets, Room PL-401, by using the universal resource locator 
(URL):http://www.dmsm.dot.gov. It is avaiable 24 hours each day, 365 
days each year. Please follow the instructions online for more 
information and help.
    An electronic copy of this document may be downloaded using a modem 
and suitable communications software from the Government Printing 
Office Electronic Bulletin Board Service at (202) 512-1661. Internet 
users may reach the Federal Register home page at: http://www.nara.gov/
fedreg and the Government Printing Office's database at: http://
www.access.gpo.gov/nara.
    The solicitation memorandum is available on the FHWA web site at 
http://www.fhwa.dot.gov/discretionary.

Background

    On March 4, 1999, the FHWA issued a memorandum to its division 
offices, located in each State, the District of Columbia and Puerto 
Rico, soliciting from the State transportation agencies candidate 
projects for FY 2000 IMD funding. This memorandum is published for 
informational purposes. The memorandum contains information on the IMD 
program, eligible activities, the application process, and the 
selection criteria used by the FHWA in evaluating candidate projects.
    Also, the purpose of this document is to invite comments on the 
selection criteria used by the FHWA for evaluating candidate projects 
for FY 2001 and beyond. The attachment to the March 4, 1999, memorandum 
presents the selection criteria that the FHWA will be using for FY 
2000. These criteria reflect areas which are given preference when 
evaluating candidate projects; however, any project submitted by a 
State transportation agency which meets the eligibility requirements 
for this discretionary program can potentially be selected for funding. 
These are the same general selection criteria that the FHWA has used 
for several years to evaluate candidates for this discretionary 
program. Occasionally, a selection criterion may be added for an 
individual year that reflects a special emphasis area, but for the most 
part the selection criteria have remained unchanged.
    The FHWA plans to continue to use these same basic selection 
criteria for FY 2001 and beyond for this discretionary program. 
However, before doing so, the FHWA is interested in the views of the 
States or others on these selection criteria. Accordingly, comments are 
invited to this docket on the selection criteria that the FHWA will use 
for the IMD program for funding available during FY 2001 and beyond.
    Publicaton of the implementation guidance for the Interstate 
maintenance discretionary program satisfies the requirement of section 
9004(a) of the TEA-21 Restoration Act, Pub. L. 105-206, 112 Stat. 685, 
842 (1998).

    Authority: 23 U.S.C. 118 and 315; 49 CFR 1.48.

    Issued on: April 12, 1999.
Kenneth R. Wykle,
Federal Highway Administrator.

    The text of the FHWA solicitation and implementation guidance 
memorandum follows:

ACTION: Request for Project for FY 2000 Interstate Maintenance 
Discretionary (IMD) Funds--March 4, 1999 (Reply Due: July 1, 1999)
Henry H. Rentz for Vincent F. Schimmoller, Program Manager, 
Infrastructure, HIPA
Division Administrators

    We are requesting submission of eligible candidate projects for FY 
2000 IMD funds. It appears that approximately $90 million will be 
available for allocation in FY 2000 Candidate project submissions are 
to be received in Headquarters no later than July 1, 1999.
    Please work with the States to identify viable projects to assure 
high quality candidates for this program. The attached program guidance 
for the IMB program provides information on eligibility, selection 
criteria, and submission requirements. Your office should review all 
candidates submitted by a State to ensure the application is complete 
and contains all of the requested information as outlined in the 
attached program guidance. After review, please forward candidate 
project submissions to the Director of Program Administration, HIPA.
    When sending in candidate projects, the States must understand that 
any qualified project may or may not be selected, and it may be 
necessary to supplement allocated IMD funds with other Federal-aid and/
or State funds to construct a section of highway which will be usable 
to the traveling public in as short a period of time as possible.
    Any allocations in FY 2000 will be made on the assumption that 
proposed projects are viable and implementation schedules are 
realistic. Obligation limitation will be distributed with each 
allocation of funds.
    In 1992, Headquarters established a policy (reference Mr. Willett's 
November 3, 1992, memorandum to the regions; Subject: Transfer of 
Funds/Discretionary Allocations) that Interstate 4R discretionary funds 
would not be allocated to a State that had, in the preceding fiscal 
year, transferred either National Highway System (NHS) or Interstate 
Maintenance (IM) funds to the Surface Transportation Program (STP) 
apportionment. This policy was based on the tremendous Interstate 
System needs across the country and FHWA's belief that congressional 
intent was to give priority consideration to high cost

[[Page 20050]]

projects in States where available apportionments were insufficient to 
allow such projects to proceed on a timely basis. We believe this 
policy is still appropriate at this time, and it will continue to be 
applied to IMD funds, with modifications to reflect the uniform 
transfer provisions enacted by the Transportation Equity Act for the 
21st Century. Our policy is:

    The IMD funds will not be allocated to a State that has, in the 
preceding year, transferred either NHS or IM funds to the STP, the 
Congestion Mitigation and Air Quality Improvement Program, the 
Bridge Replacement and Rehabilitation Program, or to Recreational 
Trails apportionments. However, this restriction will not apply to 
transfers from (IM to NHS or vice-versa.

