Highway Trust Fund Expenditures on Purposes Other than Construction and Maintenance of Highways and Bridges during Fiscal Years 2004-2008
Gao ID: GAO-09-729R June 30, 2009The Highway Trust Fund (HTF) was created in 1956 to finance the construction of the Interstate Highway System. This system, built in partnership with state and local governments for over 50 years, has become central to transportation in the United States. Over these 50 years, the federal role in surface transportation has expanded to include broader goals and more programs. Although most surface transportation funds remain dedicated to highway infrastructure, federal surface transportation programs now serve additional transportation, environmental, and societal purposes such as construction of pedestrian walkways and safety enforcement facilities along border regions. The 2005 Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) authorized $244.1 billion over 5 years for highways, highway safety, and public transportation, with the HTF serving as the funding source for most of the act's programs. In addition to authorizing funds for construction and maintenance of highways and bridges, the act specifies other purposes for which funding must or may be used, including, but not limited to, safety; metropolitan planning; transit; and transportation enhancement activities, such as trails for transportation purposes, pedestrian walkways, bicycle lanes and parking, and related projects. Some of these activities have elements related to, or that contribute to, construction and maintenance of highways and bridges. Within the Department of Transportation (DOT), the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA), the National Highway Traffic Safety Administration (NHTSA), and the Federal Motor Carrier Safety Administration (FMCSA) are responsible for administering the grant programs funded by the HTF. In response to Congressional concerns regarding resource challenges facing the nation's current surface transportation programs and policies, this report provides information on the amount of HTF monies the DOT agencies obligated for purposes other than construction and maintenance of highways and bridges during fiscal years 2004 through 2008.
During fiscal years 2004 through 2008, four agencies within the Department of Transportation obligated about $78 billion in HTF monies for purposes other than construction and maintenance of highways and bridges and had total authorizations of $243.1 billion during that time for all purposes. In particular, (1) FHWA had total authorizations of about $195.3 billion and obligated nearly $28 billion for purposes other than construction and maintenance of highways and bridges in accordance with its mission. (2) FTA had total authorizations of about $42.2 billion and obligated over $44 billion for purposes other than construction and maintenance of highways and bridges in accordance with its mission. (3) NHTSA had total authorizations of about $3.2 billion and obligated $3.1 billion in HTF monies for purposes other than construction and maintenance of highways and bridges in accordance with its mission. (4) FMCSA had total authorizations of about $2.4 billion and obligated approximately the same amount for purposes other than construction and maintenance of highways and bridges in accordance with its mission.
GAO-09-729R, Highway Trust Fund Expenditures on Purposes Other than Construction and Maintenance of Highways and Bridges during Fiscal Years 2004-2008
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GAO-09-729R:
United States Government Accountability Office:
Washington, DC 20548:
June 30, 2009:
The Honorable John McCain:
Acting Ranking Member:
Subcommittee on Federal Financial Management, Government Information,
Federal Services, and International Security:
Committee on Homeland Security and Governmental Affairs:
United States Senate:
The Honorable Tom Coburn:
United States Senate:
Subject: Highway Trust Fund Expenditures on Purposes Other than
Construction and Maintenance of Highways and Bridges during Fiscal
Years 2004-2008.
The Highway Trust Fund (HTF) was created in 1956 to finance the
construction of the Interstate Highway System. This system, built in
partnership with state and local governments for over 50 years, has
become central to transportation in the United States. Over these 50
years, the federal role in surface transportation has expanded to
include broader goals and more programs. Although most surface
transportation funds remain dedicated to highway infrastructure,
federal surface transportation programs now serve additional
transportation, environmental, and societal purposes such as
construction of pedestrian walkways and safety enforcement facilities
along border regions.
The 2005 Safe, Accountable, Flexible, Efficient Transportation Equity
Act: A Legacy for Users (SAFETEA-LU) authorized $244.1 billion over 5
years for highways, highway safety, and public transportation, with the
HTF serving as the funding source for most of the act's programs.
[Footnote 1] In addition to authorizing funds for construction and
maintenance of highways and bridges, the act specifies other purposes
for which funding must or may be used, including, but not limited to,
safety; metropolitan planning; transit; and transportation enhancement
activities, such as trails for transportation purposes, pedestrian
walkways, bicycle lanes and parking, and related projects. Some of
these activities have elements related to, or that contribute to,
construction and maintenance of highways and bridges. Within the
Department of Transportation (DOT), the Federal Highway Administration
(FHWA), the Federal Transit Administration (FTA), the National Highway
Traffic Safety Administration (NHTSA), and the Federal Motor Carrier
Safety Administration (FMCSA) are responsible for administering the
grant programs funded by the HTF. In response to your concerns
regarding resource challenges facing the nation's current surface
transportation programs and policies, this report provides information
on the amount of HTF monies the DOT agencies obligated for purposes
other than construction and maintenance of highways and bridges during
fiscal years 2004 through 2008.[Footnote 2] For a full description of
how we determined projects that used HTF monies for purposes other than
construction and maintenance of highways and bridges, see enclosure I
of this report.
