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26 CHAPTER FIVE GUIDELINES FOR ANALYSES NEEDED FOR HIGHWAY COST ALLOCATION STUDIES The first six subsections of this chapter draw heavily on the cost allocation category. A conversion matrix such as this guidelines that were prepared for the FHWA to assist states should be developed for each state from current project data in properly applying the generalized State HCAS Model to obtain an accurate and up-to-date basis for conversion of completed in 2002. It has been refined and updated as a prod- STIP expenditures into cost allocation categories. Once a uct of this HCAS synthesis project. conversion matrix of this type is developed for a state HCAS, it may be reused in subsequent studies in that state, with EXPENDITURES review and revisions as appropriate to reflect any changes in program categories or other factors that might change the The work required to prepare expenditure data is usually one matrix. of the most time-consuming and tedious tasks involved in a state HCAS. Unfortunately, there is little or no standardiza- Data are usually available in each state to develop con- tion among the states in the available databases, and, there- version matrices such as those shown in Table 11; however, fore, examples of this work from previous studies provide they are contained in a wide variety of formats. Usually they only general guidance. are project-by-project records with quantities and/or cost estimates broken down into very detailed categories. Typi- Tables 9 and 10 provide two examples of expenditure data cally, the development of a matrix such as Table 11 will in- developed by this project's study team for two different state volve careful consideration of the definition of the individual HCASs. The "construction" or "capital expenditures" line quantities and the nature of the project, and often all of these items are usually taken directly from each state's STIP or the factors are computer coded. For example, different cate- equivalent. Typically, a STIP will include officially adopted gories of concrete may be used in pavements, bridge decks, program expenditures for construction and related projects and structures; different codes may be implemented for as- for several future periods--usually five years or longer. The phalt used for new pavements, resurfacing, and pothole STIP categories typically include several highway federal- patching, and different definitions of the purpose of the proj- aid categories plus a few other categories involving little or ects can be used to distinguish these elements when other dif- no federal aid--typically minor or specialized type projects ferences in codes are inadequate. such as resurfacing, restoration, rehabilitation, and recon- struction (4R) projects; sign and signalization improvements; A matrix should also be developed for each state to con- rest area improvements; and toll facilities, buildings, and vert STIP expenditures into expenditures by highway class. other capital improvements needed for the administration of These types of matrices are somewhat more likely to change highway and other state transportation programs. over time, but are usually much easier to update from readily available project data. In general, one can expect the composition of projects within each STIP program category to have approximately Programmed expenditures should also be separated out by similar characteristics from a cost allocation perspective, but level of government for the source of funding for use in sep- to have relatively different characteristics from projects in arate analysis by level of government, as will be discussed in other program categories. For example, most 4R projects in- a separate subsection. Other expenditures are usually pro- volve very high proportions of pavement rehabilitation, but jected each year for the STIP period by each state in a very very little new pavement construction, bridge work, or grad- general manner. This is done to provide a basis for estimat- ing; most Interstate maintenance projects also involve high ing funds that will be available for highway construction and proportions of pavement rehabilitation, but they also tend to other capital expenditures after maintenance, other commit- involve more work on various other highway elements than ments, and administrative costs are subtracted from projected typical 4R projects. Most bridge projects on the other hand revenues. involve primarily bridge construction or repair, but very little pavement, grading, or other work. Typically, these non-construction expenditure projections for the STIP period must be disaggregated from one or more Table 11 provides an illustration from a state HCAS of broad categories into several categories required for cost how construction program expenditures are broken down by allocation purposes. Often, the non-construction expenditure

