LPA:136.3 Federal Aid Basics

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136.3.1 Introduction

Using federal funding for transportation projects is a complex process. This chapter describes the funding programs, processes, documents, and approvals necessary for programming and obtaining federal funds through MoDOT. If an LPA intends to seek federal funds for any phase of a project, it must be programmed as a federal-aid project from its inception; all phases of the project must be developed in compliance with federal law. Federal funds also include discretionary or demonstration funds (earmarks). Projects not programmed as federal-aid will not be processed through MoDOT or FHWA.

We encourage you to refer to the LPA Contacts to find the appropriate representative to assist you with this process.

136.3.2 Federal Aid for Local Public Agencies

Federal-aid transportation funds are authorized by Congress to assist the states and LPAs in maintaining and reconstructing roads and bridges on eligible federal-aid roadway routes and for other special purpose programs and projects. Federal funds are normally apportioned at the beginning of every federal fiscal year (October 1st). MoDOT will then allocate federal funds to each of the different federal-aid programs. All federal funds remain available for three (3) years after the close of the fiscal year in which they were authorized. Unused funds may be withdrawn by MoDOT to make other arrangements for their expenditure. This may be necessary in order to prevent loss of the funds through statutory lapse. FHWA is a reimbursable agency which means that the LPA incurs the costs initially (after receiving the FHWA authorization) and then will be reimbursed by FHWA once the proper billing/invoice is submitted by MoDOT.

136.3.3 Finding Appropriate Funds

Finding the appropriate funds for an LPA project is dependent on federal-aid eligibility requirements, which are provided for each program in EPG 136.3.8.

136.3.4 Project Selection and Programming

Projects that are being contemplated on MoDOT right of way must be reviewed and approved by the appropriate MoDOT district prior to project selection and programming.

The Federal-Aid Highway Act of 1987 provides that reports, surveys, schedules and lists or data compiled for the purpose of developing highway safety improvements shall not be admitted into evidence in federal or state courts.

Project selection and programming is dependent on program requirements and whether the LPA is located within an MPO boundary. Specific information is provided for each program in EPG 136.3.8.  

136.3.5 STIP/TIP

Federal law requires each state to develop a State Transportation Improvement Program (STIP), listing all regionally significant projects, along with their anticipated costs and funding sources that are planned for the upcoming four (4) years. The STIP is developed annually by MoDOT’s Transportation Planning Division in cooperation with other MoDOT divisions, the Metropolitan Planning Organizations (MPOs) and other affected federal, state and LPA entities. All federally funded projects must be identified in the STIP for the funding to be authorized and released for the project. MoDOT will work with all LPAs to ensure every new or current project gets listed in the STIP.

Each MPO must develop a Transportation Improvement Program (TIP) for projects that fall within their metropolitan area. MoDOT includes these TIPs by reference in their STIP. LPAs must have their road, trail and bridge projects referenced in the TIP of the MPO for their region.

For each LPA outside an MPO, the STIP will be developed in consultation between MoDOT and the LPAs with responsibility for transportation projects using MoDOT processes. Federal law also requires that MoDOT and the MPOs provide citizens, affected public agencies, representatives of transportation agency employees, representatives of users of public transit and other interested parties with a reasonable opportunity to comment on the proposed STIP and TIP.

136.3.6 Obligation of Funds

An obligation is a commitment by the federal government to reimburse MoDOT for the federal share of a project’s eligible cost. This commitment occurs at each phase of the project and prior to advancing to the next phase. Obligated funds are considered “used” and, therefore, are unavailable for other purposes even though no cash has been transferred.

Federal aid transportation projects are developed by completing work in the following distinct work phases:

1. Preliminary Engineering (PE)
2. Right of Way (ROW)
3. Utilities, if applicable
4. Construction

Each new work phase requires FHWA to: 1) approve obligation of funds, 2) authorize work in that phase to begin, and 3) MoDOT to issue a notice-to-proceed to the LPA.

It is MoDOT’s responsibility to request obligation of funds. It is FHWA’s responsibility to authorize the reimbursement of eligible expenses. When a federal authorization date for a specific phase is given, a notice-to-proceed is issued by MoDOT to the LPA. This authorization date is the day on which eligible work phase expenses can begin to be incurred.

MoDOT approval of an executed project program agreement shall not be considered a general “Notice-to-Proceed” for the entire project. The LPA must have a written Notice-to-Proceed from MoDOT prior to the performance of each new federal phase of work.

It is important to understand that the obligation of funds to the work phase does not automatically make expenses for that phase eligible for federal-aid. For project costs to remain eligible, LPAs must follow all federal and state regulations and requirements.

Any expenses incurred in a work phase prior to the authorization of federal funds will not be eligible for federal reimbursement.

136.3.7 Reasonable Progress Policy

The Reasonable Progress policy ensures the State of Missouri is getting the maximum benefit of its federal transportation funds. The policy has two objectives: (1) ensure that federal funds will be programmed for a project within one year of the funds being allocated by MoDOT; (2) ensure that once a project is programmed, it will be constructed.

TMAs with a Reasonable Progress Policy in place will be exempt from MoDOT’s Reasonable Progress Policy. However, the TMAs federal fiscal year ending balance will not be allowed to exceed a total of three years of allocation for that TMA. Any funds over the three-year allocation will be reprogrammed in the TMA area at the discretion of MoDOT and the TMA.

136.3.7.1 Procedures

The time frames shown represent maximum expected times for implementation approvals and concurrences; schedules will vary depending on project type. Actual progress towards implementation will be measured against the schedule submitted by the LPA.

 
Project Development/Implementation Schedule
Phase Maximum Cumulative Time Frame Funds Obligated?
1 Allocation of Funds 0 months No
2 Project Programming 1, 2 3 months No
3 Engineering Services Contract Approval 6 months Yes
4 Preliminary and Right of Way Plans Submittal (if applicable) 12 months Yes
5 Plans, Specifications & Estimate (PS & E) Submittal 18 months No
6 Plans, Specifications & Estimate (PS & E) Approval 20 months Yes
7 Construction Contract Award 23 months Modified
8 Final Certification/Project Closeout 3 Variable Modified (as needed)
1 The completion of the Project Programming phase is defined by submitting the approved project’s programming data form to MoDOT and the project receiving a federal project number from MoDOT.
2 The evaluation of environmental and cultural impacts on the project must begin immediately after Preliminary Engineering (PE) authorization. The LPA must submit Fig. 136.6.4 LPA Request for Environmental Review (RER) to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects as discussed in EPG 136.6 Environmental and Cultural Requirements.
3 The time lapse between construction contract award and project closeout will depend on project type. Final certifications as discussed in EPG 136.11 Local Public Agency Construction must be submitted to the appropriate MoDOT district representative 60 days after final inspection.

Exceptions to the Project Development/Implementation Schedule will be identified in agreements, as necessary.

136.3.7.2 Verification of Reasonable Progress

For all federal-aid funds, “reasonable progress” shall have been made if a project has been programmed within one year of funding allocation. Verifiable steps toward achieving reasonable progress shall include submittal of all required documents to the appropriate MoDOT district office, entering into an Engineering Services Contract (if retaining outside engineering services) and initiation of the development of preliminary plans.

The development of right of way, utility and railroad plans, if required, should be concurrent with preliminary plan development. The authorization to proceed with right of way negotiations should begin once MoDOT approves right of way plans. The award of the construction contract should occur no later than six months after the plans, specifications and estimate approval.

136.3.7.3 Progress Invoices

The LPA must submit invoices for reimbursement of costs incurred as the work progresses. The invoices may not be submitted more than once every two weeks. Progress invoices must be submitted monthly. The final invoice must be submitted within 30 days of final acceptance. The LPA may use either of the following alternate methods of seeking progress payments:

1. the LPA pays the contractor/consultant for work performed and then submits a progress invoice for reimbursement; or
2. the LPA prepares the pay estimate for work performed and monies due the contractor/consultant. This estimate is placed in line for payment under the LPA’s normal payment procedure, and at the same time, the LPA submits a progress invoice to MoDOT. If the LPA adopts this method, it must develop cash management procedures to ensure payment is made to the contractor/consultant within two (2) business days of receipt of funds from MoDOT. Failure to disburse the funds promptly will result in a violation of federal cash management provisions and may result in an interest penalty assessment against the funds.

Whichever of the above methods is used, the state will expedite reimbursement back to the LPA as quickly as possible. It is estimated that the average length of time from invoice submittal to receipt of federal reimbursement will be about 20 working days. An LPA cannot withhold or make payment to a contractor/consultant contingent upon "reimbursement" of progress invoices.

The invoice shall be based on the total incurred costs, provided that no nonparticipating costs are involved. The invoice may include material allowance, the payment for which is subject to the approval or disapproval of MoDOT.

If nonparticipating costs are involved, it will be necessary for the LPA to include on each invoice an itemization of nonparticipating charges incurred to date and to deduct them from the total incurred cost of the project. If nonparticipating costs are involved in the project but not yet paid, a statement by the LPA to that effect will suffice.

Consultant services invoices (Fig 136.4.10) must be used when submitting for reimbursement from MoDOT. This can be supplemented with Fig. 136.3.18 but is not required. For construction invoices (Fig. 136.11.14 and Fig. 136.11.15) can be used as an example invoice. A form resembling Fig 136.3.18 must accompany the construction invoice when submitting construction invoices. Items not applicable to the project may be omitted. Special items peculiar to that project should be added. See EPG 136.4 Consultant Selection and Consultant Contract Management for more information on consultant invoicing and EPG 136.11 Local Public Agency Construction for more information on construction invoicing.

Two copies of the progress invoice shall be submitted by the LPA. Invoices shall be accompanied by one copy of the supporting details indicating the units for which payment is allowed, the unit price for each item and total price for each item. MoDOT personnel may request additional documentation to support the costs billed on the progress invoice to obtain assurance that the costs are reasonable and allowable. Such documentation may include, but not be limited to, detailed engineering invoices, contractor pay estimates, expense reports, equipment usage logs, payroll information, timesheets, materials or other vendor invoices, and other documentation as needed. The LPA shall also submit two copies of a request for payment of the invoice. If the invoice is submitted on the LPA’s letterhead and signed by an authorized LPA official, the letter requesting payment may be omitted.

136.3.7.4 Prompt Payment Policy

The Prompt Payment policy ensures that LPAs make progress payments to vendors (consultants, contractors, etc.) in a timely manner as work progresses. The policy has two objectives: (1) ensure that vendors are paid within at least two months of the date on the vendor invoice; (2) ensure the LPA has adequate financial procedures in place to pay vendors in a timely manner.

136.3.7.4.1 State Law

The State of Missouri, in section 8.960 RsMO, requires public owners of public works contracts to make progress payments to the contractor on at least a monthly basis as the work progresses, or, on a lump sum basis according to the terms of the lump sum contract. The payment will be based upon monthly estimates prepared by the contractor and approved by the project architect or engineer. This requirement applies to ALL projects in Missouri whether it contains federal funds or not. This law also discusses retainage of up to five percent of the total contract, but retainage is not allowed to be automatically applied on federal aid projects without a specific project reason per EPG 136.9.4.1.2.1 Retainage. Keep in mind that federal laws supersede state laws if the project has federal funding.

136.3.7.4.2 Verification of Prompt Payment

The LPA must submit invoices for reimbursement of costs incurred as the work progresses per EPG 136.3.7.3 Progress Invoices. The invoices may not be submitted more than once every two weeks.

Progress invoices submitted to MoDOT for reimbursement more than thirty (30) calendar days after the date of the vendor invoice shall also include documentation that the vendor was paid in full for the work identified in the progress invoice. Examples of proof of payment may include a letter or e-mail from the vendor, lien waiver or copies of reimbursement checks. Reimbursement will not be made on these submittals until proof of payment is provided.

Progress invoices submitted to MoDOT for reimbursement within thirty (30) calendar days of the date on the vendor invoice will be processed for reimbursement without proof of payment to the vendor. If the LPA has not paid the vendor prior to receiving reimbursement, the LPA must pay the vendor within two (2) business days of receipt of funds from MoDOT.

136.3.7.5 Policy Enforcement

If a project falls six months behind schedule at any point in its development, without a written explanation provided by the LPA and approved by MoDOT, the LPA and/or MPO will be contacted by MoDOT requesting information as to the cause of the delays. A letter will notify the LPA of the schedule lapse and the possible implications of further delays. The LPA and/or MPO will be required to reply in writing within 30 days of the letter date as to the project status and provide a revised timeline for the project. The LPA will be allowed to reschedule a project one time after MoDOT has programmed a project. Any shifts in subsequent phases of a project caused by that rescheduling (if identified at the time of the rescheduling) will not be considered a separate change.

If a project falls one year behind the Project Development/Implementation Schedule at any phase, MoDOT will notify the LPA and/or MPO of the schedule lapse by letter. The notification will serve as a final notice, giving the LPA an opportunity to respond to the situation before MoDOT takes action. Information about the project will be submitted to MoDOT within 30 days of the letter date. The information will include:

1. Project status,
2. Current phase of project implementation, and
3. Funds obligated and spent on the project.

Actions taken by MoDOT may include removal of the project, which, per federal requirements, would require the LPA to repay any federal funds spent on the project. The MPO and MoDOT will make the ultimate decision regarding the disposition of each project.

It is not the responsibility of MoDOT to keep the LPA informed as to the status of the project. The LPA will keep MoDOT informed as to any delays and/or unforeseen conditions that may hinder the project’s progress. Failure to provide the required documentation will cause the project to be withdrawn and the funds redistributed at the discretion of MoDOT or the MPO. Federal regulations require the LPA to repay any federal funds spent on a cancelled project. The LPA would be required to repay these funds prior to the programming of any future projects. In addition, LPAs failing to fulfill the obligations as stated in the contract agreement or showing reasonable progress for any project will not be allowed to request future project funds for a minimum period of one year, and then only with the approval of MoDOT.

136.3.8 Programs

Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be approved and programmed. Programming of all projects will be initiated by the LPA by submitting a location map, Fig. 136.3.1 Programming Data Form and a scope of engineering services (if available) to MoDOT. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

The programming data form requires an estimate of total project costs for which federal participation is desired and the source of local match if applicable. LPAs located within a MPO must include the TIP Number. The LPA must also submit pictures of existing bridge structures for projects that include replacement or repair of existing bridge structures.