To address our reporting objective, we obtained data from DOT on
programs and projects that used HTF monies for purposes other than
construction and maintenance of highways and bridges during fiscal
years 2004 through 2008.[Footnote 3] In the case of FHWA, we analyzed
obligation data to report on the total cumulative obligated dollars and
total number of projects for relevant project types during the 5-year
period. We also reviewed publicly available authorization information
for FHWA programs in the same time period. With regard to FTA, NHTSA,
and FMCSA, we analyzed data on authorization and obligations for all
programs to report the total cumulative authorizations and obligations
during the 5-year period. We interviewed agency officials and obtained
additional information from DOT about steps taken to ensure the
reliability of its data, and we determined that the data were
sufficiently reliable for the purposes of this report. We conducted our
work from October 2008 to June 2009 in accordance with all relevant
sections of GAO's Quality Assurance Framework. The framework requires
that we plan and perform the engagement to obtain sufficient and
appropriate evidence to meet our stated objectives and to discuss any
limitations in our work. We believe that the information and data
obtained, and the analysis conducted, provide a reasonable basis for
the findings. A more detailed description of our scope and methodology
is contained in enclosure I of this report.
Results in Brief:
During fiscal years 2004 through 2008, four agencies within the
Department of Transportation obligated about $78 billion in HTF monies
for purposes other than construction and maintenance of highways and
bridges and had total authorizations of $243.1 billion during that time
for all purposes.[Footnote 4] In particular,
* FHWA had total authorizations of about $195.3 billion and obligated
nearly $28 billion for purposes other than construction and maintenance
of highways and bridges in accordance with its mission.
* FTA had total authorizations of about $42.2 billion and obligated
over $44 billion for purposes other than construction and maintenance
of highways and bridges in accordance with its mission.[Footnote 5]
* NHTSA had total authorizations of about $3.2 billion and obligated
$3.1 billion in HTF monies for purposes other than construction and
maintenance of highways and bridges in accordance with its mission.
* FMCSA had total authorizations of about $2.4 billion and obligated
approximately the same amount for purposes other than construction and
maintenance of highways and bridges in accordance with its mission.
We provided a draft of this report to DOT for its review and comment.
DOT noted that activities such as safety, planning, and environmental
activities contribute to or are preliminary work for highway
construction and some programs that are not highway related, such as
adding bicycle lanes on roads or bridges, may involve some highway or
bridge construction. DOT also provided technical comments on a draft of
this report, which we incorporated as appropriate.
Background:
Congress established the HTF in 1956 to hold highway user taxes to fund
various surface transportation programs. In 1983, the HTF was divided
into the Highway Account and the Mass Transit Account. Receipts for the
HTF are derived from two main sources: federal excise taxes on motor
fuels (gasoline, diesel, and special fuels taxes) and truck-related
taxes (truck and trailer sales, truck tire, and heavy-vehicle use
taxes). Receipts from the motor fuels tax constitute the single largest
source of HTF revenue. The HTF also receives revenue attributable to
gasoline used by nonhighway recreational users, such as snowmobiles,
all-terrain vehicles, off-highway motorcycles, off-highway light
trucks, and other nonhighway motorized recreational vehicles. The
Highway Account receives the majority of the tax receipts allocated to
the fund.[Footnote 6]
The HTF primarily supports four surface transportation agencies within
the Department of Transportation. The Highway Account funds FHWA,
FMCSA, and NHTSA and the programs they administer.[Footnote 7] The Mass
Transit Account funds FTA. As table 1 demonstrates, the Highway Account
funds FHWA, NHTSA, and FMCSA, while according to FTA officials, FTA
receives approximately 80 percent of its funding from the Mass Transit
Account and the remainder from the General Fund of the U.S. Treasury.
These agencies provide much of this funding directly to states,
metropolitan planning agencies, and transit agencies through formula
grants, and these recipients select projects to be funded, subject to
federal eligibility requirements.
Table 1: Sources of Authorized Funds for Key Department of
Transportation Agencies, Fiscal Years 2004-2008:
Agency: Federal Highway Administration[A];
Funding source: HTF: Highway Account: 100%;
Funding source: HTF: Mass Transit Account: [Empty];
Funding source: General Fund: [Empty].
Agency: Federal Transit Administration;
Funding source: HTF: Highway Account: [Empty];
Funding source: HTF: Mass Transit Account: 80% in 2004 and 2006-2008
85% for FY05;
Funding source: General Fund: 20% in 2004 and 2006-2008 5% in 2005.
Agency: National Highway Traffic Safety Administration;
Funding source: HTF: Highway Account: 100% in 2004-2007; 83% in 2008;
Funding source: HTF: Mass Transit Account: [Empty];
Funding source: General Fund: 17% in 2008.
Agency: Federal Motor Carrier Safety Administration;
Funding source: HTF: Highway Account: 100%;
Funding source: HTF: Mass Transit Account: [Empty];
Funding source: General Fund: [Empty].
Source: GAO analysis of applicable laws and information from the
Department of Transportation.
[A] In some instances, FHWA receives appropriated funds from the
General Fund of the U.S. Treasury. For example, FHWA can receive
emergency relief funds from the General Fund for the purpose of
repairing roads and bridges damaged in natural disasters.
[End of table]
Figure 1 shows total authorizations during fiscal years 2004 through
2008 for the four agencies. Total authorizations are for all programs,
including, in the case of FHWA, those that support construction and
maintenance of highways and bridges.
