6BackgroundThe Ferry Boat Discretionary (FBD) Program provides a special funding category for the construction of ferry boats and ferry terminal facilities and was created by section 1064 of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA).
8Period of Availability Until expended or rescinded by Congress
9EligibilityFBD funds are available for construction/improvement to ferry boats or ferry boat terminals where it is not feasible to build a bridge, tunnel, combination thereof, or other normal highway structure in lieu of the use of such ferry.The ferry boat or ferry terminal facility is publicly owned or operated or majority publicly owned if the Secretary determines, with respect to a majority publicly owned ferry or ferry terminal facility, that such ferry boat or ferry terminal facility provides substantial public benefits.The operation of the ferry is on a route classified as a public road within the State and which has not been designated as a route on the Interstate System. Ferry may be operated only within the State (including the islands which comprise the State of Hawaii and the islands which comprise any territory of the United States) or between adjoining States or between a point in a State and a point in the Dominion of Canada.
10Eligibility (cont)The operating authority and the amount of fares charged for passage on such ferry shall be under the control of the State or other public entity.Control by a public entity means that the public entity establishes or approves the route and has oversight of the schedule, public access, safety, etc., for the ferry.The public entity must approve fares and verify that it is within the requirements for the program.All revenues derived therefrom shall be applied to actual and necessary costs of operation, maintenance and repair, debt service, negotiated management fees, and, in the case of a privately operated toll ferry, for a reasonable rate of return.
11Projects Designated by Congress Projects specified in public law by CongressApplication required after passage of actApplication submitted to Division of Local Assistance (DLA) by local agenciesCaltrans submits applications to FHWA for award
12Projects Not Designated by Congress Projects are not specified in public law by CongressApplication required after formal solicitation by FHWAApplication submitted to DLA by local agenciesCaltrans submits applications to FHWA for consideration
13Projects Not Designated by Congress Priorities 23 USC 147(c): “The Secretary shall give priority in the allocation of funds under this section to those ferry systems, and public entities responsible for developing ferries that:provide critical access to areas that are not well-served by other modes of surface transportation.carry the greatest number of passengers and vehicles.carry the greatest number of passengers in passenger- only service.
14Projects Not Designated by Congress Priorities (cont) FHWA will consider the following additional factors in the evaluation of candidates for this program:Expeditious completion of projectState prioritiesLeveraging of private or other public fundingAmount of FBD fundingNational geographic distribution of funding within the FBD programCongressional direction or guidance
15SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
16San Francisco Bay Area Water Transit Ferry Various FBD funding$3,200,000
19Interstate Maintenance Discretionary (IMD) Program
20BackgroundThe Interstate Maintenance Discretionary (IMD) 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 and was known as the I-4R Discretionary Program.
21Federal ShareFederal share of the costs for most projects eligible under this program is 90 percent. However, the Federal share is 80 percent on projects, or the portion of projects, for work involving added single-occupancy vehicle lanes to increase capacity.
22Period of Availability Until expended or rescinded by Congress
23EligibilityIMD funds are available for resurfacing, restoring, rehabilitating and reconstructing (4R) work, including added lanes, on the Interstate System. 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. Also not eligible are projects on any highway added to the Interstate System under section 103(c)(4) of 23 U.S.C. and section 1105(e)(5)(A) of ISTEA. Any proposed or future Interstate route is also not eligible for IMD funds. The website may assist in this determination.
24Eligibility (cont)Under the provisions of 23 U.S.C. 118(c)(2), a State is eligible to receive an allocation of IMD funds, if it has obligated or demonstrates that it will obligate in the fiscal year all of its Interstate Maintenance (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 which has been submitted by the State for approval. The State must be willing and able to obligate the IMD funds within 1 year of the date the funds are made available, apply the funds to a ready-to-commence project, and in the case of construction work, begin work within 90 days after obligation.
25Projects Designated by Congress Projects specified in public law by CongressProjects description must fit within the legislated descriptionApplication required after passage of actApplication submitted to Division of Local Assistance (DLA) by local agenciesCaltrans submits applications to FHWA for award
26Projects Not Designated by Congress Projects are not specified in public law by CongressApplication required after formal solicitation by FHWAApplication submitted to Division of Local Assistance (DLA) by local agenciesCaltrans submits applications to FHWA for consideration
27Projects Not Designated by Congress Priorities Under the provisions of 23 U.S.C. 118(c)(3), priority consideration shall be given to any project where the cost of which exceeds $10 million on any high volume route in an urban area or a high truck-volume route in a rural area.FHWA has not established regulatory criteria for selection of IMD projects; however, in its annual solicitation, FHWA notes that the following criteria are also considered in the evaluation of candidates for this 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.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.Transportation benefits that will be derived upon completion of the project.
28SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
31Public Lands Highways Discretionary (PLHD) Program
32BackgroundThe Public Lands Highways (PLH) Program was originally established in 1930 by the Amendment Relative to Construction of Roads through Public Lands and Federal Reservations. Funding was provided from the General Fund of the Treasury. The intent of the program is to improve access to and within the Federal lands of the nation. The Federal-Aid Highway Act of 1970 changed the funding source for the program from the General Fund to the Highway Trust Fund, effective in fiscal year (FY) The program has been continued with each highway or transportation act since then.
34Period of Availability 4 years (year awarded plus 3 years)
35PLHD EligibilityUnder the provisions of 23 U.S.C. 202(b)(1)(A), the funds shall be allocated “among those States having unappropriated or unreserved public lands, nontaxable Indian lands or other Federal reservations, on the basis of need in such States.” Since all of the States have some Federal lands, all are eligible to apply for PLHD funding.PLH funds are available for “any kind of transportation project eligible for assistance under Title 23, United States Code, that is within, adjacent to, or provides access to” Federal lands or facilities.PLH funds are available for transportation planning, research, engineering, and construction of the highways, roads, and parkways, and of transit facilities within the Federal public lands.PLH funds are also available for operation and maintenance of transit facilities located on Federal public lands.
36PLHD Eligibility (cont) Eligible projects under the PLH program may also include the following:Transportation planning for tourism and recreational travel, including the National Forest Scenic Byways Program, Bureau of Land Management Back Country Byways Program, National Trail System Program, and other similar Federal programs that benefit recreational development.Adjacent vehicular parking areas.Interpretive signage.Acquisition of necessary scenic easements and scenic or historic sites.Provisions for pedestrians and bicycles.Construction and reconstruction of roadside rest areas, including sanitary and water facilities.Other appropriate public road facilities such as visitor centers as determined by the Secretary.
37Selection CriteriaThe Secretary shall give preference to those projects which are significantly impacted by Federal land and resource management activities that are proposed by a State that contain at least 3 percent of the total public land in the United States (includes California).
38SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
39Agua Caliente Cultural Museum -Various Projects 2002, 2005, 2006 PLHD Funding$4,300,000
40Needles Highway Roadway Realignment and Safety Improvements 2003, 2004, 2005, 2006, 2008, 2009, 2010 PLHD Funding$12.7 Million
41Innovative Bridge Research and Deployment (IBRD) Program
42BackgroundThe Innovative Bridge Research and Deployment (IBRD) program was established by Section 5202 (b)(2) of Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law on August 10, 2005, to promote, demonstrate, evaluate, and document the application of innovative designs, materials, and construction methods in the construction, repair, and rehabilitation of bridges and other highway structures.
43Federal ShareIn accordance with 23 U.S.C. 503(b) (5), the Secretary shall determine the Federal share of the costs for any project eligible under this program. The FHWA Administrator recommends for approval to the Secretary the Federal share for each project considering several factors, including the innovation parts of the project, the amount of funds requested for the project, and the available funding for the program.
44Period of Availability 4 years (year awarded plus 3 years)
45EligibilityFunds are available for bridge projects that meet one or more of the eight program goals listed in Section 5202 (b)(2) of SAFETEA-LU, Public Law :The development of new, cost-effective, innovative highway bridge applications;The development of construction techniques to increase safety and reduce construction time and traffic congestion;The development of engineering design criteria for innovative products, materials, and structural systems for use in highway bridges and structures;The reduction of maintenance costs and life-cycle costs of bridges, including costs of new construction, replacement or rehabilitation of deficient bridges;The development of highway bridges and structures that will withstand natural disasters:The documentation and wide dissemination of objective evaluations of the performance and benefits of these innovative designs, materials, and construction methods;The effective transfer of resulting information and technology; andThe development of improved methods to detect bridge scour and economical bridge foundation designs that will withstand bridge scour.The project may be on any public roadway, including State and locally funded projects.Funds may be used for costs of preliminary engineering, repair, rehabilitation, or construction of bridges or other highway structures, and costs of project performance evaluation and performance monitoring of the structure following construction.