Warrants for traffic signals, if applicable, shall be checked by the LPA at the time program information is submitted. Installation of signals should not be programmed if current traffic conditions do not warrant as required by the Manual on Uniform Traffic Control Devices (MUTCD). All traffic signals must follow MUTCD guidelines and meet standards set by the 1990 Americans with Disabilities Act (ADA). See ADA Checklist Fig. 136.9.4.

For any project located within the urbanized limits of one of the MPOs (St. Louis, Kansas City, Columbia, Jefferson City, Joplin, St. Joseph, Cape Girardeau or Springfield), the LPA shall ensure the project is included in the Transportation Improvement Program (TIP).

After the project has been reviewed for eligibility, the LPA will be notified when they can begin preliminary engineering. MoDOT will also provide the LPA with a project number.

If any work will be performed by a Professional Licensed Engineering (PLE) consultant, approval of the contract between the LPA and the consultant must be obtained before work is eligible for federal reimbursement (refer to EPG 136.4 Consultant Selection and Consultant Contract Management). Any work performed prior to the federal obligation date will not be eligible for reimbursement. MoDOT will notify the LPA when preliminary engineering authorization has been approved. If the LPA is performing their own preliminary engineering (PE) and would like to receive federal reimbursement, a cost estimate must be submitted to MoDOT for review and approval (refer to EPG 136.3.12.3 Federal-aid Participation for In-House Services).

The LPA must submit an LPA Request for Environmental Review (RER) to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects. The RER form is used to determine the NEPA classification for the project and if any further environmental documentation is required. If the project does not qualify for a categorical exclusion (CE) classification, additional environmental documentation will be required (refer to EPG 136.6 Environmental and Cultural Requirements).

Preliminary engineering authorization will enable the LPA to receive reimbursement for charges incurred for preliminary engineering and miscellaneous right of way charges, such as title search and preliminary right of way estimates necessary to determine a proper location and design. Approvals for right of way acquisition must be acquired separately from the preliminary engineering authorization. Right of way acquisition should be in accordance with EPG 136.8 Local Public Agency Land Acquisition.

The fair market value of donated right of way (after March 1987) may be credited to the LPA's local match share. For further details regarding donated right of way, refer to EPG 136.8 Local Public Agency Land Acquisition or contact your MoDOT district representative. Refer to EPG 136.3.9 Local Match Guidelines for additional information.

136.3.8.1 Highway Bridge Program (HBP)

The FAST Act continues (without change) the MAP-21 set-aside of a share of each state’s STBG apportionment for use on bridges not on Federal-aid highways (“off-system bridges”). The amount is to be not less than 15% of the state’s FY 2009 Highway Bridge Program apportionment.

Federal funds are available to finance up to 80% of the eligible project cost, the remaining 20% must be financed using the LPAs local match funds. However, if an LPA replaces or rehabilitates an eligible bridge not on the federal aid system, utilizing their own local funds, they may receive a credit which can be applied to the local match portion of another federal aid bridge project; called a Soft Match Credit. More details for soft match credit are included in EPG 136.3.10 Bridge Soft Match Credit.

Funds are normally apportioned on or about October 1, each year. Funds are available for three years after the close of the fiscal year for which they were authorized. Unused funds may be withdrawn by MoDOT to make other arrangements for their expenditure. This is necessary in order to prevent loss of the funds through statutory lapse.

The HBP Program is intended for bridge rehabilitation and replacement and only a minimal amount of approach roadway construction is allowed. Eligible limits may include reasonable approach roadway necessary to connect to the existing road and to return the new grade to normal ground.

The funds will be administered according to the following:

1. The current transportation bill requires at least 15% of the state's total bridge appropriation in fiscal year 2009 be allocated for use on off-system bridges (BRO). The Missouri Highways and Transportation Commission approves the amount of funds allocated to this program. Off-system bridges are bridges located on roads functionally classified as a local road or street and rural minor collectors.
2. BRO funds allocated to the counties are based on the ratio of the replacement cost of the square footage of deficient bridge deck in the county to the replacement cost of the square footage of deficient bridge deck in all counties of the state. A compilation of MoDOT BRO & Soft Match Credit Balances by county is available.
3. BRO funds may be programmed by counties for future projects. If the county does not have a sufficient balance of off-system bridge funds, they may borrow up to three years of future allocations for preliminary engineering or one year of future allocation for construction costs.

There are times when exceptions will be considered; either for an emergency project or when a county receives a small allocation:

1. Emergency Project - When a bridge has fallen down or washed out and is essential for travel in the area, MoDOT will consider allowing the county to exceed its amount of available funds by more than the guidelines.
2. County Receives Small Allocation - Some counties do not receive enough allocation to reasonably finance a bridge project. Some allowance may be made for these counties to exceed the guidelines.

136.3.8.1.1 Project Eligibility and Selection

Project selection is the prerogative of the LPA. MoDOT personnel will be available to advise and assist in project estimating and selection, if desired. LPAs located within an MPO boundary are required to submit their project selection to the MPO for review and approval. The following listing includes the type of eligible bridge projects that may be selected by the LPA:

1. Replacement or full rehabilitation of eligible structures from the eligible bridge list.
2. Seismic retrofitting of deficient as well as non-deficient bridges is eligible for funding. The design of seismic improvements or retrofits shall follow applicable AASHTO and current FHWA publication guidelines. The reasonable costs of associated structural repairs, which are considered necessary or economically prudent for properly accomplishing the seismic retrofit are also considered eligible.
3. Projects involving the application of paint overcoat systems, or the complete blast cleaning and repainting of the structural steel are considered eligible. The reasonable costs of structural repairs considered necessary or economically prudent to properly accomplish the repainting or overcoat project are considered to be participating.
4. Installation of scour countermeasures to protect an existing bridge is eligible.
5. Preventive maintenance activities may be eligible for funding if the LPA has in place a systematic process such as a Bridge Management System which demonstrates the cost effectiveness of extending the service life of their bridges. This systematic process must previously have been reviewed and approved by FHWA. Preventive maintenance activities include those that preserve bridge components and extend the useful service life of the bridge. These activities would typically be performed on a bridge in good condition in order to keep it in good condition. Increasing the capacity of a structure is not considered a preventive maintenance activity. Although not all-inclusive, below are the two basic types of preventive maintenance and examples of acceptable activities:
a. Systematic Servicing Bridges on a Scheduled Basis: Generally includes cleaning decks; beam seats, beam caps and salt splash zones; cleaning drainage systems; cleaning expansion joints; cleaning and lubricating expansion bearing assemblies; sealing concrete decks or substructure elements.
b. As Needed Preventive Maintenance: Generally includes resealing expansion joints; spot painting of steel members; minor structural repairs, removing debris from channel; replace wearing surface; extending or enlarging deck drains. To be eligible for preventive maintenance funding, the LPA must establish a preventive maintenance plan and obtain approval from MoDOT.
6. Projects involving the application of calcium magnesium acetate, sodium acetate/format, or other environmentally acceptable, minimally corrosive anti-icing and de-icing compositions to a bridge are considered eligible for structures on the eligible bridge list.
The bridge to be replaced or rehabilitated must be on the eligible bridge list for funding. The eligible bridge list is compiled from the most recent submittal of Missouri’s National Bridge Inventory data to FHWA and determined by ratings whether the bridge is considered eligible for replacement (full funding) or only rehabilitation (partial funding); based on the existing inventory and inspection data. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed the new replacement structure will provide a better value than the rehabilitation of the existing structure. The proposed rehabilitation work should eliminate the items that caused the bridge to be identified as deficient unless the proposed deficient item may remain based on MoDOT’s approval. Refer to EPG 136.7.2.2 Structures for additional information.
New guidance on the eligibility of low water crossings will be coming soon.
For bridge rehabilitation and replacement projects, the bridge site will not be eligible for selection to use HBP funding if the structure was replaced or had a major rehabilitation within 10 years of the planned new construction date. The FHWA 10-year rule applies regardless of the source of funds (local, state, federal, etc.) that were used to replace or reconstruct the bridge.

136.3.8.1.2 Project Programming

Once a bridge has been selected for programming, the LPA should contact their MoDOT Representative to initiate project programming by completing a Fig. 136.3.1 Programming Data Form. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form. This form, with a letter signed by the LPA's officials requesting the project to be programmed, will initiate a series of checks by MoDOT to review eligibility.

To receive federal funding, proposed design improvements listed on the Programming Data form or TIP application must be in accordance with the guidelines and requirements of EPG 136.7.2.2 Structures.

136.3.8.2 Surface Transportation Block Grant (STBG)

Background and Funding

The FAST Act converts the long standing Surface Transportation Program (STP) into the Surface Transportation Block Grant Program (STBG). The STBG increases flexibility for states and local governments. Transportation Alternatives Program (TAP) has been combined with STBG. With TAP included in STBG, the program allows up to 50 percent of certain transportation alternatives funding sub-allocated to local areas to be used on any STP-eligible project. The STBG promotes flexibility in state and local transportation decisions and provides flexible funding to best address state and local transportation needs.

Legislation authorizes the expenditure of federal funds for highway related construction and improvements on federal-aid routes and bridges located on or off the federal aid system within the approved urban and urbanized boundaries. In MPOs designated as Transportation Management Areas (TMA), the funds may be used for projects anywhere within the metropolitan planning area. The term "urbanized area" means an area so designated by the Bureau of Census having an urban cluster population of 50,000 or more with boundaries to be fixed by responsible state and local officials in cooperation with each other and subject to approval of the Federal Highway Administration (FHWA). Such boundaries shall as a minimum encompass the entire corporate limits of the urban area.

Under the FAST Act, FHWA apportions funding as a lump sum for each state and then divides that total among apportioned programs. States are to make available obligation authority to urbanized areas with populations over 200,000. In Missouri; Kansas City, St Louis and Springfield are the only MPOs designated as TMAs.

136.3.8.2.1 STBG Eligible Activities, Set Asides and Sub-Allocations

Funds are traditionally authorized by Congress for several years under a single transportation bill, but are apportioned annually for a single year to the state. In Kansas City, Springfield and St. Louis, the distribution of funds is determined by the TMA through coordination with the LPAs within the TMA boundary.

Federal funds are available to finance up to 80% of eligible project costs. The LPA must provide the necessary matching funds. Federal funds from other federal agencies cannot be used to match STBG funds, except as defined in EPG 136.3.11 Other Federal Funding Used as Match.

The funds are administered according to the following:

1. The current transportation bill specifically designates federal funds for use within the Kansas City, Springfield and St. Louis Metropolitan Areas. These funds are referred to as "attributable funds" and are allocated by MoDOT to the respective TMAs.
2. Surface Transportation Block Grant – Attributable fund balances in excess of three years of annual allocations for Transportation Management Areas (TMAs) will lapse on September 30 of each federal fiscal year. MoDOT may implement transportation improvements within the TMA to prevent funds from lapsing.
3. Beginning in FFY 2020, TMAs will not be permitted to carry a balance (positive or negative) of $20 million.

136.3.8.2.2 Project Eligibility and Selection

For projects involving roadway improvements eligible for selection under the STBG program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Off-System Bridge funding.

Projects with improvements that utilize STBG Funds are selected by the appropriate LPA officials with the concurrence of MoDOT. LPAs located within an MPO boundary are required to submit their project selection to the MPO. STBG funding should be programmed for projects that will benefit the area within the urban cluster boundary. Prior to submitting the projects to MoDOT for programming, the LPA should submit a location sketch of the proposed project and ensure the route has the proper functional classification. For cities located within an MPO, the project must be on the TIP.

Types of projects may include new construction, reconstruction and upgrading. Projects classified as maintenance are not permitted. Resurfacing of existing streets is generally permissible, both to restore a smooth riding surface or to increase the load carrying capabilities of the street. The design of pavement rehabilitation projects shall provide a performance period of at least five years. Patching, minor pavement repairs, undersealing, etc., are permitted only as a necessary part of restoration for resurfacing.

The following listing indicates the categories of bridge improvement projects considered eligible for STBG funding:

1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from the eligible bridge list for HBP funding.
2. Seismic Retrofitting as described in EPG 136.3.8.1 Highway Bridge Program (HBP).
3. Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (HBP).
4. Complete upgrade of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in EPG 136.7.2.2 Structures. Project must address safety of both bridge railing and related approach roadway guardrail features.
5. Projects to correct identified operational and/or condition problems with any existing bridge.
6. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).
7. New bridge construction required for construction of new approved corridors of federal-aid system routes.
8. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.
9. The construction of preferential bus lanes, turnouts and loading facilities for buses and fringe and corridor transportation parking facilities. The construction of parking facilities to replace on-street parking is eligible in areas where the improvement of the street would not be possible without removing on-street parking and where insufficient off-street parking exists. Funds may be used to acquire vans for vanpool demonstration projects. However, this is permitted on a loan basis only and the funds must be repaid through user revenues.
10. The construction of bicycle trails and pedestrian walkways on the highway right of way is eligible for federal participation, either as an integral part of a construction project or as an independent project and is not subject to functional classification requirements. For further information, refer to EPG 641 Bicycle Facilities and EPG 642 Pedestrian Facilities.

For additional guidance on eligible activities for STBG funds, refer to FHWA's Fact Sheet.

136.3.8.3 Transportation Alternatives Program (TAP)

The TAP replaces the funding from pre-MAP-21 programs including Transportation Enhancements, Recreational Trails, Safe Routes to School, and Scenic Byways, wrapping them into a single funding source. The FAST Act has continued authorization of this funding for transportation alternatives projects.

Federal TAP funds are provided through the FHWA. Projects using TAP funds are eligible for reimbursement of up to 80% of allowable costs. The LPA is required to match the project with a minimum of 20%. Refer to EPG 136.3.9 Local Match Guidelines for local match guidelines for transportation alternatives projects.

Compensation for expenditures will be authorized on a cost reimbursement basis. Expenditures incurred prior to receiving a formal notice to proceed will not be eligible for reimbursement.

MoDOT distributes TAP funds outside TMA boundaries every two years (even years) through a competitive selection process. The FAST Act provides for TMAs to receive a separate allocation of TAP funding through Surface Transportation Block Grants (STBG). TMAs develop their own TAP guide and selection criteria while still adhering to federal rules outlined in the FAST Act.