Total = $243.1 B:
Figure 1: Total Authorizations, Fiscal Years 2004-2008:
[Refer to PDF for image: pie-chart]
FHWA: $195.3 billion;
FTA: $42.2 billion;
NHTSA: $3.2 billion;
FMCSA: $24. billion.
Source: GAO analysis of FHWA, FTA, FMCSA, and NHTSA data.
Note: Authorizations include monies from the Highway Trust Fund as well
as from the General Fund of the United States Treasury. The 2004
authorizations for all agencies were established through a series of
extensions to the previous authorization.
[End of figure]
Because of a weakening economy and higher motor fuel prices, both of
which affected key sources of HTF revenue, the HTF account balance
dropped more precipitously than anticipated and was nearly depleted in
August 2008. In September 2008, after a multiyear decline in the
Highway Account balance, Congress passed legislation that provided $8
billion from the General Fund to replenish the account.[Footnote 8] See
the Related GAO Products page at the end of this report for a listing
of our other reports related to the HTF.
Department of Transportation Agencies Obligated Approximately $78
Billion in HTF Monies for Purposes Other than Construction and
Maintenance of Highways and Bridges during Fiscal Years 2004-2008:
During fiscal years 2004 through 2008, four agencies within the
Department of Transportation obligated about $78 billion in HTF monies
for purposes other than construction and maintenance of highways and
bridges and had total authorizations of $243.1 billion during that time
for all purposes. FHWA uses HTF monies for transportation enhancements,
planning, safety, research, transit capital projects, and other
programs that are part of its mission. FTA, NHTSA, and FMCSA funds are
directed toward supporting transit, large commercial truck and bus
safety, motor vehicle safety, planning, and other purposes.
Federal Highway Administration: FHWA obligated nearly $28 billion from
the HTF for purposes other than construction and maintenance of
highways and bridges during fiscal years 2004 through 2008. Of the
nearly $28 billion, 13 percent ($3.8 billion) went toward
transportation enhancement projects and the remaining 87 percent ($24.2
billion) went toward safety-, facility-, planning-, and other-related
projects.
Certain FHWA programs allow states, cities, and counties to use HTF
monies for transportation enhancements--projects that, according to the
Department of Transportation, help expand transportation choices and
enhance the transportation experience. Such enhancements include
pedestrian and bicycle facilities, landscaping and scenic
beautification, and historic preservation related to surface
transportation, among other purposes. In FHWA's Surface Transportation
Program, 10 percent of each state's annual apportionment must be set
aside for transportation enhancement activities and made available for
distribution toward enhancements.[Footnote 9] Several other FHWA
programs, such as the Congestion Mitigation and Air Quality Improvement
Program and the National Scenic Byways Program, also allow the use of
funds for enhancement-type projects--for example, projects focused on
pedestrians and bicyclists.
As shown in table 2, FHWA obligated approximately $3.7 billion in HTF
monies for transportation enhancement projects during fiscal years 2004
through 2008.[Footnote 10] Of all projects specified as transportation
enhancements in FHWA's database, those involving facilities for
pedestrians and bicycles had the greatest amount of obligated federal
funding during this period. FHWA obligated over $2 billion in federal
funds for pedestrian and bicycle facility projects, which can include
trails for transportation purposes, sidewalk construction and
improvements, on-road bicycle lanes, and pedestrian lighting, among
other activities. Landscaping and other scenic beautification projects
had obligations of $850 million during the same 5-year period.
Table 2: FHWA's Obligation of HTF Monies for Transportation Enhancement
Projects by Type, Fiscal Years 2004-2008:
Transportation enhancement project: Facilities for pedestrians and
bicycles;
HTF monies (Dollars in millions): $2,005;
Number of projects: 5,547.
Transportation enhancement project: Landscaping and other scenic
beautification;
HTF monies (Dollars in millions): $850;
Number of projects: 2,772.
Transportation enhancement project: Rehabilitation and operation of
historic transportation buildings/structures/facilities;
HTF monies (Dollars in millions): $224;
Number of projects: 366.
Transportation enhancement project: Scenic or historic highway
programs;
HTF monies (Dollars in millions): $215;
Number of projects: 859.
Transportation enhancement project: Historic preservation;
HTF monies (Dollars in millions): $115;
Number of projects: 366.
Transportation enhancement project: Safety and education for
pedestrians/bicyclists;
HTF monies (Dollars in millions): $84;
Number of projects: 398.
Transportation enhancement project: Mitigation of water pollution due
to highway runoff;
HTF monies (Dollars in millions): $84;
Number of projects: 213.
Transportation enhancement project: Acquisition of scenic easements and
scenic or historic sites;
HTF monies (Dollars in millions): $57;
Number of projects: 154.
Transportation enhancement project: Preservation of abandoned railway
corridors;
HTF monies (Dollars in millions): $38;
Number of projects: 53.
Transportation enhancement project: Archaeological planning and
research;
HTF monies (Dollars in millions): $30;
Number of projects: 49.
Transportation enhancement project: Establishment of transportation
museums;
HTF monies (Dollars in millions): $28;
Number of projects: 55.
Transportation enhancement project: Control and removal of outdoor
advertising;
HTF monies (Dollars in millions): $19;
Number of projects: 25.
Transportation enhancement project: Total;
HTF monies (Dollars in millions): $3,749;
Number of projects: 10,857[A].