    As a reminder, any requests to adjust the amount of IMD funds 
allocated to a specific project or to shift funds among previously 
approved IMD projects must be forwarded in writing to the Director of 
Program Administration, HIPA, for approval.
    Questions concerning preparation of applications and other matters 
may be directed to Mr. Cecilio Leonin of the Office of Program 
Administration, HIPA, telephone (202) 366-4651.

    Attachment

INTERSTATE MAINTENANCE DISCRETIONARY PROGRAM PROGRAM GUIDELINES

Background

    The Interstate Maintenance Discretionary Program provides funding 
for resurfacing, restoration, rehabilitation and reconstruction (4R) 
work, including added lanes to increase capacity, on most existing 
Interstate System routes. This discretionary program was first 
established by the Surface Transportation Assistance Act of 1982, where 
funding were derived from lapsed I-4R apportionments, and was known as 
the I-4R Discretionary Program. The Surface Transportation and Uniform 
Relocation Assistance Act of 1987 and the Intermodal Surface 
Transportation Efficiency Act of 1991 continued funding with set asides 
from I-4R and NHS authorizations, respectively, for each of fiscal 
years 1988 through 1997. The 1998 Transportation Equity Act for the 
21st Century (TEA-21) continued this program by authorizing set asides 
from the Interstate Maintenance (IM) funds for fiscal years 1998 
through 2003. This is now called the Interstate Maintenance 
Discretionary (IMD) Program.

Statutory References

    23 U.S.C. 118.

Funding

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            Fiscal year                 1998         1999         2000         2001         2002         2003
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Authorization.....................         $50M        $100M        $100M        $100M        $100M        $100M
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    TEA-21 provides $2,914 million in FY 1998 and increasing each year 
to $4,218 million in FY 2003 for the Interstate Maintenance Program. In 
accordance with 23 U.S.C. 118(c), before any apportionment is made 
under 23 U.S.C. 104(b)(4), the Secretary shall set aside $50 million in 
FY 1998 and $100 million for each of FY's 1999 through 2003 for the IMD 
program.
    The amount of available funding is impacted by any obligation 
limitation imposed on the Federal-aid highway program under the 
provisions of TEA-21 Section 1102(f), Redistribution of Certain 
Authorized Funds. Under this provision, any funds authorized for the 
program for the fiscal year, which are not available for obligation due 
to the imposition of an obligation limitation, are not allocated for 
the IMD program, but are redistributed to the States by formula as STP 
funds.
    After the Section 1102(f) reduction, it is expected that 
approximately $90 million will be available for candidate projects in 
each of fiscal years 2000 through 2003. This available funding may also 
increase or decrease each year depending on the obligation limitation 
calculation and on the estimated receipts to the Highway Trust Fund.

Federal Share

    In accordance with 23 U.S.C. 120 the normal pro-rata Federal share 
of the costs for any project eligible under this program is 90 percent.

Obligation Limitation

    The IMD discretionary funds are subject to obligation limitation. 
The obligation limitation reduces the available funding for the program 
under the provisions of TEA-21 Section 1102(f) discussed above.