136.3.8.3.1 Project Eligibility and Selection

For purposes of MoDOT administered TAP funds, which includes all rural and urbanized areas with a population less than 200,000; whether proposed as an independent project or as an element of a larger transportation project, the TAP project must be limited to a logical unit of work and be constructible as an independent project. Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. MoDOT administered TAP funds may be used for the following:

  • Construction of on-road and off-road trail facilities for pedestrians, bicyclists and other non-motorized forms of transportation, including sidewalks, bicycle infrastructure, pedestrian and bicycle signals, traffic calming techniques, lighting, and other safety-related infrastructure, and transportation projects to achieve compliance with Americans with Disabilities Act of 1990;
  • Construction of infrastructure-related projects and systems that provide safe routes for non-drivers, including children, older adults, and individuals with disabilities to access daily needs;
  • Conversion and use of abandoned railroad corridors to trails for pedestrians, bicyclists, or other non-motorized users; and
  • Construction of infrastructure-related projects to improve the ability of students to walk and bicycle to school, including sidewalk improvements, traffic calming and speed reduction improvements, pedestrian and bicycle crossing improvements, on-street bicycle facilities, off-street bicycle and pedestrian facilities, secure bicycle parking facilities, and traffic diversion improvements in the vicinity of schools.

TAP funds must be obligated for eligible projects submitted by eligible entities (see below) through a competitive process. Metropolitan Planning Organizations (MPO) must include awarded projects in their respective Transportation Improvement Program (TIP). Eligible project sponsors are defined in EPG 136.1.2.2 Project Sponsor Eligibility.

Funds available to small urban areas and rural areas will be administered by MoDOT. MoDOT, through a competitive process, selects the projects from proposed projects submitted by eligible entities.

136.3.8.3.2 Project Programming

Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), Fig. 136.3.1,Programming Data Form and a scope of engineering services (if available) to MoDOT. LPAs that are in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

136.3.8.4 Bridge Engineering Assistance Program (BEAP)

If you have any questions or comments regarding EPG 136.3.8.4 BEAP, please contact David Koenig at 573-526-0556 or by e-mail at David.Koenig@modot.mo.gov; or Jamey Laughlin at 573-526-5167 or by e-mail at James.Laughlin@modot.mo.gov; or Gabe Wolken at 573-526-4804 or by email at Gabriel.Wolken@modot.mo.gov.

The Bridge Engineering Assistance Program (BEAP) allows local public agencies to receive engineering assistance for bridges when they do not have their own engineering staff.

136.3.8.4.1 Purpose

The hydraulic and structural adequacy of bridges on the local road system is a major concern to the local public agencies of Missouri. Local public agencies should conduct effective bridge evaluations to determine priorities for maintenance, rehabilitation and replacements. Many of these local public agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct effective bridge evaluations or determine bridge maintenance and repair priorities.

As a result, the Missouri Highways and Transportation Commission has developed the BEAP program to provide Missouri’s local public agencies with the assistance necessary to complete bridge engineering studies.

The services of this program are used for bridges on local roads that are not part of the MoDOT road system, but are under the jurisdiction of local public agencies. These services are intended to evaluate the operational or structural conditions on an existing bridge, and are not intended for the development of detailed plans for new bridges. BEAP program services are not intended to duplicate services already available to local public agencies thru MoDOT district offices or Bridge Division. The consultant services provided under this program are intended to maximize the availability of professional advice or services to local public agencies. The BEAP program does not provide funding for construction or construction engineering services.

The BEAP program is generally limited to one study per bridge with the expectation that the local public agency would implement the recommendations from that study. Requests for additional studies for the same bridge typically are not approved unless the local public agency implemented the previous recommendations. If the previous recommendations were never implemented, the local public agency will need to provide a reasonable explanation as to why the previous recommendations were never implemented in order to be considered for another BEAP study. Studies for newly developed conditions on a bridge may be considered. When requesting a study, the local public agency should have the consultant address all of the operational or structural concerns that they may have for that bridge. Multiple studies on the same bridge to address issues on a “piece meal” basis will not be approved.

136.3.8.4.2 Personnel

The structural and hydraulic engineering expertise necessary to provide this assistance to the local public agencies and their political subdivision will be provided from a pool of pre-qualified engineering consultants. The consultant firms selected for the pre-qualified pool will be required to use engineering personnel having a background that includes bridge inspection, bridge design experience, familiarity with developing bridge maintenance priorities and low cost bridge improvements. (See Fig. 136.3.19, Current BEAP Consultant List).

The personnel utilized by the consultant shall be those that were identified in the consultant's proposal whenever the firm was being considered for inclusion on the pre-qualified listing. If the consultant desires to utilize personnel not included in their original proposal, they will need to obtain approval from the Bridge Division prior to using these professionals.

136.3.8.4.3 Administration

The local implementation of this program is under the immediate direction of MoDOT's District Engineer, with coordination of the statewide consultant contract and technical policy interpretation being provided by the Bridge Division. The statewide contract is normally in effect for a three year period, after which time it may either be extended for an additional year or a new solicitation completed to develop a new list of pre-approved consultants

A local public agency experiencing a bridge problem and desiring to use the services of this program need merely inform the district personnel in that particular area and/or contact an approved consultant for assistance in developing a project to address these conditions. The district's authorized representative or the local public agency will discuss the bridge problem with the consultant so that they can prepare a fee estimate and submit the BEAP Project Tracking Form for further eligibility review by the district office and Bridge Division. (For an electronic copy of this form, see Fig. 136.3.20, BEAP Project Tracking Form.)

If the project is confirmed by the Bridge Division to meet the eligibility and program cost requirements, the BEAP Project Tracking Form will be returned to the district office so they can provide the consultant with the notice to proceed. Upon completion of the consultant's evaluation of the bridge, a final copy of the report shall be sent to the local public agency, Bridge Division, and the district office. The report shall be signed and sealed by a professional engineer registered in the state of Missouri. All announcements, printings, and advertisements shall list the Missouri Department of Transportation and the Federal Highway Administration as program sponsors.

136.3.8.4.4 Funding and Authorized Costs

The services of the program are generally provided free of direct costs to requesting, eligible local public agencies in Missouri through the cooperation of the Missouri Department of Transportation and the Federal Highway Administration. However, local public agencies are expected to provide active assistance to the consultant during the project. Eligibility is based on the local public agency not having personnel with sufficient engineering expertise to conduct effective bridge evaluations and develop immediate structural repair procedures and details.

If a project is approved, the consultant selected by the local public agency will be reimbursed in accordance with the agreed upon hourly rates, overhead and fringe benefit rates, fixed profit percentage, and the direct non-salary costs as set forth in the contract. Direct non-salary costs submitted for reimbursement shall be well documented including a description of the item as well as the cost. When vehicle mileage is being submitted for reimbursement, the mileage rate used to determine the reimbursable amount must be the IRS mileage rate in effect at the time the work was performed.

Each specific BEAP project must receive prior approval from the district office and Bridge Division. This requires that the consultant submit a BEAP Project Tracking Form to the district office contact outlining the work to be performed. The BEAP Project Tracking Form shall include a total cost for the project, including personnel costs as well as direct costs. Development of the BEAP Project Tracking Form should be done based on the consultant's initial contact with the local public agency or the district office. If a project is approved, costs for travel expenses and personnel time required for one site visit during the course of the project are normally eligible for reimbursement.

The consultant shall provide the Bridge Division with an itemized invoice for their services and the Bridge Division personnel will, upon verification of the eligible charges, authorize that payment be made to the consultant. The itemized invoice should also show the signature of the consultant. Only one invoice shall be submitted for each BEAP project. Payment to the consultant for their services will be processed utilizing an electronic funds transfer.

The BEAP program is funded using Technology Transfer Assistance Program funds. The amount of funding from each of these sources may vary each year. The future availability of these funds for this program is not guaranteed.

136.3.8.4.5 General Process for a BEAP Study

The local public agency identifies a bridge problem that they desire to utilize the BEAP program for. The local public agency will either directly contact one of the consultants on the pre-approved listing to discuss the bridge problem or contact the district office for information and assistance on using this program. After being notified of the bridge problem, the consultant will fill out the BEAP Project Tracking Form and submit it electronically to the district office for review. The district office will review the proposed project and then forward it to Bridge Division for their review and approval of the study. After the notice to proceed is given, the consultant will perform the study in accordance with the information provided on the BEAP Project Tracking Form. The consultant shall submit a draft electronic copy of the report to the Bridge Division and district office for review and approval. The Bridge Division will review the report, consult with the district office as needed, and provide the consultant with feedback on any desired changes to the report. Once any changes/updates to the report have been completed, a finalized copy of the report shall be submitted to the local public agency, the district office and Bridge Division. The finalized copy of the report may be submitted electronically to all of the involved parties and shall be signed and sealed by a professional engineer registered in the state of Missouri.

After the report has been reviewed and accepted, the consultant will prepare and submit a single invoice to Bridge Division for review and approval. This invoice shall be submitted within 45 days of the completion of the project. Payments to consultants for services provided under the BEAP Program will be done electronically.

136.3.8.4.6 Local Public Agency Responsibilities

The local public agency is responsible for identifying the bridge problem that they need assistance on and initiating the request for assistance either through the consultant or through the district office. When the BEAP study involves a structure not on the National Bridge Inventory, the local public agency shall provide the consultant with some general pictures of the structure along with a location of the structure to aid them in the development of their cost proposal. The local public agency should provide any assistance needed to the consultant during the BEAP study. Examples of the types of assistance include but are not necessarily limited to traffic control, site access, and trucks or equipment for load testing. After completion of the study, the local agency should perform the work as specified in the report and then notify the district office once this work is completed.

136.3.8.4.7 Consultant Responsibilities

The services made available under this program are intended for the review of existing bridges where definite needs exist. It is anticipated these reviews can be performed in 60 or fewer total person hours per bridge. Time spent developing the proposed BEAP study will not be eligible for reimbursement. The consultant is allowed to perform BEAP studies in any part of the state. If the consultant has multiple office locations, it is expected they would utilize personnel from the office closest to the bridge site so as to minimize the travel related costs for the study, including personnel time.

The services provided by the consultant for a typical project include a single site visit to the bridge to collect information, review and analysis of conditions, and formulation of recommendations to the local public agency. The types of recommendations could include the items listed below:

1. Recommendations for repair of damaged elements of the bridge,
2. Recommendations for strengthening of deteriorated elements of the bridge,
3. Recommendations for strengthening of elements of the bridge to increase the load capacity of the bridge,
4. Recommendations for emergency repairs from flood damage,
5. Studies on the hydraulic adequacy of the bridge,
6. Recommendations on channel repair and scour mitigation or repair,
7. Recommendations on load posting limitations for the bridge,
8. Cost studies for repair or replacement alternatives for the bridge,
9. Recommendations on whether or not to close a bridge.

The services provided under the BEAP program shall not include the preparation of a complete design and plans for a replacement structure. When the consultant has recommended that a structure be closed, the consultant may provide suggestions for various alternative structure types, but the actual design of a replacement structure is beyond the normal scope of a BEAP project.

As part of a BEAP Study, the consultant may recommend low-cost bridge renovations projects, and is acceptable in this situation for the consultant to prepare conceptual engineering sketches or drawings to illustrate any recommendations for remedial action.

It is also not intended for the BEAP program to duplicate services already normally available to local public agencies through MoDOT. MoDOT currently provides bridge inspection services through the district office for local public agency owned bridges in most parts of the state. MoDOT also provides load rating services through Bridge Division for local public agency owned bridges when the information available is sufficient enough to perform a load rating analysis.

Load posting recommendations for a BEAP study are limited to considerations involving comparisons with normal state legal loads. Evaluations for special permit or other non-legal loads are not allowed as part of a BEAP study.

Determination of load postings for bridges using proof load testing is allowed under the BEAP program for concrete bridges. Proof load testing for other types of bridges is not allowed.

Whenever load rating calculations are completed as part of the scope of a BEAP study, the consultant must provide inventory and operating ratings for the HS20 design vehicle and provide a load posting recommendation for the structure. Load rating calculations must be in accordance with current MoDOT policy, as defined in the Engineering Policy Guide.

A general review of the traffic control devices and other safety measures at the bridge site should be included as part of a BEAP study. Any recommendations for changes needed in these items should be included in the BEAP report.

136.3.8.4.8 MoDOT District Responsibilities

1. Advise the local public agencies within the district of the pre-qualified list of consultants and that they may select any of the firms on this list to perform the study.

2. Assist with or provide coordination with the local public agency.

3. Provide Bridge Division advice related to the qualifications or expertise of any engineering personnel a local public agency may have on their staff.

4. Make decisions on the relevant bridge information needed for the project, and assist with collecting this information from the local public agency or from the appropriate area within MoDOT. Typical information provided for these projects includes inspection reports, location maps for the bridge, rating information, photos that are on file, and the most recent structure inventory and appraisal (SIA) sheet.

5. Assist the local public agency or consultant with developing the scope of services for the project, as needed.

6. Receive the BEAP Project Tracking Form from the consultant, and review the problem that they need assistance on and the scope of services to determine the appropriateness of the project for the BEAP program.

7. Forward the BEAP Project Tracking Form to Bridge Division for review and concurrence to move forward with the project.

8. Provide the consultant with the notice to proceed after concurrence has been received from Bridge Division.

9. In a timely manner, check with the local public agency to determine if they utilized the engineering services.

10. For structures that were closed, inspect the repairs made before the bridge is opened to traffic.

11. Review repairs that are made to verify they were done in accordance with the recommendations in the BEAP report and provide an updated SIA sheet, as appropriate.

12. If the consultant recommends closure of the bridge during the BEAP study, initiate a Critical Inspection Finding (CIF) in accordance with current practice for the non-state system.

136.3.8.4.9 MoDOT Bridge Division Responsibilities

1. Provide contract administration for the program.

2. Provide technical policy interpretation for the program.

3. Review the project scope and estimate and provide the district office with approval for the project to move forward.

4. Review the final report for conformance with the scope of services identified on the BEAP Project Tracking Form.

5. Update the approved load posting in the bridge inventory records based on the information or recommendations provided by the consultant. In situations where strengthening of a bridge is required to increase the posting, any posting changes will be delayed until information is provided to indicate the strengthening has been completed and was done in accordance with the BEAP report.