Source: GAO analysis of FHWA data.
[A] Total project count may be overstated because a single project may
be listed under more than one project type.
[End of table]
In addition to transportation enhancement activities, FHWA, along with
states, metropolitan planning organizations, and transit agencies, used
HTF monies to support other projects such as safety, planning,
research, traffic management engineering, ferryboats, and training. As
shown in table 3, FHWA obligated approximately $24.2 billion in HTF
monies for these activities during fiscal years 2004 through 2008.
[Footnote 11] Safety activities accounted for approximately one-third
of these funds. FHWA considers safety a crosscutting topic that
encompasses speed and work zone management, construction, and other
projects.[Footnote 12] In addition, approximately $3.1 billion in HTF
monies was obligated for planning activities by states and metropolitan
planning organizations during the 5-year period.[Footnote 13]
Table 3: FHWA's Obligation of HTF Monies for Projects Other than
Construction and Maintenance of Highways and Bridges by Type, Fiscal
Years 2004-2008:
Nature of work[A]: Safety[B];
HTF monies; (Dollars in millions): $8,111;
Number of projects: 17,586.
Nature of work[A]: Other[C];
HTF monies; (Dollars in millions): $4,388;
Number of projects: 6,697.
Nature of work[A]: Planning;
HTF monies; (Dollars in millions): $3,089;
Number of projects: 2,920.
Nature of work[A]: Traffic management engineering-HOV[D];
HTF monies; (Dollars in millions): $1,814;
Number of projects: 1,576.
Nature of work[A]: Utilities[E];
HTF monies; (Dollars in millions): $1,586;
Number of projects: 6,579.
Nature of work[A]: Research;
HTF monies; (Dollars in millions): $1,321;
Number of projects: 1,401.
Nature of work[A]: Debt service[F];
HTF monies; (Dollars in millions): $1,241;
Number of projects: 462.
Nature of work[A]: Rail/highway crossing[G];
HTF monies; (Dollars in millions): $1,100;
Number of projects: 5,585.
Nature of work[A]: Environmental only[H];
HTF monies; (Dollars in millions): $449;
Number of projects: 497.
Nature of work[A]: Administration[I];
HTF monies; (Dollars in millions): $355;
Number of projects: 982.
Nature of work[A]: Transit;
HTF monies; (Dollars in millions): $318;
Number of projects: 504.
Nature of work[A]: Training[J];
HTF monies; (Dollars in millions): $164;
Number of projects: 2,050.
Nature of work[A]: Ferryboats and facilities[K];
HTF monies; (Dollars in millions): $121;
Number of projects: 63.
Nature of work[A]: Vehicle weight enforcement program;
HTF monies; (Dollars in millions): $107;
Number of projects: 73.
Nature of work[A]: Youth conservation service[L];
HTF monies; (Dollars in millions): $13;
Number of projects: 50.
Nature of work[A]: Total;
HTF monies; (Dollars in millions): $24,177;
Number of projects: 47,025[M].
Source: GAO analysis of FHWA data.
[A] Some safety, planning, and research work can contribute or be a
precursor to construction and maintenance of highways and bridges.
[B] This denotes projects wherein all or a significant portion of the
project enhances safety in some way, for example, by constructing
facilities dedicated to the enforcement of vehicle weight regulations.
[C] Miscellaneous work such as National Recreational Trails
construction. States report costs in the "Other" category only if the
major purpose of the project cannot be matched with any of the other
specific improvement categories. This also includes approximately $256
million for about 5,000 individual Recreational Trails Program
projects, which are often obligated as groups of several individual
projects within a single federal aid project:
[D] Traffic operation improvements that are designed to reduce traffic
congestion and to facilitate the flow of traffic, both people and
vehicles, on existing systems. This includes automated toll collection
equipment, road and bridge surveillance and control systems, and use of
high occupancy vehicle (HOV) lanes.
[E] Acquisition of replacement right-of-way, preliminary engineering,
or movement of utility services, in conjunction with a highway project:
[F] Interest payments and retirement of principal under an eligible
bond issue and any other cost incidental to the sale of an eligible
bond issue. This includes capitalized interest, issuance costs,
insurance or other credit enhancement fees, and other bond-related
costs.
[G] Improvements and additions to protective devices such as signs,
markings, flashing lights, and track circuitry.
[H] Improvements that do not provide any increase in the level of
service, in the condition of the facility or in safety features. This
includes noise barriers, beautification, and other environmentally
related features not built as a part of any other improvement type.
[I] Administration for Recreational Trails Program projects, commercial
vehicles, and other similar projects.
[J] Funding for training, supportive services, and on-the-job training.
This is not training for FHWA employees.
[K] Construction of ferryboats and ferry terminal facilities.
[L] Use of youth conservation service is encouraged for Recreational
Trails projects.
[M] Total project count may be overstated because a single project may
be listed under more than one project type.
[End of table]
Federal Transit Administration: FTA obligated over $44 billion for
various transit activities during fiscal years 2004 through 2008, as
shown in table 4.[Footnote 14]
Table 4: Federal Transit Administration Obligations, Fiscal Years 2004-
2008:
FTA program area[A]: Formula and bus grants[B];
Total obligations (Dollars in millions): $27,270.
FTA program area[A]: Capital investment grants/Discretionary Grants;
Total obligations (Dollars in millions): $15,978.
