U. S. Department of Transportation Federal Highway Administration

Memorandum

---

Subject:	Guidance on Transfer Provisions Contained in the Surface Transportation Extension Act of 1997	Date:	Dec. 3, 1997
From:	Director, Office of Budget and Finance	Replay to Attn of:	HFS-1
To:	Associate Administrators Regional Administrators Division Administrators

The Surface Transportation Extension Act of 1997 (STEA) retains the transfer provisions of ISTEA and 23 U.S.C., as detailed in our memorandum, "Guidance on Transfer Provisions contained in the Intermodal Surface Transportation Act of 1991 (ISTEA)" dated June 26, 1992 (copy attached). In addition to these transfers, STEA authorizes other transfer opportunities that are more flexible than those of ISTEA, but are temporary in nature.

The key provisions of STEA with regard to transfers are:

• This authority is granted for fiscal year 1998 only and will cease at the earlier of the end of the fiscal year or when reauthorizing legislation is enacted.

• Funds may be transferred between any program and/or suballocation. However, upon enactment of reauthorizing legislation, these funds must be restored to the original program if the transferred funds are used for projects which are ineligible under the original program. If the transferred funds are used for eligible projects which could have been funded by the program originally issued, then the funds will not be restored.

• Under STEA, funds may be transferred from any of the below listed programs to any of the below listed programs. Funds transferred to the Surface Transportation Program are not subject to suballocation under 23 U.S.C. 133(d).
  • Interstate Maintenance
  • National Highway System
  • Surface Transportation Program
  • Congestion Mitigation and Air Quality Improvement Program
  • Bridge
  • Section 402 Safety Programs
  • Section 410 Alcohol-impaired Driving Countermeasures' Grants
  • Chapter 311, 49 U.S.C. Commercial Motor Vehicle Safety

• Funds can be transferred between any eligible programs of any fiscal year for which funds have not lapsed. The fiscal year of the original apportionment, grant, or allocation will be maintained.

• Transferred funds must be subject to limitation on obligations and the amount transferred must be less than or equal to the unobligated balances of such funds. There is no other dollar or per cent limitation imposed on these transfers.

Since funds transferred under the provisions of STEA may have to be restored to the program category of origin, requests for transfer under STEA must be submitted separately from requests under ISTEA. ISTEA transfer requests should be made using the worksheet provided with the guidance issued for those transfers. Transfers requested under STEA require the attached transfer worksheet. Note that the worksheet must be annotated to indicate the amount that will require restoration and that this amount must be verified by the Division Administrator or his/her designee.

Requests for transfer of funds must be made in writing (fax or E-mail is acceptable) to Minnie Baskerville, Finance Division (HFS-20). Include a copy of the State's request and a transfer worksheet (Transfer Request Under the Surface Transportation Extension Act of 1997) signed by the Division Administrator (or designee).

Questions concerning these transfer provisions can be addressed by E-mail or phone to Linda Lightfoot (202-366-0734) or Minnie Baskerville (202-366-2924).

Frederick G. Wright, Jr.

Attachments
Transfer Request Worksheet