6. BEAP project invoices shall be sent directly to Bridge Division. Bridge Division will review and approve the invoices and forward them to the appropriate unit within MoDOT for electronic payment to the consultant.

136.3.8.5 Traffic Engineering Assistance Program (TEAP)

136.3.8.5.1 Introduction

The Traffic Engineering Assistance Program (TEAP) allows local public agencies (LPA) to receive engineering assistance for traffic related needs . LPAs facing a traffic safety or operational challenge can utilize the LPA On-Call Consultant List (see EPG 136.3.8.5.7 Engineering Consultants) to perform a traffic study. The LPA On-Call Consultant List is available. Typical studies may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies. The program is administered by MoDOT with funds coming from MoDOT and the LPA (see EPG 136.3.8.5.5 Funding).

136.3.8.5.2 Purpose

The safe and efficient flow of traffic and the safety of pedestrians and bicyclists can be concerns to the local public agencies of Missouri. These public agencies should conduct accurate and timely traffic studies to determine effective countermeasures for these concerns. Many local agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct expert traffic engineering studies.

As a result, the Missouri Highway and Transportation Commission (MHTC) developed TEAP to provide Missouri LPA’s with assistance to proficiently conduct traffic engineering studies.

The consultant services provided under this program are intended to maximize the availability of professional advice or services to LPAs and minimize technician and drafting time.

136.3.8.5.3 Eligibility and Project Selection

The services of this program are used for locations on public roads under the jurisdiction of LPAs but located off the state system. TEAP services are not intended to duplicate services already available to LPAs through MoDOT. If a local road adjoins the state system and is part of a TEAP application, the appropriate MoDOT District Traffic Engineer must grant approval of TEAP funds and ensure no duplication of funds. TEAP funds are not intended for design type projects but rather projects that are more geared towards an engineering study or analysis that may result in a design type project in the future. Examples of eligible projects may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies.

All TEAP project applications submitted to the MoDOT District Office are reviewed for eligibility and scored by a MoDOT review team. Scoring criteria used to rate the submitted projects are based on several factors including, but not limited to: engineering resources available to the LPA, safety, congestion, innovation, feasibility of implementing improvements, and overall value.

  • "Engineering Resources" refers to the local agency's own staffing resources. Agencies with little or no traffic engineering resources will be rated higher than agencies with their own traffic engineering resources.
  • "Safety" refers to the degree to which traffic safety is addressed via the project.
  • "Congestion" refers to the degree to which traffic congestion is addressed via the project.
  • "Innovation" refers to countermeasures being considered (roundabouts, flashing yellow arrow, j-turns, prismatic sheeting, etc.).
  • "Implementation" refers to the probability of the local agency following through with changes as a result of the project.
  • "Value" refers to the overall gain the project could offer compared to the total cost.

TEAP requirements cap the MoDOT funds applied to any project at 80% or $12,000, whichever is less. The local agency can however submit applications for projects in excess of the funding cap, but the local agency must fund the excess dollar amount. See EPG 136.3.8.5.5 Funding for more information.

136.3.8.5.4 TEAP Process and Timeline

The general process for TEAP starts in the fall of each year with a call for projects. The LPA will produce a project application (Fig. 136.3.24, TEAP Program Application) and submit it to the appropriate MoDOT District Office. MoDOT will evaluate and score each application and make a final selection. MoDOT's review team will then notify the LPA the project has been selected and enter into a Programming Agreement with the LPA. The LPA is given authorization to select a consultant from the "Traffic Engineering & TEAP" category of the LPA On-Call Consultant List. The LPA must then execute an Engineering Services Contract (see Fig. 136.4.1 Engineering Services Contract) with the consultant and give the consultant a notice to proceed. The consultant will then begin work and finish the scope and all invoicing prior to the end of the particular federal fiscal year.

136.3.8.11.4.jpg

136.3.8.5.5 Funding

Federal Highway Safety Funds (HSP), Technology Transfer (TT) Funds, and LPA Funds are used to fund the program. Payments to the consultant for the services of this program are generally provided at an 80/20 split. The HSP and TT Funds are administered by MoDOT and will provide 80% of the TEAP project cost, up to $12,000 per project. Funds from the LPA will be used for the remaining 20% of expenditures. However, if the total project cost is greater than $15,000, the LPA can pay more than 20% to complete the TEAP project if desired as shown in Example #1.

Example #1:
Total Project Cost: $20,000
Federal Funds: $20,000 x .80 = $16,000 BUT the max is $12,000
LPA: $20,000 x .20 = $4,000 (Plus the overage of $4,000 of the HSP/TT Funds) = $8,000
Example #2:
Total Project Cost: $5,000
Federal Funds: $5,000 x .80 = $4,000
LPA: $5,000 x .20 = $1,000

The HSP and TT Funds are normally available on a yearly basis from October 1 to September 30 and from July 1 to June 30, respectively.

It is the responsibility of the LPA to invoice and secure payment for the TEAP project. Invoices for 80% of the project cost should be sent to MoDOT for payment by emailing LPASubmit@modot.mo.gov or mail a hard copy invoice to:

Attn: MoDOT Design Division
TEAP
105 W Capitol Ave
Jefferson City MO 65102.

Upon verification of the eligible charges, payment may be made to the LPA. Invoices shall be submitted on Fig. 136.3.26, the TEAP Project Invoice Form. MoDOT will reimburse the LPA for 80% of the eligible charges.

The consultant will be reimbursed on a cost plus fixed fee basis with the maximum profit set at 12%. The consultant must use their most current overhead/indirect cost rate on file with MoDOT.

136.3.8.5.6 Administration

The direction of this program will be under the jurisdiction of MoDOT’s Local Program Administrator. Questions can be directed to MoDOT district staff or MoDOT Local Program staff. MoDOT’s Local Program website outlines all contact information.

136.3.8.5.7 Engineering Consultants

An LPA must choose a consultant from the LPA On-Call Consultant List – Traffic Category, to perform TEAP engineering services. The consulting firms selected from the list will be required to use engineering personnel having a background in traffic engineering with actual traffic engineering field experience on state, county or city roadway projects.

136.3.8.5.8 Responsibilities

136.3.8.5.8.1 LPA Responsibilities
Identify need
Initiate request for TEAP assistance
Choose a prequalified consultant from the Traffic Category in the LPA On-call Consultant List
Provide assistance to consultant during the course of the project (examples are traffic control, traffic counts, assisting in any physical measurements needed.)
136.3.8.5.8.2 Consultant Responsibilities

Below is a list of available consultant scopes of work. This list is not intended as a complete list and is only a suggested list of what studies a traffic engineering consultant may be called upon to perform.

Traffic Crash Analysis
Traffic Control Devices Inventory Application and Layout
Traffic Signal Progression Analysis and Design
Speed Surveys
Minor Origin and Destination Studies
Traffic Counts
Parking Supply and Demand
Capacity Analysis
Lighting Analysis
Transit Studies
ADA Transition Plan

The consultant must also submit invoices to MoDOT for payment as outlined in EPG 136.3.8.5.5 Funding.

136.3.8.5.8.3 MoDOT Responsibilities
Call for projects
Contract Administration
Review and select project applications
Confirm with the LPA the in-house expertise to provide traffic engineering.
Give notice to proceed to LPA (LPA gives NTP to consultant)
Review final report

136.3.8.6 Eastern Federal Lands Access Program (FLAP)

The Federal Lands Access Program was established to improve transportation facilities that provide access to, are adjacent to, or are located within Federal lands. The Access Program supplements state and local resources for public roads, transit systems, and other transportation facilities, with an emphasis on high-use recreation sites and economic generators. Eligible project activities include: capital improvements, enhancements, surface preservation, transit, planning, research and safety.

FLAP projects require matching funds of 20% of the total estimated project cost.

Projects are selected by a Programming Decision Committee (PDC) established in each state. The PDCs request project applications through a call for projects. The frequency of the call for projects is established by the PDC.

136.3.8.7 Transportation Investment Generating Economic Recovery (TIGER)

The Transportation Investment Generating Economic Recovery, or TIGER Discretionary Grant program, provides a unique opportunity for the DOT to invest in road, rail, transit and port projects that promise to achieve national objectives. A minimum of 20 percent of funds go to projects in rural areas.

TIGER Grants are issued by, scored and awarded through USDOT. FHWA is directly involved in the oversight during project construction and or implementation.

136.3.8.8 Congestion Mitigation and Air Quality (CMAQ)

136.3.8.8.1 Background and Funding

The CMAQ Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) to assist cities in attaining federal air quality guidelines. Funds are distributed to states based on weighted non-attainment and maintenance area population. Legislation authorizes the expenditure of CMAQ funds on projects with a documented emissions reduction associated with them and are available for use only in non-attainment and maintenance areas, or as determined by federal law for ozone and particulate matter pollution. In Missouri, the CMAQ Program is limited to the Kansas City and St. Louis metropolitan areas. Typical activities include revisions and installation of traffic signals, signal timing optimizations, developing transportation management systems, public transportation facilities, and activities to encourage car pooling and van pooling.

136.3.8.8.2 Project Eligibility and Selection

Projects eligible for selection using CMAQ funds must indicate the project will have a demonstrated effect on reducing emissions.

Projects for improvements that utilize CMAQ funds are requested by the appropriate LPA officials, submitted to the MPO for selection, and if selected, added to the TIP.

For additional guidance on eligible activities for CMAQ funds, refer to FHWA's MAP-21 Fact Sheet.

136.3.8.8.3 Project Programming

136.3.8.8.3.1 Roadway Type Projects

Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), Fig. 136.3.1,Programming Data Form and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of EPG 136.7.2.2 Structures.

136.3.8.8.3.2 Non-Infrastructure Projects

Prior to the purchase of any item or charging any work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting a copy of the TIP application to MoDOT.

MoDOT will notify the LPA when project authorization has been obtained. Any work performed before the federal authorization date will not be eligible for reimbursement. If any work is to be performed by a consultant, it will also be necessary to obtain approval of the contract between the LPA and consultant before this work is eligible. Refer to EPG 136.5 Non-Infrastructure for requirements on projects that do not involve physical construction of transportation facilities.

The LPA must submit Fig. 136.5.5, LPA Request for Environmental Services - Non-Infrastructure (RER) to the MoDOT district contact within 60 days of project authorization for all federal-aid projects. The RER form is used to determine the NEPA classification for the project and if any further environmental documentation is required. If the project does not qualify for a categorical exclusion (CE) classification, additional environmental documentation is required (refer to EPG 136.6 Environmental and Cultural Requirements).

136.3.8.9 Multimodal Programs

The MoDOT Multimodal Operations is responsible for supporting alternative transportation programs within the state. These programs aim to advance the strategic planning and implementation for aviation, rail, transit, waterways and freight development.

136.3.8.9.1 Aviation

MoDOT administers federal and state funding for airport maintenance and capital improvements. Financial assistance is available through state and federal programs. Visit MoDOT Aviation for additional information about aviation programs.

136.3.8.9.2 Freight

MoDOT’s Freight Enhancement Program is focused on improving and maintaining the high priority freight assets and corridors that are critical to the movement of freight into, out of, and through Missouri. To learn more, visit Missouri’s Freight program online.

136.3.8.9.3 Rail

The Railroad Section of the Multimodal Division partners with Amtrak and works to improve railroad safety. They oversee public highway-railroad crossings, and inspection of railroad infrastructure as it relates to track , grade crossing signals and operating practices of each railroad. To learn more about the railroad program at MoDOT, contact Multimodal Rail Division.

136.3.8.9.4 Transit

MoDOT’s Transit Section provides financial and technical assistance to public transit and specialized mobility providers statewide. There are state and federal funding programs available for transit agencies. For a full list of funding opportunities, visit MoDOT’s Transit website.

136.3.8.9.5 Waterways

MoDOT’s Waterways Section assists authorized cities and counties in forming port authorities to foster local economic development. MoDOT assists in the development of port authorities through the distribution of capital and administrative funding while championing the efficiencies of waterborne transportation to industry and the general public. To learn more, visit MoDOT’s Waterways website.

136.3.8.9.6 Bike-Pedestrian

The Missouri Highways and Transportation Commission approved the creation of the Bicycle and Pedestrian Advisory Committee in 1998. The committee members represent constituencies from across Missouri, including various divisions and districts of MoDOT, other state agencies, Metropolitan Planning Organizations (MPO), local governments and bicycle and pedestrian advocacy groups. There are numerous funding opportunities through Surface Transportation Block Grant (STBG) for bike and pedestrian accommodations either as independent projects or as part of a larger traditional roadway improvement. See EPG 136.3.8.1 Highway Bridge Program for additional information about funding opportunities.

136.3.8.10 Scenic Byways

136.3.8.10.1 Background and Funding

The National Scenic Byways Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). Funds were distributed to states based on competitive applications. Scenic Byways funds were available for projects on routes designated as state scenic byways.

MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The Transportation Alternatives Program includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways. The FAST Act signed in 2015 consolidated TAP into Surface Transportation Block Grant. (See EPG 136.3.8.1 Highway Bridge Program). Scenic Byways may still qualify under TAP (See the latest funding application for eligible funding opportunities.) .

136.3.8.10.2 Project Eligibility and Selection

Typical project activities include, but are not limited to, safety improvements; construction of facilities for use of pedestrians and bicyclists, such as rest areas, turnouts, overlooks and interpretive facilities; access improvements to recreational areas; protection of historical and cultural resources; tourist information and marketing plans. For additional information on the Scenic Byway program, please visit https://www.modot.org/scenic-byways. Table 136.3.8.8.2 lists the approved Missouri Scenic Byways.

Table 136.3.8.10.2 Approved Missouri Scenic Byways
Name of Scenic Byway
Cliff Drive
Crowley's Ridge Parkway
Historic Route 66 Byway
Little Dixie Highway of the Great River Road
Old Trails Road
Ozark Mountain High Road
Ozark Mountain Parkway
Sho-Me Santa Fe Trail
Spirit of Kansas City
Stars and Stripes Historical/Cultural Byway

136.3.8.10.3 Project Programming

For information on the programming of a Scenic Byway project, please visit https://www.modot.org/scenic-byways.

136.3.8.11 Earmarks/Discretionary (Federal Awards)

136.3.8.11.1 Background and Funding

The current transportation act includes funding for Earmarks / Discretionary Programs. Some funds are subject to obligation limitation which limits the amount funds available for the project.