FTA program area[A]: Research and University Research Centers[C];
Total obligations (Dollars in millions): $421.
FTA program area[A]: Job Access and Reverse Commute[D];
Total obligations (Dollars in millions): $322.
FTA program area[A]: University Transportation Centers[E];
Total obligations (Dollars in millions): $22[F].
FTA program area[A]: Interstate Transfer-Transit;
Total obligations (Dollars in millions): $2.
FTA program area[A]: Washington Metro;
Total obligations (Dollars in millions): $1.
FTA program area[A]: Total;
Total obligations (Dollars in millions): $44,016.
Source: GAO analysis of FTA data.
[A] Obligations are presented as provided by FTA. However, according to
FTA officials, the program structure changed during the 5-year period.
Beginning in 2006, a shift occurred in Treasury accounts for certain
programs, and obligations are presented in line with the Treasury
account structure changes. For example, until fiscal year 2006, the Job
Access and Reverse Commute Program received its own allocation, but it
now falls under Formula and Bus Grants.
[B] Formula and Bus Grants was titled Formula Grants until fiscal year
2006. Obligations in the Formula Grants account are reflected in
Formula and Bus Grants.
[C] Research and University Research Centers was formerly titled
Transit Planning and Research.
[D] This program provides funding for local programs that offer job
access and reverse commute services for low-income individuals who may
live in the city core and work in suburban locations.
[E] Beginning in fiscal year 2006, University Transportation Centers
was renamed and funded from Research and University Research Centers.
[F] Includes obligations for the University Transportation Centers
program for funding fiscal years 2004 and 2005.
[End of table]
FTA provides funds for financial and technical assistance to local and
state public agencies to purchase, build, maintain, and operate
transportation systems. FTA supports planning and operations for public
transit systems, including bus, subway, and light rail. It primarily
distributes money for these purposes through its Formula and Bus Grants
and Capital Investment Grants programs. For example, one program under
Formula and Bus Grants, the Bus and Bus Facility program, provides
funding for the acquisition and replacement of buses for fleet or
service expansion, among other purposes. The capital investment grants
provide discretionary capital assistance for the construction of new
fixed-guideway (for example, commuter rail or designated bus lanes) and
extensions of existing systems through the New Starts and Small Starts
programs. Other funds support research and planning activities and are
distributed by both formula and discretionary grants. According to
statute, FTA grant programs focus on providing assistance in developing
improved public transportation equipment, facilities, techniques, and
methods as well as encouraging the planning and establishment of
areawide public transportation systems needed for economical and
desirable urban development. Federal transit program funds are
generally administered through a federal-local partnership, although
rural programs are administered at the state level.
National Highway Traffic Safety Administration: NHTSA obligated about
$3.1 billion from the HTF during fiscal years 2004 through 2008 to
support the improvement of highway safety, as shown in table 5.
Table 5: National Highway Traffic Safety Administration Obligations,
Fiscal Years 2004-2008:
NHTSA program: Highway Traffic Safety Grants: State and Community
Highway Safety Grant Programs; (formula grants);
Total obligations (Dollars in millions): $952.
NHTSA program: Highway Traffic Safety Grants: Alcohol-Impaired Driving
Countermeasures Incentive Grants;
Total obligations (Dollars in millions): $449.
NHTSA program: Highway Traffic Safety Grants: Safety Belt Performance
Grants;
Total obligations (Dollars in millions): $313.
NHTSA program: Highway Traffic Safety Grants: Occupant Protection
Incentive Grants;
Total obligations (Dollars in millions): $110.
NHTSA program: Highway Traffic Safety Grants: State Traffic Safety
Information System Improvements Grants;
Total obligations (Dollars in millions): $103.
NHTSA program: Highway Traffic Safety Grants: High Visibility
Enforcement Program;
Total obligations (Dollars in millions): $87.
NHTSA program: Highway Traffic Safety Grants: Grant Administration;
Total obligations (Dollars in millions): $83.
NHTSA program: Highway Traffic Safety Grants: Motorcyclist Safety
Grants;
Total obligations (Dollars in millions): $18.
NHTSA program: Highway Traffic Safety Grants: Child Safety and Child
Booster Seat Incentive Grants;
Total obligations (Dollars in millions): $15.
NHTSA program: Behavioral Research;
Total obligations (Dollars in millions): $488.
NHTSA program: Vehicle Safety Research[A];
Total obligations (Dollars in millions): $422.
NHTSA program: National Driver Register;
Total obligations (Dollars in millions): $19.
NHTSA program: Total;
Total obligations (Dollars in millions): $$3,059.
Source: GAO analysis of NHTSA data.
Note: Excludes an additional $125.5 million that was obligated from the
General Fund of the U.S. Treasury in fiscal year 2008.
[A] Vehicle Safety Research funds research into fuel economy and
vehicle safety compliance, among other programs.
[End of table]
The largest portion of NHTSA's federal highway safety funding during
fiscal years 2004 through 2008 was distributed by formula to states
through the State and Community Highway Safety Grant Program (also
referred to as formula grants for Highway Safety Programs). This
funding supports programs that work to reduce accidents from speeding,
encourage the proper use of seat belts and child seats, reduce
accidents from driving while intoxicated, prevent and reduce accidents
between motor vehicles and motorcycles, and improve law enforcement
services in motor vehicle accident prevention and traffic supervision,
among other things.