46Selection CriteriaProjects that will meet one or more of the goals of the program as listed in the Eligibility Section and the benefits listed in the solicitation memorandum with a particular emphasis that the technologies and/or processes developed will be put into standard practice by the State;Projects that have been funded for design, construction or rehabilitation and are ready or will be ready for construction by fiscal year 2012.Project/s that leverages Federal funds with other public or private resources.In addition, the FHWA may consider:State priorities - For States that submit more than one project application, consideration is also given to the individual State's priorities if specified.Availability of innovative material and/or innovative material product - and projects that apply an innovative material and/or a product made of an innovative material, which is readily available for application in other projects and in other States.Expeditious completion of project in a timely manner. For large-scale projects, consideration is given to the State's total funding plan to expedite the completion of the project.Leveraging of private or other public funding - Because the annual requests for funding far exceed the available IBRD funds, commitment of other funding sources to complement the requested IBRD funding is also a consideration.
47SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
48Uvas Creek Bridge, Rte 1522006 IBRD Funding$120,000
49Slide Canyon Bridge, State Route 2 2009 IBRD Funding$200,000
50Innovative Bridge Research and Construction (IBRC) Program
51BackgroundThe Innovative Bridge Research & Construction (IBRC) Program was established with the passage of TEA-21 and was funded by Congress for six years, FY FY With the current extension of TEA-21 for 20 months (through May 31, 2005), the IBRC program had been authorized, with full funding for FY 2004 and with at least partial funding, for FY 2005 as well. The program was intended to demonstrate the application of innovative material technology in the construction of bridges and other highway structures, and had two components. The larger component provided funds for repair, rehabilitation, replacement, or new construction of bridges and other highway structures using innovative materials. The smaller component was intended to support research and technology transfer activities related to the program’s goals. This program has not been funded since 2005
52Federal ShareIn accordance with 23 U.S.C. 503(b) (5), the Secretary shall determine the Federal share of the costs for any project eligible under this program. The FHWA Administrator recommends for approval to the Secretary the Federal share for each project considering several factors, including the innovation parts of the project, the amount of funds requested for the project, and the available funding for the program.
53Period of Availability 4 years (year awarded plus 3 years)
54EligibilityFunds are available for repair, rehabilitation, replacement, and new construction of bridges and other highway structures that demonstrate the application of innovative materials.Funds are available for bridge projects that meet one or more of the seven program goals listed in Section 503(b)(2) of Title V – Transportation Research.The project may be on any public roadway, including State and locally funded projects.Funds are available for costs of preliminary engineering, repair, rehabilitation, or construction of bridges or other highway structures, and costs of project performance evaluation including instrumentation and performance monitoring of the structure following construction.Proprietary Products – As this is a research and experimental program, it is in the public interest that proprietary and sole source products may be included in the projects, but they must be clearly identified and described.
55Selection CriteriaThe Secretary shall select and approve the applications based on whether the project that is the subject of the grant meets the goals of the program as described in the following:The development of new, cost effective, innovative material highway bridge applications.The reduction of maintenance costs and life cycle costs of bridges, including the costs of new construction, replacement, or rehabilitation of deficient bridges.The development of construction techniques to increase safety and reduce construction time and traffic congestion.The development of engineering design criteria for innovative products and materials for use in highway bridges and structures.The development of cost effective and innovative techniques to separate vehicle and pedestrian traffic from railroad traffic.The development of highway bridges and structures that will withstand natural disasters, including alternative processes for the seismic retrofit of bridges.The development of new nondestructive bridge evaluation technologies and techniques.The following criteria are used to evaluate the submitted candidates for selection.Projects which will meet one or more of the goals of the program in Section 503(b).Projects which will incorporate innovative materials and/or products that are readily available.Projects ready for or near the construction phase will be given priority consideration.Projects with designs that are repeatable or have widespread application.Projects that leverage Federal funds with other significant public or private resources will be given preference.
56Projects were only solicited for ffy 2005 SolicitationsProjects were only solicited for ffy 2005
58National Historic Covered Bridge Preservation (NHCBP) Program
59BackgroundThe NHCBP program was established by Section 1804 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy For Users (SAFETEA-LU) Public Law , and continued under the current continuing resolution. The NHCBP program provides for two types of projects. One type is a grant to assist the States in carrying out the rehabilitation, repair, and/or preservation of historic covered bridges. The other focuses on the research and education on and about historic covered bridges. For the purposes of the program, the term "historic covered bridge" means a covered bridge that is listed or eligible for listing on the National Register for Historic Places.