136.3.8.11.2 Project Eligibility and Selection

Funding is allocated by project annually via a competitive application process. Additional information can be found at http://www.fhwa.dot.gov/discretionary/.

136.3.8.11.3 Project Programming

For information on the programming of an Earmarks / Discretionary project, please contact your MoDOT district representative.

136.3.8.12 Discontinued Programs

The list of programs that follows have been discontinued either by the direction of the Missouri Highways and Transportation Commission or because they are no longer available through the FAST Act Transportation Bill. Some of these programs have been consolidated into the Surface Transportation Block Grant (STBG). LPAs who are current recipients of these funds shall follow the guidelines as prescribed when the funds were awarded.

136.3.8.12.1 Surface Transportation (STP) Small Urban

On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the Small Urban Surface Transportation Program (STP-SU). The STP-SU program has not been required by a federal transportation bill since 1991. The MHTC decided to discontinue funding of this program in fiscal year 2017.

The last allocation of STP-SU program funds has been allocated in fiscal year 2016. MoDOT will honor previous project commitments and allow cities three years to use existing balances. LPAs will have until September 30, 2019 to obligate any remaining balance. No federal obligations will be allowed after September 30, 2019 including but not limited to change orders, award adjustments or any other project related activities. Reimbursements of expenditures are eligible after September 30, 2019 as long as the funds have been obligated. Any remaining unobligated balances will be redirected to MoDOT’s STIP after September 30, 2019.

The information that follows for STP-SU is applicable for remaining balances through September 30, 2019

136.3.8.12.1.1 Background and Funding

The STP-Urban Program has been authorized for all cities with a population of over 5,000 beginning with Fiscal Year 1974 till 2016 when the program was discontinued. The term "urbanized area" means an area so designated by the Bureau of Census having an urban cluster population of 50,000 or more with boundaries to be fixed by responsible state and local officials in cooperation with each other and subject to approval of the Federal Highway Administration (FHWA). Such boundaries shall as a minimum encompass the entire corporate limits of the urban area.

Federal funds are available to finance up to 80% of eligible project costs. It will be necessary for the LPA to provide the necessary matching funds. Federal funds from other federal agencies cannot be used to match STP-Urban funds, except as defined in EPG 136.3.11 Other Federal Funding Used as Match.

The funds will be administered according to the following:

A share of the STP-Urban funds is allocated to cities. These funds are referred to as "non-attributable funds". The Missouri Highways and Transportation Commission approves the amount of STP-Urban funds allocated to this program. These funds will be available to the various recipients on a first-ready, first-served basis with the amount available to any city being up to the total amount estimated to receive during the current Transportation bill, provided statewide balances permit.
136.3.8.12.1.2 Project Eligibility and Selection

For projects involving roadway improvements to be eligible for selection under the STP-Urban program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Highway Bridge Program (HBP) funding.

Projects for improvements that utilize STP-Urban Funds are selected by the appropriate LPA officials with the concurrence of MoDOT. LPAs located within an MPO boundary are required to submit their project selection to the MPO. STP-Urban funding should be programmed for projects that benefit the area within the urban cluster boundary.

Prior to submitting the projects to MoDOT for programming, the LPA should submit a location sketch of the proposed project and ensure the route has the proper functional classification. For cities that are part of a MPO, the project must be on the TIP.

Types of projects may include new construction, reconstruction and upgrading. Projects classified as maintenance are not permitted. Resurfacing of existing streets is generally permissible, both to restore a smooth riding surface or to increase the load carrying capabilities of the street. The design of pavement rehabilitation projects shall provide a performance period of at least five years. Patching, minor pavement repairs, undersealing, etc., are permitted only as a necessary part of restoration for resurfacing.

The following list indicates the categories of bridge improvement projects considered eligible for selection of STP-Urban funding:

1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from MoDOT's eligible list for HBP funding.
2. Seismic Retrofitting as described in EPG 136.3.8.1 Highway Bridge Program (BRO & BRM). Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (BRO & BRM).
3. Complete upgrading of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in EPG 136.7.2.2 Structures. Project must address safety of both bridge railing and related approach roadway guardrail features.
4. Projects to correct identified operational and/or condition problems with any existing bridge are generally eligible.
5. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).
6. New bridge construction required for construction of new approved corridors of federal-aid system routes.
7. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.

STP-Urban funds may be used for the construction of preferential bus lanes, turnouts and loading facilities for buses and fringe and corridor transportation parking facilities. The construction of parking facilities to replace on-street parking is eligible in areas where the improvement of the street would not be possible without removing on-street parking and where insufficient off-street parking exists. Funds may be used to acquire vans for vanpool demonstration projects. However, this is permitted on a loan basis only and the funds must be repaid through user revenues.

The construction of bicycle trails and pedestrian walkways on the highway right of way is eligible for federal participation, either as an integral part of a construction project or as an independent project. For further information, refer to EPG 641 Bicycle Facilities and EPG 642 Pedestrian Facilities.

136.3.8.12.1.3 Project Programming

Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), Fig. 136.3.1,Programming Data Form and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of EPG 136.7.2.2 Structures.

136.3.8.12.2 Highway Bridge Program On-System Bridge (BRM)

On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the On-system Bridge Program (BRM). The BRM program is not required under the FAST Act and as a result the MHTC discontinued funding of this program in fiscal year 2017.

Large Urban Program

The BRM program funds the replacement or rehabilitation of deficient bridges located on roads functionally classified as urban collectors, rural major collectors and arterials. The MHTC had allocated monies from the STBG funds annually to the Transportation Management areas of Kansas City, St Louis and Springfield for BRM. The funds were distributed based on the ratio of replacement cost of the square footage of deficient bridge deck in the TMA to the replacement cost of the square footage of deficient bridge deck in all TMAs of the State.

Small Urban Program

The MHTC had allocated STBG funds annually for urban clusters (small cities) with a population between 5,000 and 200,000. A statewide competitive process is used to select projects located in small cities.

The last allocation of BRM program funds has been allocated for fiscal year 2016. MoDOT will honor previous project commitments and allow cities three years to use existing balances. LPAs will have until September 30, 2019 to obligate any remaining balance. No federal obligations will be allowed after September 30, 2019 including but not limited to change orders, award adjustments or any other project related activities. Reimbursements of expenditures are eligible after September 30, 2019 so long as the funds have been obligated. Any remaining unobligated balances will be redirected to MoDOT’s STIP after September 30, 2019.

LPAs shall follow EPG 136.3.8.1 Highway Bridge Program (BRO & BRM) guidelines when implementing remaining BRM project funds.

136.3.8.12.3 Transportation Alternatives Program (TAP)

136.3.8.12.3.1 Background and Funding

MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The TAP replaces the funding from pre-MAP-21 programs including Transportation Enhancements, Recreational Trails, Safe Routes to School, and Scenic Byways, wrapping them into a single funding source.

Transportation alternative activities can be stand-alone projects or can be implemented as part of an on-going transportation project. Up to 80% of a transportation alternatives project can be financed with federal TAP funds. The LPA is required to match the project with at least 20%. Refer to EPG 136.3.9 Local Match Guidelines for local match guidelines for transportation alternatives projects.

TAP has been consolidated under Surface Transportation Block Grant (STBG) under the FAST Act. Please reference EPG 136.3.8.12.3.2 Project Eligibility and Selection for current transportation alternative guidance.

136.3.8.12.3.2 Project Eligibility and Selection

Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. Transportation alternatives funds may be used for the following:

  • Construction, planning and design of on-road and off-road trail facilities for pedestrians, bicyclists and other non-motorized forms of transportation.
  • Construction, planning and design of infrastructure-related projects and systems that will provide safe routes for non-drivers, including children, older adults and individuals with disabilities to access daily needs.
  • Conversion and use of abandoned railroad corridors for trails for pedestrians, bicyclists or other non-motorized transportation users.
  • Construction of turnouts, overlooks and viewing areas.
  • Community improvement activities, including:
• inventory, control, or removal of outdoor advertising;
• historic preservation and rehabilitation of historic transportation facilities;
• vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, and provide erosion control; and
• archaeological activities relating to impacts from implementation of a transportation project eligible under 23 USC.
  • Any environmental mitigation activity, including pollution prevention and pollution abatement activities and mitigation to:
• address stormwater management, control and water pollution prevention or abatement related to highway construction or due to highway runoff; or
• reduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats.

In addition to defined Transportation Alternatives (as described above), the following projects or activities are eligible:

  • The recreational trails program.
  • The safe routes to school program.
  • Planning, designing or constructing boulevards and other roadways largely in the right-of-way of former Interstate System routes or other divided highways.

Workforce development, training and education activities are also eligible uses of TAP funds.

In general, TAP funds are administered by MoDOT. TAP funds must be obligated for eligible projects submitted by eligible entities (see below) through a competitive process. Funds suballocated to urbanized areas over 200,000 must be on the Metropolitan Planning Organization (MPO) Transportation Improvement Program (TIP). The MPO, through a competitive process, selects the projects in consultation with MoDOT from proposed projects submitted by eligible entities. Funds suballocated to small urban areas and rural areas will be administered by MoDOT. MoDOT, through a competitive process, selects the projects from proposed projects submitted by eligible entities.

Eligible project sponsors are defined in EPG 136.1.2.2 Project Sponsor Eligibility.

136.3.8.12.3.3 Project Programming

For information on the programming of a Transportation Alternatives project please refer to Transportation Alternatives Program (TAP) Guidance.

136.3.8.12.4 Transportation Enhancement (TE)

136.3.8.12.4.1 Background and Funding

The STP-Enhancement Program began in in 1992 with the passage of Intermodal Surface Transportation Efficiency Act (ISTEA) and was continued, with few adjustments, through SAFETEA-LU till 2012. The TE program offered states different options to enhance their transportation system. All levels of government had the opportunity to plan and develop intermodal transportation systems (various forms of transportation that are integrated and interconnected) tailored to their specific needs. Federal requirements concerning STP Enhancements are quite extensive. For information on the selection and programming of a Transportation Enhancement project, please contact your local MoDOT representative. At least 10% of the Surface Transportation Program funds were allocated towards transportation enhancement activities.

Transportation enhancement activities can be stand-alone projects or can be implemented as part of an on-going transportation project. In either case, the project must relate to the intermodal transportation system in terms of function, proximity, or impact. For example, an independent bike path is a functional component of the intermodal transportation system. Removal of outdoor advertising within an individual’s view of a highway is justified in light of its proximity. Retrofitting an existing highway by creating a wetland to filter runoff from the highway would qualify based on the impact of the highway in terms of water pollution.

Up to 80% of a transportation enhancement project can be financed with federal STP funds. The LPA is required to match the project with at least 20%. Refer to EPG 136.3.9 Local Match Guidelines for local match guidelines for enhancement projects.

MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The Transportation Alternatives Program (TAP) includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways.

No new TE funds are being programed. Any LPA currently working on a TE project shall follow the rules applicable at the time funds were awarded.

136.3.8.12.4.2 Project Eligibility and Selection

Enhancement projects are over and above what is considered routine construction or maintenance. Transportation enhancement funds may be used in the following categories:

1. Pedestrian and bicycle facilities.
2. Pedestrian and bicycle safety and education activities.
3. Acquisition of scenic easements and scenic or historic sites including historic battlefields.
4. Scenic or historic highway programs including the provision of tourist and welcome center facilities.
5. Landscaping and other scenic beautification.
6. Historic preservation.
7. Rehabilitation and operation of historic transportation buildings, structures, or facilities including historic railroad facilities and canals.
8. Preservation of abandoned railroad corridors including the conversion and use thereof for pedestrian or bicycle trails.
9. Control and removal of outdoor advertising.
10. Archaeological planning and research.
11. Mitigation of water pollution due to highway runoff or reduce vehicle-caused wildlife mortality while maintaining habitat connectivity.
12. Establishment of transportation museums.

Renovation work utilizing STP Transportation Enhancement funds for bridges on a public road open to vehicular traffic upon project completion are expected to follow the submittal processes for bridge rehabilitations. For information on the eligibility and selection of a Transportation Enhancement project please contact your local MoDOT representative.

136.3.8.12.5 Safe Routes to School (SRTS)

136.3.8.12.5.1 Background and Funding

The federal-aid Safe Routes to School Program (SRTS) was created by SAFETEA-LU. Funds were distributed to states based on total school enrollment in primary and middle schools (grades K-8). The funds were available for infrastructure and non-infrastructure projects that benefit elementary and middle school children.

MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The Transportation Alternatives Program includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways.

136.3.8.12.5.2 Project Eligibility and Selection

Typical infrastructure project activities include but are not limited to construction or replacement of sidewalks and cross walks or traffic flow modifications. Non-infrastructure projects may be educational activities to teach community members the rules and regulations of biking or walking in or with traffic as well as local law enforcement monitoring around the school. For information on the eligibility and selection of a SRTS project, please contact your local MoDOT representative.

136.3.8.12.5.3 Project Programming

MoDOT is not programing designated SRTS funding at this time. SRTS activities have been consolidated into STBG under the FAST Act. For information on the programming of an SRTS project, please contact your local MoDOT representative.

136.3.9 Local Match Guidelines

Federally participating projects require LPAs to match costs of the project, generally at the pro rata share established for the program. LPAs can use a variety of funding methods for local match, including cash, donations and soft match. Eligible donations may be applied only to the project on which the donation was made. Donations cannot be used to revise matching shares on unrelated projects. At no time may the federal share of costs exceed the total project costs actually incurred. For right of way or other real property to be eligible as match, it must be or have been acquired within the requirements set forth in the parameters of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (Uniform Act) of the Code of Federal Regulations, regardless of the date of acquisition. Guidelines for determining local match amounts are as follows:

As described in EPG 136.3.10 Bridge Soft Match Credit, credit can be received for locally funded bridge replacement or rehabilitation projects. This credit, referred to as soft match credit, may be applied to the LPA’s share of costs on Off-System Bridge Replacement and Rehabilitation Program (BRO) and On-System Bridge Replacement and Rehabilitation Program (BRM) projects. This soft match credit cannot be used as part of the local match for STP Enhancement, STP-Urban, CMAQ or other federal projects.