Other NHTSA funding supports training programs and technical assistance
for states. Federal highway safety grants are jointly administered
through a federal-state partnership and costs are shared by the states.
States that do not comply with certain federal safety provisions can be
penalized by either having FHWA program funds transferred away or
having them withheld. NHTSA also has a regulatory role in which it is
to establish and enforce safety standards for passenger vehicles in
areas such as tire safety and crashworthiness, as well as issue fuel
economy standards. NHTSA also conducts testing, inspection, analysis,
and investigations to identify noncompliance with vehicle safety
standards.
Federal Motor Carrier Safety Administration: FMCSA obligated
approximately $2.4 billion from the HTF during fiscal years 2004
through 2008 to support the improvement of commercial motor vehicle
safety, as shown in table 6.
Table 6: Federal Motor Carrier Safety Administration Obligations,
Fiscal Years 2004-2008:
FMCSA program: Safety Program Grants[A]: Motor Carrier Safety
Assistance Program Grant (MCSAP);
Total obligations (Dollars in millions): $947.
FMCSA program: Safety Program Grants[A]: Border Enforcement Grants;
Total obligations (Dollars in millions): $162.
FMCSA program: Safety Program Grants[A]: Commercial Drivers License
(CDL) Program Improvement Grant;
Total obligations (Dollars in millions): $114.
FMCSA program: Safety Program Grants[A]: Commercial Vehicle Information
Systems and Networks Deployment (CVISN);
Total obligations (Dollars in millions): $61.
FMCSA program: Safety Program Grants[A]: Performance and Registration
Information System Management Grant Program (PRISM);
Total obligations (Dollars in millions): $23.
FMCSA program: Safety Program Grants[A]: Commercial Driver's License
Information System (CDLIS);
Total obligations (Dollars in millions): $20.
FMCSA program: Safety Program Grants[A]: Commercial Vehicle Analysis
Reporting System/Safety Data Improvement Program (CVARS/SaDIP);
Total obligations (Dollars in millions): $16.
FMCSA program: Safety Program Grants[A]: Information Systems and
Strategic Safety Initiatives (ISSSI);
Total obligations (Dollars in millions): $15.
FMCSA program: Motor Carrier Safety Operations and Programs: Operating
Expenses;
Total obligations (Dollars in millions): $754.
FMCSA program: Motor Carrier Safety Operations and Programs:
Information Management;
Total obligations (Dollars in millions): $161.
FMCSA program: Motor Carrier Safety Operations and Programs: Regulatory
Development;
Total obligations (Dollars in millions): $56.
FMCSA program: Motor Carrier Safety Operations and Programs: Research
and Technology;
Total obligations (Dollars in millions): $36.
FMCSA program: Motor Carrier Safety Operations and Programs: Outreach
and Education;
Total obligations (Dollars in millions): $12.
FMCSA program: Motor Carrier Safety Operations and Programs: Commercial
Motor Vehicle Operators Grants;
Total obligations (Dollars in millions): $4.
FMCSA program: Total;
Total obligations (Dollars in millions): $2,381.
Source: GAO analysis of FMCSA data.
[A] FMCSA received a $3 million positive Revenue Aligned Budget
Authority (RABA) adjustment for its Safety Program Grants in fiscal
year 2007. RABA is designed to align Highway Account program levels
with actual revenues and help ensure that the account is used to fund
highway programs instead of accumulating large balances. See GAO,
Highway Trust Fund: Improved Solvency Mechanisms and Communication
Needed to Help Avoid Shortfalls in the Highway Account, GAO-09-316
(Washington, D.C.: Feb. 6, 2009).
[End of table]
FMCSA is charged with establishing and enforcing standards for motor
carrier vehicles and operations, hazardous materials, and movement of
household goods, among other things. Similar to NHTSA, FMCSA provides
funding to states through formula grant programs. The largest of the
federal motor carrier safety grant programs, the Motor Carrier Safety
Assistance Program (MCSAP), provides funding to states to reduce
crashes involving commercial motor vehicles and incidents involving
hazardous materials. FMCSA also conducts compliance reviews of motor
carriers' operations at their places of business as well as roadside
inspections of drivers and vehicles, and can assess a variety of
penalties including fines and orders for noncompliant motor carriers to
cease interstate operations. Federal motor carrier safety grants are
jointly administered through a federal-state partnership.
Agency Comments and Our Evaluation:
We provided the Department of Transportation with a draft of this
report for its review and comment. In response, DOT emphasized that
some activities we reported on, such as safety, planning, and
environmental activities, contribute to or are preliminary work for
highway construction. Furthermore, some programs that are not highway
related, such as adding bicycle lanes on roads or bridges; constructing
pedestrian crosswalks, overpasses, and underpasses; and historic bridge
rehabilitation, may involve some highway or bridge construction or
rehabilitation. DOT noted that several FHWA programs, as designated by
Congress, have purposes other than construction and maintenance of
highways and bridges and it believes FHWA is appropriately managing
funds to achieve the purposes of those programs. DOT also provided
technical comments, which we incorporated as appropriate.