62Eligibility and Selection Criteria Grants will be considered to States submitting eligible projects that demonstrate a need for assistance in carrying out one or more eligible projects as outlined below:to rehabilitate or repair a historic covered bridge;to preserve a historic covered bridge throughinstallation of a fire protection system, including a fireproofing or fire detection system and sprinklers;installation of a system to prevent vandalism and arson; orrelocation of a bridge to a preservation site.To ensure the bridges retain their historical significance, grants will be awarded for projects only if:to the maximum extent practicable, the projectis carried out in the most historically appropriate manner; andpreserves the existing structure of the historic covered bridge; andthe project provides for the replacement of wooden components, with wooden components, unless the use of wood is impracticable for safety reasons.
63SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
64Wawona Covered Bridge, Yosemite CA 2001 NHCBP Funding$165,000
65Felton Covered Bridge, Santa Cruz, CA 2011 NHCBP Funding$248,238
67BackgroundThe ‘Highways for LIFE Pilot Program’ was established in 2005 under SAFETEA-LU Section(s) 1101(a)(20), The purpose of the pilot program was to advance longer lasting highways using innovative technologies and practices to accomplish the fast construction of efficient and safe highways and bridges.The program provides funding to demonstrate and promote state-of-the-art technologies, elevated performance standards, and new business practices in the highway construction process that result in improved safety, faster construction, reduced congestion from construction, and improved quality and user satisfaction. For each proposed project the State must be willing to consider making a standard practice of the innovation after a successful demonstration.
68Federal Share 20% and <$5M* *These funds can be used as the non-federal match
69Period of Availability 4 years (year awarded plus 3 years)
70HfL EligibilityProject must construct, reconstruct, or rehabilitate a route or connection on an eligible Federal-aid highway.Project must use innovative technologies, manufacturing processes, financing or contracting methods that improve safety, reduce congestion, and improve quality.Project must meet any additional criteria as determined by the Secretary.
71HfL PriorityProject should address HfL performance standards for quality, safety, and speed of construction.Project should deliver and deploy innovative technologies, manufacturing processes, financing, contracting, and performance measures.Project should include innovation that will lead to change in the administration of the State’s transportation program.Project is or will be ready for construction within 1 year of approval.
72SolicitationsSolicitations usually occur once per year after the passage of the federal budget act
73Mountain Ranch Road HMA Overlay Project in Calaveras County, California Safety Edge2009 HfL Funding$300,000
74Procedures common to FBD, IMD, PLHD, IBRD, IBRC and HfL Programs
75Solicitation Procedure A memorandum is issued by the FHWA Headquarters to the FHWA division offices requesting submission of applications. The division offices send the memo to the State DOTs, who are responsible for submitting the applications to FHWA.
76Project AwardsLocal agency projects are awarded funds by FHWA and informed of award by DLA. Following award, the local agency can request allocation of funds.
77Funds AllocationFunds will be allocated when the local agency informs the DLAE that they are within 90 days of Request for Authorization (RFA).The DLAE requests the funds allocation from the HQ Program Manager via . The request must include:Project TitleProject ScopeName of Sponsoring AgencyProject EA (if known)Federal ID (if known)Year of AwardAmount of funds being requestedCopy of FTIPContactThe HQ Program Manager sends a letter to FHWA requesting that funds be allocated to a specific project.Local agencies should allow 60 days for FHWA to process allocation request.
78Federal-Aid Requirement Recipients of funds must follow the general federal-aid process set forth in the Local Assistance Procedures Manual
79Local Agency Responsibilities Reviews the eligibility requirements and criteria for the program to ensure a viable project is chosenCompletes the application in order to satisfy all the requirements and criteria listed in the guidelinesRequests allocation and obligation of all awarded fundsFollows the Local Assistance Procedures Manual and Local Assistance Program Guidelines.
80Caltrans Responsibilities District Local Assistance Engineer (DLAE)Disseminates solicitation information to local agenciesReceives and reviews the local agency applications for completenessForwards application(s) to the HQ Program ManagerInforms the local agencies whether or not their project was awardedForwards FHWA Award Memo to local agency applicantsRequests allocation from DLA HQ Program Manager when local agency is ready to obligateObligates funds following receipt of the local agency Request for Authorization (RFA)DLA HQ Program ManagerGathers completed applications from districtsParticipates on review panel to rank applicationsSubmits local agency applications electronically to the FHWA California DivisionForwards FHWA Award Memo to DLAERequests allocation from FHWATracks allocations, de-allocations, obligations, de-obligations, and lapsing fundsOffice of Federal Resources-Federal Resources Engineer (FRE)Gathers state sponsored applications and ensures that the applications are completed in accordance with the submission requirements outlined aboveSubmits applications electronically to the FHWA California DivisionForward FHWA Award Memo to DLA HQ Program Manager
81FHWA Responsibilities Sends solicitation memos to Caltrans for distribution to local agencies.Receives allocation requests from OFR and HQ Program Manager.Allocates/de-allocates funds at the request of OFR or HQ Program Manager within 30 days.Sends formal allocation memorandum to OFR or HQ Program Manager immediately after funds have been allocated or de-allocated.