Eligibility

    The eligibility for IMD projects is provided in Section 118(c) of 
23 U.S.C., as follows:
    1. IMD funds are available for resurfacing, restoring, 
rehabilitating and reconstructing (4R) work, including added lanes, on 
the Interstate System. However, not eligible for allocation of IMD 
funds are projects on any highway designated as a part of the 
Interstate System under Section 139 of 23 U.S.C., as in effect before 
the enactment of TEA-21 and any toll road on the Interstate System not 
subject to an agreement under Section 119(e) of 23 U.S.C., as in effect 
on December 17, 1991.
    2. A State is eligible to receive an allocation of IMD funds if it 
has obligated or demonstrates that it will obligate in FY 2000 all of 
its IM funds apportioned under Section 104(b)(4) of 23 U.S.C. other 
than an amount which, by itself, is insufficient to pay the Federal 
share of the cost of a project for resurfacing, restoring, 
rehabilitating and reconstructing the Interstate System which has been 
submitted by the State to the Secretary for approval.
    3. The applicant must be willing and able to obligate the IMD funds 
within a year of the date the funds are made available, apply them to a 
ready-to-commence project, and in the case of construction work, begin 
work within 90 days of obligation.
    In 1992, Headquarters established a policy that Interstate 4R 
discretionary funds would not be allocated to a State that had, in the 
preceding fiscal year, transferred either National Highway System (NHS) 
or Interstate Maintenance (IM) funds to the Surface Transportation 
Program (SIP) apportionment. This policy was based on the tremendous 
Interstate System needs across the country and FHWA's belief that 
congressional intent was to give priority consideration to high cost 
projects in States where available apportionments were insufficient to 
allow such projects to proceed on a timely basis. This policy is still 
appropriate at this time, and will continue to be applied to IMD funds, 
with modifications to reflect the uniform transfer provisions enacted 
by the Transportation Equity Act for the 21st Century. The policy is: 
IMD funds will not be allocated to a State that has, in the preceding 
year, transferred either NHS or IM funds to the STP, the Congestion 
Mitigation and Air Quality Improvement Program, the Bridge Replacement 
and Rehabilitation Program, or to Recreational Trails apportionments. 
However, this restriction will not apply to transfers from IM to NHS or 
vice-versa.

[[Page 20051]]

Selection Criteria

    The following criteria are used to evaluate the submitted 
candidates for selection. The statutory criteria for priority 
consideration are found in 23 U.S.C. 118(c)(3) and Section 1223 of TEA-
21, as follows:
     Any project the cost of which exceeds $10 million (23 
U.S.C. 118(c)(3)).
     A project on any high volume route in an urban area or 
high truck-volume route in a rural area (23 U.S.C. 118(c)(3)).
     Priority may be given to funding a transportation project 
relating to an international quadrennial Olympic or Paralympic event, 
or a Special Olympics International event if the project meets the 
extraordinary needs associated with such events and is otherwise 
eligible for assistance with IMD funds (Section 1223, TEA-21).
    There are no regulatory criteria for selection of IMD discretionary 
projects; however, the following criteria are also considered in the 
evaluation of candidates for his program:
     Leveraging of private or other public funding--Because the 
annual requests for funding far exceed the available IMD funds, 
commitment of other funding sources to complement the requested IMD 
funds is an important factor.
     State priorities--For States that submit more than one 
project, consideration is given to the individual State's priorities if 
specified.
     Expeditious completion of project--Preference is also 
given to requests that will expedite the completion of a viable project 
over requests for initial funding of a project that will require a 
long-term commitment of future IMD funding. For large-scale projects 
consideration is given to the State's total funding plan to expedite 
the completion of the project.
    Because the concept of equity was important in the development of 
TEA-21, project selection will also consider national geographic 
distribution among all of the discretionary programs as well as 
congressional direction or guidance provided on specific projects or 
programs.

Solicitation Procedure

    Each year, usually around March, a memorandum is sent from the FHWA 
Headquarters Office of Program Administration to the FHWA division 
offices requesting the submission of candidate projects for the 
following fiscal year's funding. This solicitation is also published in 
the Federal Register. The FHWA division offices provide this 
solicitation request to the State transportation departments, who are 
the only agencies that can submit candidates. The State transportation 
departments coordinate with local and Federal agencies within their 
respective States in order to develop viable candidate projects. The 
State transportation departments submit the candidate applications to 
the FHWA division offices, who send them in to the Office of Program 
Administration. Candidate projects are due in FHWA Headquarters usually 
around the first of July. The specific timetable for the solicitation 
process for any particular fiscal year is provided in the solicitation 
memorandum. The most recent solicitation is provided in these 
Guidelines for reference.
    The candidate project applications are reviewed and evaluated by 
the Office of Program Administration and an allocation plan is prepared 
for presentation of the candidate projects to the Office of the Federal 
Highway Administrator, where the final selection of projects for 
funding is made. The announcement of the selected projects and the 
allocation of funds is usually accomplished by the middle of November.