Donated Services. The fair market value of donated funds, materials or services (i.e., labor) donated from private third parties to the LPA are eligible for credit against match. Third parties may include an individual, company, association, etc., but do not include a federal, state or local government agency. Donations are applied at the pro rata share percent established for the project. Donations must be made after the project is programmed and no later than concurrence in award. In addition, all donated services and materials must meet the eligibility requirements of the project. Donations must be documented and records maintained to show how the values placed on materials and services were derived. Volunteer services must be supported by time sheets, time cards or other records. The value of volunteer time should be consistent with the guidelines published by the nonprofit organization Independent Sector.

The fair market value of local government funds, materials, or services performed by local government employees, may be applied to a project. The local government must maintain documentation that is adequate to support the costs being claimed. This documentation should include, but not be limited to vendor invoices, time sheets, time cards or other records.

Right of way property may be donated by a private third party or state or local government agency. Donations from a state or local government agency can only be accepted after June 9, 1998. Donated property is applied at the same pro rata share percent established for the project. The donation must be appraised to determine the fair market value. Donated property must be incorporated into the project and cannot influence the environmental assessment.

Credit for donations of funds, materials, services or real property must be approved by MoDOT and FHWA in order to secure funding. Donations made to the project as match must be applied no later than concurrence in award. Once credits toward local match have been established and approved, they cannot be changed. Credits toward local match must be approved prior to the execution of the work.

136.3.10 Bridge Soft Match Credit

136.3.10.1 Background

Federal regulations originating in Section 123(e) of the 1987 Surface Transportation and Uniform Relocation Assistance Act (STURAA) provides that agencies (state, county, or city) may receive soft match credit for the cost of a locally funded bridge replacement or rehabilitation that would count toward the local match on federally funded bridge replacement projects. It is not the intent of the program to give credit for all bridge work that is done by the LPA, but only for the eligible replacement and rehabilitation work which is performed according to the appropriate guidelines.

The bridge being replaced or rehabilitated for which the agency desires credit must meet the contractual requirements of the LPA and the MoDOT intent of the Highway Bridge Program (HBP).

One of the objectives of the Bridge Soft Match Credit Program is to provide an alternate process for LPAs to remove deficient bridges from the Bridge Inventory. A number of requirements that would apply to projects receiving HBP funding are waived in the Soft Match Credit Program. These exceptions are highlighted in bold print in this article. The federal contract requirements may be waived, but all state and local contract requirements shall still be met. Projects may be constructed by qualified LPA forces, competitive bid, or negotiated bid. (Refer to EPG 136.3.12 Federal-aid Participation for Local Work for information regarding work by local forces.)

The design drawings shall be prepared under the direction of a registered professional engineer and be signed and sealed by that engineer. By signing and sealing the drawings, the engineer of record will be representing that the MoDOT intent of the HBP has been met in accordance with the criteria set forth in EPG 136.1.6.1 Highway Bridge Program. A registered professional engineer shall direct the construction inspection.

136.3.10.2 Project Eligibility

To be eligible for credit, the bridge that is being submitted must meet all of the requirements listed below.

1. The bridge must have been on MoDOT’s list of structures that were eligible for federal bridge funds for the year that the bridge was built.
2. The bridge must be on a route with a functional classification of rural local, urban local or rural minor collector.
3. Submittal of a Soft Match Credit Pre-Approval Form (Fig. 136.3.28) to the District and notification of approval prior to work commencing. This form is used to determine structure eligibility and funding source eligibility. Upon receipt of the Soft Match Credit Pre-Approval Form from the LPA, the District will submit this form to SMCpreapproval@modot.mo.gov for review.

Projects involving the removal of an existing eligible bridge that is replaced with something other than a new bridge may be eligible for credit. An example of an eligible project meeting this criteria would be the replacement of a bridge over an abandoned railroad with roadway fill. An example of a project that would not be considered eligible would be the replacement of an eligible bridge with a low water crossing. If scenarios other than these two are proposed by an LPA, the district should consult with Bridge Division in the Central Office for assistance in determining eligibility.

Projects involving the replacement of an existing eligible bridge with a bridge that is less than twenty feet in length are typically eligible for credit. Under this scenario, some of the deliverables required in a normal credit submittal may be waived. The District should consult with Bridge Division in the Central Office to determine what deliverables are needed and to confirm eligibility.

136.3.10.3 Eligible Costs for Bridge Soft Match Credit

An agency may receive credit for no more than 80% of the eligible costs. The items that are eligible for receiving credit include preliminary engineering services, surveys, environmental and cultural documentation, subsurface investigations, right of way services, bridge construction, minimal road construction, construction engineering for inspection, and those portions of utility relocation costs for which the county is obligated.

The following federal funds from other federal agencies may be used on credit projects but only up to a maximum of 20% of the eligible costs.

1. Community Development Block Grant Funds if authorized by the Department of Housing and Urban Development
2. Local Public Works Funds authorized by the Economic Development Administration.

Any federal funds above this 20% will reduce the costs eligible for credit.

Only a minimal amount of approach roadway work may be counted. Eligible limits may include reasonable approach roadway necessary to connect to the existing road and to return the new grade to normal ground. This corresponds to the eligible limits of HBP projects authorized to date.

136.3.10.4 Final Design

On projects for which credit is desired, the engineer of record shall have the responsibility for the selection of the specific design parameters along with verifying that the MoDOT intent of the Highway Bridge Program (HBP) is being met as described and given in EPG 136.1 General and EPG 136.7.2.2.5 Preliminary Design.

The engineer of record is also responsible for providing certification that the following requirements have either been met or are not applicable to the project.

1. Applicable federal clearances and permits have been obtained as outlined in EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations.
2. Applicable state clearances and permits have been obtained as outlined in EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations.
3. Coordination was done with local utilities when the project involved the disturbance or relocation of utilities.
4. Coordination was done with railroads when the project involved structures over railroads.
5. Coordination was done with local levee and drainage districts when the project involved the disturbance of drainage or flood control structures under the control of these local districts.
6. New bridge cannot be scour critical.

The specifications and job special provisions for the project shall also be determined by the engineer based on specific site conditions and guidance given in EPG 136.7.2.2 Structures.

A preconstruction itemized engineer's cost estimate is required to be retained by the engineer with the project file. This estimate will be based either on the local forces constructing the project or on a contractor constructing the project.

136.3.10.5 Construction Letting

The Federal Aid contract requirements of EPG 136.10 Advertisement for Bid and Project Award are not required. When the LPA elects to build the project by contractor, then the State and Local requirements for competitive bidding shall be used.

136.3.10.6 Construction

The federal requirements for construction in EPG 136.11 Local Public Agency Construction may be waived. The construction inspection, testing and sampling shall be done under the direction of a registered professional engineer.

136.3.10.7 Request for Credit Submittal

Requests for Bridge Soft Match Credit on a bridge project are submitted after the bridge has been built and opened to traffic. Submittal at the PS&E stage of the project is not necessary. However, if the engineer of record or the LPA has specific eligibility questions regarding the project that they would like MoDOT to address before construction, then contact MoDOT’s Bridge Division. Specific questions should be provided by the engineer of record or the LPA on their cover letter with the submitted package.

The LPA should send the Bridge Soft Match Credit submittal package to the local district office of MoDOT. This submittal package shall include a cover letter that provides the information and certifications listed in EPG 136.3.10.7.1 as well as the project deliverables listed in EPG 136.3.10.7.2. After this package is reviewed by the district office, it will be submitted along with the additional required information provided by the district office to Bridge Division at the Central Office. The MoDOT files for Bridge Soft Match Credit projects, at a minimum will be required to have the documentation as outlined in the checklist provided in Fig. 136.3.4. The district can utilize this checklist as a means to verify that all required information has been obtained prior to submittal of the Bridge Soft Match Credit package to Bridge Division. A copy of this checklist should be included with the submittal package to Bridge Division.

136.3.10.7.1 Information/Certifications on LPA Cover Letter

1. The cover letter should indicate the beginning date and the completion date for the construction on the credit project.
2. The LPA shall certify that the project is non-controversial. For the purpose of the Bridge Soft Match Credit program, “non-controversial” will be defined as meaning that the project does not have a history of litigation, disputes, negative media reports or any other controversy.
3. The LPA shall certify that the project has been built in accordance with the standards applicable to the Highway Bridge Program (HBP), except as noted in EPG 136.10 Advertisement for Bid and Project Award, and that the project was constructed substantially in conformity with the plans and specifications.
4. The LPA or the engineer of record shall provide certification that the costs claimed for the project, provided as a deliverable in EPG 136.3.10.7.2, are the actual costs incurred for the project.

136.3.10.7.2 Deliverables Provided by LPA

1. As built plans and specifications (size 11 in. x 17 in.), signed and sealed by the engineer of record and approved by the LPA. Refer to EPG 136.7.2.2.6.2 Plan Information for specific requirements.
2. Structural Inventory and Appraisal sheet (SI&A), completed for the project bridge and signed and sealed by the engineer of record. Refer to EPG 136.7.2.2.6.3 Structure Inventory and Appraisal Sheet for specific requirements.
3. Load rating calculations including a load rating summary sheet, signed and sealed by the engineer of record. Refer to EPG 136.7.2.2.6.4 Load Ratings for specific requirements.
4. The LPA shall provide documentation of the eligible final costs for the credit project. When the quantities documented for costs do not match the list of quantities as compared to the engineer’s pre-construction itemized cost estimate, the LPA shall submit justification for the changes in the planned quantities. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to that which will not exceed the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed that the new replacement structure will provide a better value than the rehabilitation of the existing structure.
5. Certification from the engineer of record that the applicable requirements as discussed in EPG 136.3.10.4 Final Design have been met. The engineer of record can satisfy this requirement by submitting a letter listing the applicable requirements from EPG 136.3.10.7 and indicating that the appropriate clearances and permits were obtained.
6. Photographs of the as built bridge including, at a minimum, a view of the bridge along the roadway and a profile view of the bridge from the stream. Photographs of the bridge during construction are also encouraged, but are not required as part of the credit submittal.

136.3.10.7.3 Information Provided by the District

The district office will be responsible for providing the additional information needed to complete a Bridge Soft Match Credit submittal. The additional items required are shown below and are completed after the district has been notified by the LPA that construction has been completed on the project.

1. A final “walk-through” inspection of the bridge has to be completed by someone in the district that has been Team Leader certified for nonstate bridge inspections as designated in EPG 753.3 Inspection and Reporting Aids (Section 3). This inspection has to include the items as listed below.
a. Assignment of appraisal and condition ratings consistent with the normal inspection practice for nonstate bridges.
b. Verification that the bridge is in "good" condition.
c. Verification that the bridge was constructed in general conformance with the bridge plans, which basically includes verification of the bridge location, bridge type, bridge width, bridge length and the number of members.
2. The inspector must submit a letter or some other appropriate form of documentation to the District person overseeing the credit project indicating that the inspection has been completed and the date that the inspection was completed. This letter should also indicate that the structure was found to be in “good” condition and that the structure was built in general conformance with the plans. A copy of the inspection report should be provided with the letter along with any photographs that were taken.
3. Once all of the information has been received from the LPA and from the bridge inspector, the District should submit the Bridge Soft Match Credit package along with the documentation provided by the inspector to Bridge Division at the Central Office. This submittal package should include a cover letter recommending that credit be approved for this bridge project.

136.3.10.8 Use of Bridge Soft Match Credit

The eligible costs may apply as credit toward the 20% local match required on federal-aid bridge projects. This credit provision does not increase an agency's allocation of Highway Bridge Program (HBP) funds, but will permit usage of funds already allocated to an agency at a rate up to 100%.

Any BRO project submitted for programming by an LPA will be set up using soft match credit, if available. As a result, the LPA's preliminary engineering costs will be eligible for more than 80% federal reimbursement. As the project moves to construction authorization, credit will continue to be applied, as long as it is available. LPAs will not be allowed to have a negative soft match credit balance.

Soft match credit can be used to satisfy the matching requirements for BRM projects, if requested by the LPA.

If an LPA does not want to use its soft match credit on a project, it will need to submit a letter to the MoDOT district office indicating this.

Soft match credit can be applied to the construction phase of a bridge project at the time of construction authorization, even if soft match credit was not used for the design phase.

The federal reimbursable share of design costs cannot be increased by applying additional soft match credit after the preliminary engineering authorization date.

An LPA agency may elect to transfer its soft match credit earned under the Bridge Soft Match Credit Program to another LPA. The following guidelines must be followed to transfer credit:

1. A written request must be submitted to the MoDOT district office. The request shall be on the LPA's letterhead and state the dollar amount that is being transferred and the LPA that will be receiving the transferred funds. This letter must be signed by all of the county commissioners or the appropriate city officials. The MoDOT district office will forward this request to Financial Services at the Central Office for review and approval. See Figure 136.3.27 for an example of a Soft Match Credit Transfer Request.
2. The request must be approved by Financial Services at the Central Office prior to using the soft match credit on a bridge project.

A LPA may elect to transfer its soft match credit earned under the Bridge Soft Match Credit Program to another LPA for BRO funds. The following guidelines should be followed to transfer credit for funds:

1. Both LPAs must submit written requests to the local MoDOT district office on their LPA's letterhead
2. and state the dollar amount of BRO funds and soft match credit to be transferred by each LPA. This letter must be signed by all of the county commissioners or the appropriate city officials. The MoDOT district office will forward this request to Financial Services at the Central Office for review and approval.
3. The request must be approved by Financial Services at the Central Office prior to using the soft match credit and BRO funds on a bridge project.
4. No transfer can result in an LPA having a negative balance of BRO funds.

136.3.11 Other Federal Funding Used as Match

Federal funds provided by other federal agencies may be used to match federally funded transportation projects as allowed by each federal agency’s funding requirements.

Listed below is a table showing what other federal funds may be used to satisfy the federal-aid highway matching requirements.