83BackgroundForest Highways are a subset of California’s road system, representing approximately 2,974 miles of roadway in California. Established by the passage of the Federal Highway Act of 1921, specific roadways in national forests across the U.S. were designated as Forest Highway due to the benefits they provide to the national forest, states, and local communities. California Forest Highways are diverse, ranging from isolated county roads in rural areas to state roads that receive intense use from nearby metropolitan areas. Forest Highways are intended to provide safe and efficient transportation access to and through the National Forest System (NFS) for visitors, recreationists, resource users, and others. Forest Highways also assist rural and community economic development, and promote tourism and travel.
84FH Tri-Agency = US Forest Service + FHWA (Central Federal Lands Division)+ Caltrans
86Period of Availability 4 years (year awarded plus 3 years)
87FH EligibilityResurfacing, restoring, rehabilitating, or reconstructing designated public roads that provide access to or are within a National Forest or Grassland.Funding is provided for the planning, design, construction, reconstruction, or improvement of designated Forest Highways—including bridges.Transportation planning for tourism and recreational travel, including the National Forest Scenic Byways Program, Bureau of Land Management Back Country Byways Program, National Trail System Program, and other similar Federal programs that benefit recreational development.Adjacent vehicular parking areas.Interpretive signage.Acquisition of necessary scenic easements and scenic or historic sites.Provisions for pedestrians and bicycles.Construction and reconstruction of roadside rest areas, including sanitary and water facilities.Other appropriate public road facilities such as visitor centers as determined by the Secretary.Roads must be classified as a Forest Highway.st
88FH Program Caltrans Responsibilities Identifies needs and provides information as required for route and project support.Proposes routes for FH designation, and reviews FS proposals for FH designation.Represents the interests of local governments on proposed FH routes and projects.Proposes projects for inclusion in the FH program of projects.Jointly selects projects for inclusion in the FH program of projects, along with representatives from the FS and the FHWA Federal Lands Highway Division Office.As necessary, appoints members to multi-agency teams, such as a Social, Economic, and Environmental (SEE) Team, which studies location alternatives and obtains environmental clearances for a project.Obtains necessary Right-of-Way (for State FH projects) at State expense and maintain completed construction.If applicable, enters into project agreements with the FHWA Federal Lands Highway Division Office.Concurs on project Plans, Specifications, and Estimate packages on State routes.Advertises, awards, and administers the construction contracts of some FH projects.Inspects and approves final construction with the Federal Lands Highway Division Office on State routes.Potentially contributes cooperative funding to assist in the construction or improvement of a FH project.
89FH Program Forest Service Responsibilities Identifies needs and provides forest resource information as required for route and project support.Proposes routes for FH designation, and reviews State proposals for FH designation.Coordinates with State and local governments on proposed FH routes and projects.Proposes projects for inclusion in the FH program of projects.Jointly selects projects for inclusion in the FH program of projects, along with representatives from the State Transportation Agency and the FHWA Federal Lands Highway Division Office.If applicable, enters into project agreements with the FHWA Federal Lands Highway Division Office.Concurs on project Plans, Specifications, and Estimate packages.Inspects and approves final construction with the Federal Lands Highway Division Office.Potentially contributes cooperative funding to assist in the construction or improvement of a FH project.Advertises, awards, and administers the construction contracts of some FH projects.Develops an Aquatic Organism Passage (AOP) program of projects.Advertises, awards, and administers the design and construction of most AOP projects.
90FH Program FHWA Central Federal Lands Responsibilities Administers FH program funds.Reviews and designates proposed FH routes.Jointly selects projects for inclusion in the FH program of projects, along with representatives from the State Transportation Agency and the FS.Approves FH program of projects.Drafts project agreements.Designs most FH projects, and approves the Plans, Specifications, and Estimate packages with concurrence from FS or State Transportation Agency as applicable.Advertises, awards, and administers the construction contracts of most FH projects.Makes final acceptance of FH construction projects.
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