Submission Requirements

    Only State transportation departments may submit applications for 
funding under this program. Although there is not a prescribed format 
for a project submission, the following information must be included to 
properly evaluate the candidate projects. With the exception of the 
project area map, all of the following must be included to consider the 
application complete. Those applications that do not include these 
items are considered incomplete and returned.
    1. State in which the project is located.
    2. Federal-Aid Project Number
    3. Project Location--Describe the specific location of the project, 
including route number and mileposts, if applicable.
    4. County or Counties in which the project is located.
    5. U.S. Congressional District No.(s) in which the project is 
located.
    6. U.S. Congressional District Member's Name(s).
    7. Name of Urban Area or indicate if located in a rural area.
    8. Proposed Work--Describe the project work to be completed under 
this particular request, and whether this is a complete project or part 
of a larger project. If the project is related to one of the Olympic 
events listed in Section 1223 of TEA-21, that relationship should be 
described.
    9. Current 2-way Average Daily Traffic including percentage of 
trucks.
    10. Number of lanes before and after construction of the project. 
The number of lanes and current ADT are used to gauge the degree of 
congestion on the route.
    11. Project Plan Status--PS&E Status.
    12. Estimated Authorization Date (month/year).
    13. Total Project Cost
    14. Amount of IMD funds requested--Indicate amount of IMD funds 
being requested. If a State is willing to accept partial funding of 
this amount, that should be indicated. Sometimes, partial funding of 
requests is utilized to provide funding for more projects since the 
requests far exceed the available funds.
    15. An Obligation Schedule--Demonstrate how the State will obligate 
all of its IM apportionments before the end of FY 2000.
    16. Commitment of Other Funds--Indicate the amounts and sources of 
any private or other public funding being provided as part of this 
project. Only indicate those amounts of funding that are firm with 
documented commitments. The submission must include written 
confirmation of these commitments from the entity controlling the 
committed funds.
    17. Previous Interstate 4R Discretionary (IDR) Funding--Indicate 
the amount and fiscal year of any previous IDR discretionary funds 
received for this project or route.
    18. Future Funding Needs--Indicate the estimated future funding 
needs for the project, including anticipated requests for additional 
IMD funding, the items of work to be completed and projected 
scheduling.
    19. Talking Points Briefing--A one page talking points paper 
covering basic project information is also needed for use by the Office 
of the Secretary for the congressional notification process should a 
project be selected for funding. Each State's request for discretionary 
funds must include a talking points paper. A sample paper is included 
in these Guidelines.

State Transportation Agency Responsibilities

    1. Coordinate with State, local, and Federal agencies within the 
State to develop viable candidate projects.
    2. Ensure that the applications for candidate projects meet the 
submission requirements outlined above.
    3. Establish priorities for their candidate projects if desired.
    4. Submit the applications to the local FHWA division office on 
time so that the submission deadline can be met.

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FHWA Division Office Responsibilities

    1. Provide the solicitation memorandum and this program information 
to the State transportation agency.
    2. Request candidate projects be submitted by the State to the FHWA 
division office to meet the submission deadline established in the 
solicitation.
    3. Review all candidate applications submitted by the State prior 
to sending them to FHWA Headquarters to ensure that they are complete 
and meet the submission requirements.
    4. Submit the candidate applications to FHWA Headquarters by the 
established submission deadline.

FHWA Headquarters Program Office Responsibilities

    1. Solicit candidates from the States through annual solicitation 
memorandum.
    2. Review candidate project submissions and compile program and 
project information for preparation of allocation plan.
    3. Submit allocation plan to the Office of the Federal Highway 
Administrator for use in making final project selections.
    4. Allocate funds for the selected projects.

FHWA Headquarters Program Office Contact

    Cecilio Leonin, Highway Engineer, Office of rogram Administration, 
Phone: (202) 366-4651, Fax: (202) 366-3988, E-mail: 
[email protected].

Sample Talking Points Briefing for Secretary

    Note: These talking points will be used by the Office of the 
Secretary in making congressional notification contacts. Since some 
of the recipients of the calls may not be closely familiar with the 
highway program, layman's language should be used to the extent 
possible. Information contained in the talking points may be used by 
a member of Congress in issuing a press release announcing the 
discretionary allocation.

Interstate Maintenance (IMD) Discretionary Funds

    Grantee: 
    Project No: IMD-xxx-x(xxx) 
    FHWA Funds: $xx,xxx,xxx. 
     This project provides for resurfacing ____ miles of the 
two northbound lanes of I-xx in __________ county, extending from the 
U.S. Route 1 interchange at Hometown to the State Road 2 overpass in 
the vicinity of Smallville.
     The project provides for a 2-inch overlay of the existing 
bituminous concrete pavement which is badly deteriorated and rutted. 
(If there is anyhing innovative about the project be sure to mention in 
layman's terms.)
     This project is part of the second phase of a 5-year 
program to resurface a 25-mile section of I-xx between Town-A and Town-
B. In 1998, the southbound lanes at this same location are being 
resurfaced using State funds.
     In addition to State matching funds, a portion of the 
total project cost will be financed by $__________ in funds provided by 
____________.
     The project includes improvements to several safety 
features within the project limits including upgrading of guardrail and 
traffic signs.
     The project will be advertised for construction in  and is scheduled for completion in .

[FR Doc. 99-10246 Filed 4-22-99; 8:45 am]
BILLING CODE 4910-22-M