As agreed with your offices, unless you publicly announce the contents
of this report earlier, we plan no further distribution until 30 days
from the report date. At that time, we will send copies of this report
to the Secretary of DOT and interested congressional committees. We
will also make copies available to others upon request. The report will
also be available at no charge on the GAO Web site at [hyperlink,
http://www.gao.gov].
If you or your staff have questions about this report, please contact
me at (202) 512-2834 or herrp@gao.gov. Contact points for our Office of
Congressional Relations and Public Affairs may be found on the last
page of this report. Key contributors to this report are listed in
enclosure II.
Signed by:
Phillip Herr:
Director, Physical Infrastructure:
Enclosures - 2:
[End of section]
Enclosure I: Scope and Methodology:
The objective of this report is to provide information on the amount of
Highway Trust Fund (HTF) monies that the Federal Highway Administration
(FHWA), the Federal Transit Administration (FTA), the National Highway
Traffic Safety Administration (NHTSA), and the Federal Motor Carrier
Safety Administration (FMCSA) obligated for purposes other than
construction and maintenance of highways and bridges during fiscal
years 2004 through 2008.
In this report, we use the term "purposes other than construction and
maintenance of highways and bridges" to describe projects that do not
consist of construction or maintenance work on interstate or local
roads or bridges. FTA transit projects may also involve construction
and maintenance, but not for highways and bridges. While many of the
FHWA projects included in this category may be precursors to
construction and maintenance projects, FHWA officials told us they are
reasonably confident that the data they provided us describe only the
non-construction-and-maintenance components of the overall projects.
To address our reporting objective, with assistance from officials in
FHWA's Office of Financial Management, we identified a list of 27
"improvement type" codes in the agency's Fiscal Management Information
System (FMIS) that are not related to construction and maintenance of
roads and bridges.[Footnote 15] We requested and obtained the following
data from FHWA's FMIS for the period fiscal year 2004 to fiscal year
2008: (1) cumulative obligated dollars by improvement type code, (2) a
cumulative breakdown of program spending for each improvement type, (3)
a cumulative number of total projects within each improvement type, and
(4) the total funding spent on projects under the identified
improvement types. We analyzed the data to determine the total
obligated funds and total number of projects for transportation
enhancements (12 improvement type codes) and other projects not related
to construction and maintenance of highways and bridges (the 15
remaining improvement type codes) over the 5-year period.[Footnote 16]
We also compared the obligated dollars with the total amount spent to
determine the amount of state, local, private, and other federal agency
funds dedicated to these projects. We interviewed officials from
several FHWA departments about the agency's use of Highway Trust Fund
monies for purposes other than construction and maintenance of highways
and bridges. In addition, we reviewed and reported on publicly
available information on authorizations for FHWA programs for the 5-
year period.
We requested, obtained, and analyzed FTA data on obligations for all
programs in fiscal years 2004 through 2008. FTA produced these data
from its Transportation Electronic Award and Management (TEAM) system.
We also reviewed publicly available information on FTA authorizations
for fiscal years 2004 through 2008.[Footnote 17] We requested,
obtained, and analyzed NHTSA and FMCSA data on authorizations and
obligations for all programs during the 5-year period. Both agencies
produced this data through Delphi, which is DOT's accounting system. We
interviewed officials from FTA, NHTSA, and FMCSA about the agencies'
uses of Highway Trust Fund monies for purposes other than construction
and maintenance of highways and bridges. These officials stated, and
available documents corroborated, that none of the programs under these
agencies are related to construction and maintenance of highways and
bridges. We used the FTA, NHTSA, and FMCSA data to report the total
cumulative authorizations and obligations at the agency and program
levels for fiscal years 2004 through 2008.
We also interviewed officials from FHWA, FTA, NHTSA, and FMCSA and
obtained written information from all four agencies about steps taken
to ensure the reliability of their data. We determined that the data
were sufficiently reliable for the purposes of this report.
We conducted our work from October 2008 to June 2009 in accordance with
all relevant sections of our Quality Assurance Framework. The framework
requires that we plan and perform the engagement to obtain sufficient
and appropriate evidence to meet our stated objectives and to discuss
any limitations in our work. We believe that the information and data
obtained, and the analysis conducted, provide a reasonable basis for
the findings in this report.
[End of section]
Enclosure II: GAO Contact and Staff Acknowledgments:
GAO Contact:
Phillip R. Herr, (202) 512-2834 or herrp@gao.gov.
Staff Acknowledgments:
In addition to the contact above, Sally Moino, Assistant Director;
Virginia Chanley; Eric Hudson; Lisa Reynolds; and Crystal Wesco made
key contributions to this report.
[End of section]
Related GAO Products:
Highway Trust Fund: Options for Improving Sustainability and Mechanisms
to Manage Solvency. [hyperlink,
http://www.gao.gov/products/GAO-09-845T]. Washington, D.C.: June 25,
2009.
Transportation Programs: Challenges Facing the Department of
Transportation and Congress. [hyperlink,
http://www.gao.gov/products/GAO-09-435T]. Washington, D.C.: March 10,
2009.
Highway Trust Fund: Improved Solvency Mechanisms and Communication
Needed to Help Avoid Shortfalls in the Highway Account. [hyperlink,
http://www.gao.gov/products/GAO-09-316]. Washington, D.C.: February 6,
2009.
Surface Transportation: Principles Can Guide Efforts to Restructure and
Fund Federal Programs. [hyperlink,
http://www.gao.gov/products/GAO-08-744T]. Washington, D.C.: July 10,
2008.