Federal-to-Federal Matching Opportunities
Source of Federal Funding Eligible Categories of Highway Projects
Federal Land Management Agencies, including but not limited to:
* U.S. Forest Service
* Bureau of Indian Affairs
* Bureau of Reclamation
* Bureau of Land Management
* National Park Service
* Numerous military agencies
(authorized at 23 U.S.C. 120(k))		 Federal highway projects funded under the following program categories:
* National Highway Performance Program
* Surface Transportation Program
* Congestion Mitigation and Air Quality Program
* Transportation Alternatives Program
Federal Lands Highway Program (authorized at 23 U.S.C. 120(1)) Federal highway projects funded under the programs shown above and that serve or provide access to federal or Indian lands, except Scenic Byways
Federal programs with special legislative authorization to match other federal funds, including funds provided under:
* State and Local Assistance Act
* HUD Community Development Block Grants
* Public Works Employment Act of 1976
* Delaware and Lehigh Navigation Canal National Heritage Corridor Act of 1988		 Any Federal-aid highway project

Federal Emergency Management Agency (FEMA) funds are not eligible to be used as match on federally funded transportation projects including the HBP Program. Corps of Engineers funds are eligible for match on federally funded transportation projects.

The LPA must confirm with all the federal funding agencies that the funding provided may be used as match for federally funded transportation projects before the funding will be accepted by MoDOT.

136.3.12 Federal-aid Participation for Local Work

136.3.12.1 Introduction

For some projects, due to their nature, size, or special considerations, it may be desirable for the LPA to use its own resources rather than a contractor or consultant. The federal requirement for use of local work varies depending on the type of service or work being provided by the LPA. EPG 136.3.12 includes guidelines and procedures to receive federal-aid reimbursement for the costs related to services or work completed by the LPA. Additional information on federal aid participation is available.

136.3.12.2 Funding Obligation

Any participation of federal-aid for local work must be pre-approved. Any funds spent or work completed prior to obligation of funds, FHWA authorization, will not be reimbursable!

136.3.12.3 Federal-aid Participation for In-House Services

This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of project-related services performed by LPA staff. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

136.3.12.3.1 Eligible Costs

Federal funds may participate in the direct costs of salaries, wages, and related payroll expenses of LPA employees, but only for those costs incurred when the LPA’s employees are directly engaged in eligible activities. Related payroll costs include travel, transportation, leave, holidays, social security, retirement and other payroll benefits.

Federal funds may also participate in the associated indirect costs, provided such costs have been allocated to the Federal-aid project in accordance with an approved cost allocation plan that meets the requirements of 2 CFR 225 (previously OMB Circular A-87). Such cost allocation plans must be independently reviewed and audited on an annual basis. MoDOT and FHWA may also elect to review the LPA’s cost allocation plan at any time. If reimbursement of indirect costs is desired, the LPA should contact MoDOT for additional assistance.

136.3.12.3.2 Eligible Activities

Only project-related activities that directly contribute to the planning, design, development, or implementation of the approved project scope are eligible for Federal participation. These include the following:

Preliminary Engineering – This includes conceptual plans, planning or environmental studies, preliminary design, final design, and all other related design work necessary to advance a project to physical construction. Examples include preparation of surveys, environmental documents, plans, specifications, and estimates.

Construction Engineering – This includes supervision and inspection of construction activities; additional staking functions considered necessary for effective control of the construction operations; testing materials incorporated into construction; checking shop drawings; and measurements needed for the preparation of pay estimates.

Right of Way Acquisition Services – This includes all work associated with acquisition of property interests needed for the project. Examples include preparation of right of way plats, appraisals for parcel acquisitions, review of appraisals, preparation for and trial of condemnation cases, and furnishing of relocation advisory assistance.

Other Services – For projects that do not result in physical construction, this includes activities that are necessary for the development or implementation of the project. Examples include developing or preparing safety programs, feasibility studies, conceptual studies, or other planning documents.

Note: This does not include services of LPA staff that perform general administrative work. For example, attendance at project meetings by managers or other administrative staff not directly involved in the development or implementation of the project would not be eligible.

Please note that acquisition of right of way shall not begin until after receipt of FHWA Environmental Concurrence (NEPA classification).

136.3.12.3.3 Submittal Requirements

An estimate of the in-house services costs must be submitted to MoDOT when requesting Federal-aid participation for in-house services. The following information shall be included in the estimate:

Staff time (hours) for each phase of the work (e.g., survey, design, inspection, etc.). Staff time should be estimated separately for individual employees or classifications of employees. A services documentation form is available in Fig. 136.5.1.

Wage rates for each employee or classification of employee. Include supporting documentation that shows how the wage rates were calculated, including any payroll expenses that are part of the wage rate, such as IPERS, FICA, employee benefits, or other related payroll expenses.

Equipment usage and other design-related costs. Include supporting documentation to show how the estimated costs or cost rates were determined. Examples include: estimated CADD hours and rate, vehicle miles and rate, outside printing costs, etc. A worksheet is available to document equipment usage, Fig 136.5.3.

Cost allocation audit report if indirect costs are included in the estimate.

136.3.12.3.4 Procedures

The necessary procedures to request, review and approve in-house services costs are summarized below:

The LPA submits a request for Federal-aid participation in in-house services to MoDOT, including a cost estimate and all supporting documentation.

MoDOT reviews the cost estimate and completeness of submittal. If the submittal is incomplete, MoDOT works with the LPA to address any concerns.

Once the LPA’s request is acceptable, MoDOT requests FHWA authorization. It is important to ensure the scope and estimate are complete and accurate since supplements to in-house services are not allowed.

After FHWA authorization is received, MoDOT notifies the LPA and provides the effective date of FHWA authorization.

After performing the in-house services, the LPA will submit periodic requests for reimbursement to MoDOT.

MoDOT reviews and processes the requests for reimbursement as appropriate.

Upon completion of the in-house services, the LPA notifies MoDOT and requests final reimbursement for such costs.

If a final audit is conducted, MoDOT provides a copy of the final audit outcome to the LPA. If additional reimbursement is due, MoDOT processes the final reimbursement. If the final audit finds the LPA has been over-reimbursed, MoDOT will invoice the LPA for the appropriate federal share or deduct this amount from the balance of federal reimbursement that is due to the LPA for other project costs.

136.3.12.4 Federal-aid Participation for Construction by Local Agency Forces

This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of construction performed by LPA forces. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

136.3.12.4.1 Federal Law

23 CFR 635.114(a) requires Federal-aid projects to be constructed by contracts awarded on the basis of competitive bidding. However, in rare cases, this requirement may be waived if the LPA fails to receive competitive bids and finds it is more cost effective to use some other method, as provided for in 23 CFR 635, Subpart B. One such method is the use of LPA forces to perform the construction. The LPA’s finding of cost effectiveness shall be reviewed and approved by MoDOT and FHWA before construction by LPA forces can proceed.

The term “cost effective” means the efficient use of labor, equipment, materials, and supplies to assure the lowest overall cost. A “finding of cost effectiveness” must demonstrate two things:

  • Completing the proposed construction work using LPA forces will be cost effective. (Refer to 23 CFR 635.204.)
  • There are special or unique circumstances that justify deviating from the competitive bidding process. (Refer to 23 CFR 635.204.)

136.3.12.4.2 Eligible Costs

Subject to the approvals and procedures outlined in EPG 136.3.12.4, federal funds may participate in the direct costs of labor, equipment, materials, or supplies provided by LPA to complete the project construction, either in whole or in part. Labor costs include salaries, wages, and other related payroll expenses, such as leave, holidays, social security, retirement, and other payroll benefits.

Federal funds may also participate in the associated indirect costs, provided such costs have been allocated to the federal-aid project in accordance with an approved cost allocation plan that meets the requirements of 2 CFR 225 (previously OMB Circular A-87). Such cost allocation plans must be independently reviewed and approved on annual basis. MoDOT and FHWA may also elect to review the LPA’s cost allocation plan at any time. If reimbursement of indirect costs is desired, the LPA should contact MoDOT for additional assistance.

136.3.12.4.3 Eligible Activities

For a project to be eligible for 100 percent construction by local forces the following criteria must be met:

  • a failed attempt to accomplish the proposed work by competitive bidding due to lack of bids or unreasonable bids; or
  • a history of failed competitive bidding in the local area on similar work due to lack of bids or unreasonable bids, including reasons why competitive bidding, if attempted, would be unlikely to succeed for the requested work.

If a region has been determined to have a history of failed competitive bidding, the LPAs that construct federal-aid projects with local forces shall take at least one similar project to letting for every 3rd federal-aid project or every two years, whichever comes first to ensure the bidding market has not changed.

Construction by local forces will not be allowed on bridges greater than two lanes or having a total length longer than 80 feet.

Partial construction work by local forces is allowed on a limited basis provided the work is not in direct conflict with the contractors operations and the use of LPA forces is cost effective. The submittal requirements for partial work by local forces must follow EPG 136.3.12.4.4 except the requirements for proving a history of failed competitive bidding is not required.

136.3.12.4.4 Submittal Requirements

To receive federal-aid reimbursement for construction by LPA forces, the LPA must submit the following information to MoDOT to support its finding of cost effectiveness (see Fig. 136.3.17):

An explanation, including supporting documentation, of the reasons or special circumstances that justify using LPA forces in lieu of traditional competitive bidding. Examples of supporting documentation may include things such as:
a failed attempt to accomplish the proposed work by competitive bidding due to lack of bids or unreasonable bids; or
a history of failed competitive bidding in the local area on similar work due to lack of bids or unreasonable bids, including reasons why competitive bidding, if attempted, would be unlikely to succeed for the requested work.

There may be other reasons or situations that justify the use of LPA forces. However, in all cases, they must be unusual and are unlikely to recur.

An explanation of the LPA’s ability to construct the proposed type of work including experience in recent years with its own forces. This explanation shall demonstrate the LPA is adequately staffed and suitably equipped to undertake and satisfactorily complete the proposed work without adding staff.

An estimate of the construction costs to be performed by LPA forces that includes the following:

1. Staff time (hours) for each different phase of the work. Staff time should be estimated separately for each employee or classification of employees.
2. Wage rates for each employee or classification of employee including any payroll expenses that are part of the wage rate, such as IPERS, FICA, employee benefits, etc.
3. Equipment type, hours of use, and unit costs (such as the rental rate per hour or per mile). Note: If an LPA must acquire or rent substantially more equipment than required for its normal operations, it may be difficult to justify the use of LPA forces.
4. Costs of materials and supplies to be incorporated in the project. Include sources and suppliers, if known.
5. Source documentation for the unit costs (labor, equipment, and materials) used to prepare the estimate.
6. A cost estimate of the work that assumes the work will be competitively bid. This estimate is for comparison purposes with the estimate described in item no. 3, above. Source documentation for the unit costs should also be included with this estimate. Unit bid price information for similar work shall not be more than 1 year old and must be from within the same geographic bidding region. LPAs could also use appropriate bidding information for similar projects from adjacent counties that are not more than 1 year old to meet this periodic competitive bidding verification requirement.
7. The amount of federal funds requested.

136.3.12.4.5 Procedures

The necessary procedures to request, review and approve Federal participation in construction by LPA forces are summarized below:

Prior to execution of the program agreement, the LPA must submit and receive approval of financial qualifications to perform construction by local forces. The financial pre-qualification is used to demonstrate the LPA is capable of providing the local match if construction by local forces is not approved.

The LPA submits a finding of cost-effectiveness and a request for federal-aid participation in construction by LPA forces to MoDOT, including a cost estimate and all supporting documentation, as described above.

MoDOT reviews the cost estimate and completeness of submittal. If the submittal is incomplete or is not acceptable, MoDOT works with the LPA to address any concerns. MoDOT also verifies that Environmental Concurrence has been obtained. If not, MoDOT reminds the LPA that construction work by LPA forces may not proceed until Environmental Concurrence and FHWA Authorization has been obtained.

Once the LPA’s request is acceptable, and after verifying that Environmental Concurrence has been obtained, MoDOT requests FHWA authorization. MoDOT’s request shall indicate its concurrence with the LPA’s finding of cost-effectiveness and include all supporting documentation. It is important to ensure the scope and estimate are complete and accurate since change orders to construction by local forces are not allowed.

After FHWA authorization is received, MoDOT notifies the LPA and provides the effective date of FHWA authorization.

After incurring construction costs by LPA forces, the LPA will submit periodic requests for reimbursement to MoDOT. The requests shall document the actual costs incurred, including: staff hours and rates, equipment usage and rates, and costs of materials or supplies.

MoDOT reviews and processes the requests for reimbursement as appropriate.

Upon completion of construction by LPA forces, the LPA notifies MoDOT and requests final reimbursement for such costs.

If a final audit is conducted, MoDOT provides a copy of the final audit outcome to the LPA. If additional reimbursement is due, MoDOT processes the final reimbursement. If the final audit finds the LPA has been over-reimbursed, MoDOT will invoice the LPA for the appropriate federal share or deduct this amount from the balance of federal reimbursement that is due to the LPA for other project costs.

136.3.13 Agreements

It will be necessary for the LPA to enter into an agreement with the Missouri Highway and Transportation Commission for each project or group of projects. This is a legal instrument necessary in order to pass through federal funds and outlines the responsibilities of the LPA and the Missouri Highway and Transportation Commission.

A multi-party or three-party agreement may be necessary if another unit of government such as a township or special road district is involved.

If the LPA elects to construct any portion of the project with its own forces, it will be necessary to include a provision in the agreement that requires the LPA to comply with Section II, Equal Opportunity and Section III, Nonsegregated Facilities, as set out in FHWA Form 1273. FHWA Form 1273 will be attached to all project agreements.

The MoDOT district representative will initiate preparation of the agreement. The district representative will consult with the LPA to pinpoint the various arrangements and details that will be covered. The agreement will first be presented to the LPA for signature. Once the agreement has been signed by the LPA, the LPA shall submit the signed agreement and any other required documents to MoDOT's district representative. Projects being constructed by cities must also return 1 copy of an enabling legislation at the time of the execution. After approval and signature by the Missouri Highway and Transportation Commission, a fully executed copy will be returned to the LPA.

Additional Information for MoDOT Employees
Refer to EPG 153 Agreements and Contracts and EPG 134.2.4 for current contracts.

If a supplemental agreement is necessary, an ordinance may be required if the original ordinance makes references to specific project information such as but not limited to, amount of federal funds, project timeline or the original agreement. Please refer to Fig. 136.3.16 Sample Ordinance for a sample ordinance. The LPA may elect to fill in the areas providing project descriptions in a general project descriptive manner to preclude the passage of another ordinance.

No work is to be initiated on any part of the project until federal funding has been approved (obligated) by FHWA and the LPA has been notified by MoDOT to proceed.