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27 TABLE 9 EXAMPLE OF EXPENDITURE CATEGORIES FOR STATE HIGHWAY COST ALLOCATION Expenditure Categories $ Millions Transportation Department Construction and related construction (split into program and HCA categories) 146 project development (allocate as overhead) 4 other construction related 21 Maintenance and related highway maintenance 64 maintenance related (allocate as overhead) 4 Other operational functions ports of entry operations 4 other district operations 5 non-highway capital facilities (overhead or other) 4 highway safety 1 other highway operations (overhead) 7 Public transportation urban public transportation 2 intercity rail 0 Other modes of transportation aeronautics (not to be allocated) 1 ports, inland waterways, pipelines, etc. (not to be allocated) 1 Departmental services management services to be allocated (overhead on items to be allocated above) 8 management services not to be allocated (overhead on items not to be allocated) 0 support services to be allocated (overhead on items to be allocated) 5 support services not to be allocated (overhead on items not to be allocated) 0 MVA (often separate department) heavy vehicle fee apportionment programs (allocate to heavy-vehicle VMT) 1 audit portion of motor vehicles (allocate to heavy-truck VMT) 1 regulatory and administration related to motor vehicle dealers (allocate to all vehicles) 0 other MVA (allocate to all vehicles) 1 Subtotal, transportation department 280 Department of Law Enforcement Off-highway police services (not to be allocated) 11 Highway patrol (allocate to state highway VMT) 16 Alcohol beverage control (not to be allocated) 1 Academy and training programs (allocate pro rata share to VMT) 1 Heavy vehicle weight enforcement (allocate to heavy-vehicle VMT) 0 Heavy vehicle inspection programs 0 Other Departments (overhead on appropriate items above) Attorney general services to highway agencies 1 Courts hi ghway-related functions 1 Air quality and environmental programs related to highways 0 General administrative functions (pro rata for highways) 2 Highway-user revenue collection and related enforcement 0 Local Government Assistance for Street and Highway Programs To cities (to be split as appropriate) 22 To counties and highway districts (to be split as appropriate) 51 Total 386

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28 TABLE 10 PROGRAMMED HIGHWAY-RELATED EXPENDITURES (STATE AND FEDERAL SOURCES) State Federal Sources ($ Millions) ($ Millions) State Highway Account (excluding state aid) Maintenance of state highway system 465 0 Highway operations (other non-capital) 314 0 Capital expenditures (includes project support) 4R projects 150 333 minor projects 58 0 bridge projects 91 40 transportation system management projects 34 40 major highway projects 198 173 transit and rail 203 178 Transportation Planning and Intercity Rail 42 30 Other Expenditures Related to the State Highway System Department of motor vehicles 351 0 Highway patrol (enforcement, safety, inspections) 548 0 Other agencies' highway-related expenditures 70 0 (courts, emissions control, user-revenue collection, etc.) State Aid to Local Governments Capital expenditures 378 0 Maintenance 310 0 Transportation planning, bicycle lanes, emergency repairs 88 0 All other 107 0 Federal aid to local governments 0 367 Total 3,407 1,161 TABLE 11 ILLUSTRATION OF THE CONVERSION OF A STATE'S FIVE-YEAR CONSTRUCTION PROGRAM EXPENDITURES INTO HIGHWAY COST ALLOCATION CATEGORIES Percentage Split by Cost Allocation Category for Each Program Category Replace- New Rehab. New ment Bridge Source Pavement Pavement Bridge Bridge Repair Grading Other Total Interstate Maintenance 2% 54% 0% 11% 1% 3% 29% 100% National Highway 11% 31% 1% 4% 1% 26% 26% 100% System Surface Transportation 9% 36% 0% 11% 1% 26% 17% 100% Program (STP)--State STP--Local Rural 11% 35% 0% 13% 0% 35% 6% 100% STP--Local Urban 2% 17% 0% 6% 6% 14% 55% 100% STP--Safety 0% 14% 0% 0% 0% 5% 81% 100% STP--Enhancement 9% 36% 0% 11% 1% 26% 17% 100% Congestion Mitigation 9% 36% 0% 11% 1% 26% 17% 100% and Air Quality Bridge Projects 6% 3% 0% 69% 1% 9% 12% 100% Demonstration Projects 7% 66% 7% 0% 0% 12% 8% 100% 4R Projects 5% 67% 0% 1% 6% 6% 15% 100%