Physical Infrastructure: Challenges and Investment Options for the
Nation's Infrastructure. [hyperlink,
http://www.gao.gov/products/GAO-08-763T]. Washington, D.C.: May 8,
2008.
Surface Transportation: Restructured Federal Approach Needed for More
Focused, Performance-Based, and Sustainable Programs. [hyperlink,
http://www.gao.gov/products/GAO-08-400]. Washington, D.C.: March 6,
2008.
Surface Transportation: Preliminary Observations on Efforts to
Restructure Current Program. [hyperlink,
http://www.gao.gov/products/GAO-08-478T]. Washington, D.C.: February 6,
2008.
Highway Trust Fund: Overview of Highway Trust Fund Estimates.
[hyperlink, http://www.gao.gov/products/GAO-06-572T]. Washington, D.C.:
April 4, 2006.
[End of section]
Footnotes:
[1] SAFETEA-LU is the current authorization act for surface
transportation programs and will expire at the end of fiscal year 2009.
The authorization act establishes or continues federal programs or
agencies and establishes an upper limit on the amount of funds for the
programs. SAFETEA-LU also provides annual contract authority over the
authorization period for most highway programs funded through the HTF.
Contract authority is a form of budget authority that permits
obligations to be incurred in advance of appropriations. Contract
authority is unfunded, and a subsequent appropriation is needed to
liquidate, or pay, the obligations.
[2] An obligation is a definite commitment that creates a legal
liability of the government for payment. Once an obligation is made,
the federal government must reimburse the states when they submit a
voucher for completed work, which, because of the length of time it
takes to complete projects, could be months or years after the
obligation is made. See GAO, Highway Trust Fund: Improved Solvency
Mechanisms and Communication Needed to Help Avoid Shortfalls in the
Highway Account, [hyperlink, http://www.gao.gov/products/GAO-09-316]
(Washington, D.C.: Feb. 6, 2009).
[3] This period represents the fiscal year (2004) between
transportation authorization bills and the four fiscal years (2005
through 2008) under SAFETEA-LU authorization for which complete data
are available.
[4] Obligation amounts for FHWA, FTA, NHTSA, and FMCSA include funding
carried over from previous years.
[5] Obligation figures for FTA in this report are greater than total
authorizations because they reflect combined HTF monies from the
General Fund of the U.S. Treasury, and include funding carried over
from previous years and funding transferred from FHWA for transit
purposes.
[6] The 18.4 cents per gallon gasoline tax is split as follows: 15.44
cents per gallon to the Highway Account, 2.86 cents per gallon to the
Mass Transit Account, 0.1 cent per gallon to the Leaking Underground
Storage Tank Trust Fund. The Leaking Underground Storage Tank Trust
Fund is administered by the Environmental Protection Agency.
[7] The Highway Account provided $27 million for each of fiscal years
2005 through 2009 to the Research and Innovative Technology
Administration's Bureau of Transportation Statistics.
[8] GAO, Highway Trust Fund: Improved Solvency Mechanisms and
Communication Needed to Help Avoid Shortfalls in the Highway Account,
[hyperlink, http://www.gao.gov/products/GAO-09-316] (Washington, D.C.:
Feb. 6, 2009).
[9] For the purposes of the HTF, an apportionment is the distribution
of federal funds to the states as prescribed by a statutory formula
provided in law. Federal Highway Administration, Financing Federal Aid-
Highways, FHWA-PL-07-017 (Washington, D.C.: March 2007).
[10] State, local, private, and other federal agency funding
contributed another $2 billion from fiscal years 2004 through 2008 for
transportation enhancement activities.
[11] State, local, private, and other federal agency funding
contributed another $15.6 billion from fiscal years 2004 through 2008
for projects other than construction and maintenance of highways and
bridges.
[12] Because safety is a crosscutting issue and part of many types of
projects, including construction and maintenance projects, all funds
directed toward safety may not be reflected.
[13] SAFETEA-LU specifies a deduction of 1.25 percent of the funds
authorized for five different FHWA programs for metropolitan planning
organizations.
[14] According to FTA officials, the $44 billion includes monies from
the Highway Trust Fund's Mass Transit Account as well as from the
General Fund of the Treasury. Specifically, in fiscal years 2004 and
2005 FTA's programs were split funded where trust funds and general
funds were merged. Beginning in fiscal year 2006, FTA's programs were
funded either solely from general funds or trust funds.
[15] According to FHWA, "improvement type" is a required field in FMIS
that indicates the nature of work involved. For instance, each of the
12 eligible transportation enhancement activities has its own
improvement type code, as do safety, transit, planning, and all other
eligible activities under FHWA programs. Recipients may record multiple
improvement types for a single project. However, FHWA officials were
reasonably confident that the obligated dollars the agency provided
correspond specifically to the designated improvement type.
[16] FHWA officials noted that the total project count may be
overstated, since a single project may be connected to more than one
improvement type code.
[17] FTA officials told us that they only track funding sources
(general funds versus Mass Transit Account funds) at the authorization
level. Because we were not able to identify the precise amount of Mass
Transit Account monies included in obligation figures from FTA, we
present total obligations (general funds combined with Mass Transit
Account funds) in our report.
[End of section]
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