136.3.14 Federal Funding Accountability and Transparency Act (FFATA)

The Federal Funding Accountability and Transparency Act (FFATA) was signed on September 26, 2006. The intent is to empower every American with the ability to hold the government accountable for each spending decision. The end result is to reduce wasteful spending in the government. The FFATA legislation requires information on federal awards (federal financial assistance and expenditures) be made available to the public via a single, searchable website. Federal awards include grants, subgrants, loans, awards, cooperative agreements and other forms of financial assistance as well as contracts, subcontracts, purchase orders, task orders, and delivery orders. Additional information regarding FFATA is available.

136.3.15 Reimbursement and Auditing

MoDOT will request from the Federal Highway Administration (FHWA) payments for cost of completed work which meets eligibility requirements as set forth by FHWA directives. As a supplement to the specific requirements as outlined elsewhere in EPG 136 Local Public Agency (LPA) Policy, the following audit requirements shall be applied by the LPA to ensure full participation:

1. Authorization and federal funding must be approved prior to incurring costs. This applies to all types of work, such as preliminary engineering or right of way. Preliminary engineering costs may be incurred only up to the construction contract award stage. Specific MoDOT concurrence in the awarding of any contract must be obtained before a notice to proceed is issued.
2. All costs incurred by the LPA for both contract work and work performed by LPA personnel for whom reimbursement is sought must be supported by original source documents or documentation which provides adequate assurance that the quantities of completed work were determined accurately and on a uniform basis. Whenever the actual cost method of payment is used, reimbursement requests for costs incurred should be substantiated as follows:
a. Labor costs are supported by the documentation described below in item 3.
b. Material and equipment costs are supported by submitting a paid receipt from the vendor.
c. Machinery rental costs are supported by submitting a paid receipt from the rental vendor.
d. Rental fees for agency-owned equipment and machinery are supported with hourly documentation.
The rental rates and operating costs shall be based on either the Dataquest (Dunn & Bradstreet) Rental Rate Blue Book or the current Federal Emergency Management Agency (FEMA) public assistance schedule of equipment rates. The blue book is a standard reference for rental rates on all classes of construction equipment. The FEMA equipment rates and the agency developed prepared rates are an acceptable alternative.
3. Project-specific LPA costs (except for administration costs) are allowable to the extent that they are supported by original source documentation. Daily time records supported by a project number must be kept for audit. They shall include the daily breakdown of the employee's time. The hourly rates must be the rate the employee actually received, plus actual labor additives calculated on a percent of labor basis (Social Security, Workmen's Compensation, insurance, etc.). The cost of vehicle and other equipment usage may be claimed on an hourly or mileage basis to the extent that the cost can be supported.
4. Incidental costs, arbitrary or otherwise unsupported costs or items not necessary to complete the project will not be reimbursed.
5. Additional construction costs due to error on the part of the contractor are not eligible for federal participation. Also, additional inspection costs incurred as a result of contractor error are normally assessed against the contractor and are not eligible for federal reimbursement. The term "contractor" shall also include subcontractors, fabricators, and suppliers working on the project.
6. A request must be submitted for additional federal funding if the construction change orders for the project exceed the construction contract. Federal funding for change orders is limited to the TIP amount for projects within an MPO, agreement amount for enhancement projects, and programmed amounts for BRM projects. Change orders for projects are limited to the LPA's federal allocation balance.
7. Additional engineering and/or resulting construction costs due to design errors and omissions, resulting in a re-design, are not eligible for federal participation. Participation in added project costs resulting from re-design or plan changes can only be considered in cases where it can definitely be established that the changes were the result of unforeseen site conditions or other causes that would not reasonably be under the control of the LPA or its engineer.

136.3.15.1 Final Invoices

Two copies of the final invoice should be submitted after all work has been completed and accepted. The final invoice must be marked "Final Invoice" and be accompanied by a detailed itemization of total project costs. The final invoice should be submitted in the same manner as progress payment invoices. For detailed information on the procedures to be followed see EPG 136.11 Local Public Agency Construction.

136.3.15.2 Audit and Final Reimbursement

The FHWA and MoDOT have the right to audit the LPA's records at any stage of completion. MoDOT will process invoices by requesting payment from the FHWA. The final invoice will require an audit or review of project records that will be conducted by MoDOT Audits and Investigations or Financial Services staff. Source documentation (timesheets, lodging receipts, etc.), accounting records, and project records (construction diary, etc.) must be retained for three years following the date on which the LPA receives reimbursement of their final invoice from MoDOT. Retention and access requirements for records, from Title 49 CFR 18.42 - Federal Acquisition Regulations System, are available.

136.3.15.3 OMB Audit

If the city/county/grantee expend(s) $750,000 or more in a year in federal financial assistance it is required to have an independent annual audit conducted in accordance with 2 CFR Part 200. A copy of the audit report shall be submitted to MoDOT within the earlier of 30 days after receipt of the auditor's report(s), or 9 months after the end of the audit period. Subject to the requirements of 2 CFR Part 200, if the city/county/grantee expend(s) less than $750,000 a year, the city/county/grantee may be exempt from auditing requirements for that year but records must be available for review or audit by applicable state and federal authorities.

136.3.16 Key Submittals/Requirements

Task/Submittal LPA Responsibility MoDOT Responsibility MoDOT Timeframe
Programming data form / TIP application Provide project information Verify eligibility 10 working days
Reasonable Progress Ensure project development / implementation schedule is being met Verify project development / implementation schedule is being met Ongoing
Force Account Justify cost effectiveness and LPA’s ability to perform the task Review and approve/deny 10 working days
Work By Local Forces Justify cost effectiveness and LPA’s ability to perform the task Review and approve/deny 10 working days
Donated Services Document fair market value of donated materials, services and real property Review and approve/deny 10 working days
Request for Bridge Soft Match Credit Provide submittal package Review and approve/deny 10 working days
Transfer Bridge Soft Match Credit Request letter signed by all commissioners from transferring county Review and approve/deny 10 working days
Transfer BRO and Bridge Soft Match Credit Request letters signed by all commissioners from transferring and receiving counties Review and approve/deny 10 working days
Indirect Costs Provide cost allocation plan Review and approve/deny 20 working days
Agreement Execution by LPA governing body Review and approve/deny for Execution by the commission 20 working days
FFATA Provide federal awards information, Form-1590 Post federal awards information 10 working days
Reimbursement Request Provide original source documents for costs incurred to date Review and approve/deny 20 working days
Final Invoice Submit within 30 days of final acceptance Review and approve/deny 20 working days

136.3.17 Emergency Relief

136.3.17.1 Federal Highway Administration (FHWA)

Additional information on program guidelines is available.

136.3.17.1.1 Federal Highway Administration – Emergency Relief Program

The Federal Highway Administration’s (FHWA) Emergency Relief (ER) program can help state and local public agencies with reimbursement funds for repairs of damages on Federal-aid eligible roads after a disaster has been declared.

The repair work within the right of way of Federal-aid roads is usually eligible to receive ER funds if the roadway is in an affected county that is included in the Governor’s Proclamation or the Presidential Declaration for each disaster.

The decision to seek financial assistance for a disaster event under the FWHA’s ER program rests with MoDOT. A minimum damage amount statewide has to be met for any disaster to become eligible for ER funds. Local public agencies with damage to Federal-aid roads should make their application for ER reimbursement through MoDOT. It is MoDOT’s responsibility to seek ER funding for the repair of Federal-aid highways and roads, regardless of which jurisdiction those roads are located.

FHWA offers an emergency relief program for the repair or reconstruction of federal-aid highways and roads which have suffered serious damage as a result of natural disasters or catastrophic failures from an external cause. MoDOT administers the program for Missouri. Additional information about FHWA's Emergency Relief Program is available.

Identify Federal-aid roads using MoDOT’s interactive Federal-aid map. Zoom in to the jurisdiction’s geographic area. The Federal-aid roads will be highlighted in color. The state system federal-aid roads are in blue. The off-system federal-aid roads, or LPA federal-aid roads, are in green. Federal-aid roads are based on the functional classification of each roadway, and include interstates, freeways, arterials, major collector and urban collector roads.

Review the following videos for a basic overview of the emergency relief process.

136.3.17.1.2 FHWA ER Project Procedures

The FHWA Emergency Relief Program has two parts, emergency repairs and permanent repairs. Each has its own requirements for when to seek project approval from FHWA, federal share and methods of construction. Emergency repairs are made during or right after a disaster to restore essential traffic, to minimize the extent of damage, or to protect the remaining facilities. Repairs that go beyond these three objectives are permanent repairs. For permanent repairs performed concurrently with emergency repairs, follow the emergency repairs procedures (the federal share is different for emergency and permanent repairs, even those performed at the same location.)

Emergency Repairs

Emergency repairs are repairs made during and immediately following a disaster to restore essential traffic, to minimize the extent of damage, or to protect the remaining facilities.

1. The LPA shall photograph damages at all federally eligible sites and determine appropriate repairs for each site.
2. The LPA reports location, types of damage, type of repair (emergency and/or permanent), and estimated repair cost to the MoDOT Area Engineer or district LPA contact, who will, in turn, forward this information to the Emergency Management Liaison in the Maintenance Division.
3. The LPA selects the repair method: work by local forces (WBLF, which is the same as "force account" in the FHWA ER Manual), or by contract, to perform the emergency repairs as best suited to protect the safety of the traveling public.
4. The LPA completes the emergency repairs.
5. The LPA provides documentation of repair costs incurred by WBLF including such items as:
a. Timesheets
b. Equipment usage reports
c. Invoices
d. Material records
e. Anything that documents the expenses of the work submitted for reimbursement.
6. A Detailed Damage Inspection Report (DDIR) shall be written by the MoDOT Maintenance Division for each eligible damage site. A site visit may be necessary if the damages exceed a certain dollar amount established by FHWA and MoDOT for each disaster.
7. A Program Agreement will be entered into between MoDOT and the LPA for each site regardless of whether the repairs were emergency or permanent or whether the repairs were made by contract or by force account (WBLF).
8. Contracts for emergency repairs must incorporate all applicable federal requirements. As such, FHWA Form 1273 must be included in all contracts pursuant to 23 CFR 633.102.
9. Reimbursement of preliminary engineering (PE) and construction engineering (CE) costs are eligible. These costs must be documented separately from each other and from construction costs. Emergency repairs typically require little preliminary engineering such as geotechnical studies, structural analysis or environmental reviews.
10. The Emergency Management Section in the MoDOT Maintenance Division office will include all eligible LPA damage sites and estimates in the Damage Survey Summary Report (DSSR) submitted to FHWA for approval of emergency relief funds.
11. After the DSSR has been approved by FHWA, funds have been allocated and obligated for the disaster, and all the necessary documentation has been provided by the LPA, MoDOT will bill FHWA for the LPA’s force account (WBLF) eligible damage repair costs.
12. The federal share of the emergency repair costs incurred within the first 180 days after the occurrence of the disaster is 100 percent. For emergency repair costs incurred after 180 days, the federal share is based on the pro-rata share for the functional classification for each road. For Interstate highways, the federal share is 90 percent. For all other federal-aid roads, the federal share is 80 percent.
13. The contract reimbursement process will follow the already established method for LPA contracts.

Permanent Repairs

Permanent repairs are repairs undertaken to restore the highway or road to its preexisting condition. They usually occur after the emergency repairs have been completed. Permanent repairs must be made through the competitively bid contract process unless the LPA adequately demonstrates that some other method, such as by force account (WBLF), is more cost effective.

1. The LPA shall photograph damages at all federally eligible sites and determine appropriate repairs for each site.
2. The LPA reports location, types of damage, type of repair (emergency and/or permanent), and estimated repair cost to the MoDOT Area Engineer or district LPA contact, who will, in turn, forward this information to the Emergency Management Liaison in the Maintenance Division.
3. Permanent repairs must be made through the competitively bid contract process unless the LPA adequately demonstrates that some other method, such as by force account (WBLF), is more cost effective.
4. The DDIR must be completed and approved by FHWA before the permanent repairs are started.
5. Permanent repairs must receive FHWA authorization prior to the start of the work unless FHWA determines it is more economical or practical to perform such work with the emergency repairs.
6. Contracts for permanent repair work must incorporate all applicable federal requirements. As such, FHWA Form 1273 must be included in all contracts pursuant to 23 CFR 633.102.
7. A Program Agreement will be entered into between MoDOT and the LPA for each site regardless of whether the repairs were emergency or permanent or whether the repairs were made by contract or by force account (WBLF).
8. Reimbursement of preliminary engineering (PE) and construction engineering (CE) costs are eligible. These costs must be preapproved by MoDOT through the normal LPA contracting process. These costs must be documented separately from each other and from construction costs.
9. The federal share for the permanent repairs of federal-aid roads is based on the pro-rata share for the functional classification of each road. For Interstate highways, the federal share is 90 percent. For all other federal-aid roads, the federal share is 80 percent.
10. The reimbursement process will follow the already established method for LPA contracts.

136.3.17.2 Federal Emergency Management Agency (FEMA)

Additional information on program guidelines is available.

FEMA Public Assistance Grant Program

The Federal Emergency Management Agency’s (FEMA) Public Assistance (PA) grant program provides reimbursement assistance to state, tribal, territorial, and local public agencies for debris removal, life-saving emergency protective measures, and the repair, replacement or restoration of disaster-damaged publicly owned facilities.

Minor collectors and local roads are not included in the federal-aid category. These are the non-federal aid roads which are eligible for public assistance grants from FEMA following disasters. For each event, FEMA application procedures for state and local governments are explained at a series of federal/state applicant briefings in the affected areas by recovery officials, usually from the State Emergency Management Agency (SEMA). FEMA directly administrates its public assistance grant program and they work directly with the LPAs in determining damage estimates and reimbursement amounts on the non-federal aid system. Additional information about FEMA's Public Assistance is available:

Contact MoDOT

Chris Engelbrecht, Emergency Management Liaison
Missouri Department of Transportation
P.O. Box 270
Jefferson City, MO 65102
christopher.engelbrecht@modot.mo.gov
(573) 526-4842 office


Ashley Buechter, Assistant State Design Engineer – LPA
Design Division
Missouri Department of Transportation
P.O. Box 270
Jefferson City, MO 65102
ashley.buechter@modot.mo.gov
(573) 526-6997 office

136.3.17.3 State Emergency Management Agency (SEMA)

Additional information on program guidelines is available.

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