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The Local Public Agency Policy, produced by the Missouri Department of Transportation
 
(MoDOT) is intended to be used as a guide for cities and counties that sponsor projects utilizing federal transportation funds provided under the current transportation bill, the [http://www.fhwa.dot.gov/safetealu/index.htm Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU)]. A summary of typical federal aid procedures and a flow chart illustrating the procedures are available.
 
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|-
 
|-
|[[136.1 General#136.1.10 Flow Charts|'''Easily Printable Versions of Flowcharts''']]
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|colspan="2"|<center>'''Figures'''</center>
|}
 
This policy addresses five local programs that are funded under the current transportation act:
 
 
 
'''1.''' [[136.1 General#136.1.6.1 Highway Bridge Program|Highway Bridge Program (HBP)]]
 
:Off-System Bridge Replacement and Rehabilitation Program (BRO)
 
:On-System Bridge Replacement and Rehabilitation Program (BRM)
 
 
 
'''2.''' [[136.1 General#136.1.6.2 STP-Urban|Surface Transportation Program (STP) - Urban]]
 
:STP Urban Attributable:
 
:STP Urban Non-Attributable:
 
 
 
'''3.''' [[136.1 General#136.1.6.3 STP-Enhancement|Surface Transportation Program (STP) - Enhancement]]
 
 
 
'''4.''' [[136.1 General#136.1.6.4 Congestion Mitigation and Air Quality (CMAQ)|Congestion Mitigation and Air Quality (CMAQ)]]
 
 
 
'''5.''' [[136.1 General#136.1.6.5 Safe Routes to School (SRTS)|Safe Routes to School (SRTS)]]
 
 
 
[http://www.fhwa.dot.gov/legsregs/directives/cfr23toc.htm Title 23], as amended by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) requires MoDOT to administer all funds apportioned and allocated to the state under this Transportation bill. SAFETEA-LU directs that certain percentages of funding categories within the state’s apportionment must be sub-allocated towards the Off-System Bridge Replacement and Rehabilitation Program (BRO), the STP-Urban Attributable Program, the STP-Enhancement Program, the Congestion Mitigation and Air Quality Program and Safe Routes To School.
 
 
 
For projects administered by local officials, the state will furnish information concerning the
 
necessary federal requirements and will act as coordinator. The necessary design, acquisition,
 
environmental, historical and archaeological clearances and approvals, construction and maintenance of improvements will be the responsibility of the local agency. A [http://www.modot.mo.gov/ MoDOT district representative] will be the primary contact, furnish the necessary guidelines and coordinate the necessary reviews and approvals. MoDOT personnel will advise and assist the local agency in meeting the requirements of the program. Additional information regarding federal requirements is available through the MoDOT district representative.
 
 
 
Projects are performed under the terms of an agreement with MoDOT (refer to [[136.5 Agreements|EPG 136.5 Agreements]]). Work on any part of the project cannot proceed until the local agency has been notified by MoDOT and federal funding has been approved (obligated) by the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)].
 
 
 
The federal-aid transportation program operates on a reimbursement basis as work progresses. It is a federal reimbursement program in which the local agency is reimbursed minus its matching
 
percentage after MoDOT receives proper proof of payment by the local agency to the contractor for work performed.
 
 
 
Federal law requires that each project be administered as a traditional federally funded highway
 
project as described in this policy. '''No work is to be initiated on any part of the project until federal funding has been approved (obligated) by FHWA and the local agency has been notified by MoDOT to proceed.''' If funds are approved, they will be distributed through the local agency sponsoring the project. If a project is not completed, the local agency sponsoring the project will be required to repay to MoDOT, the sum of federal funds reimbursed to date. The local agency will be responsible for cost overruns.
 
 
 
Items eligible for federal participation include preliminary engineering, surveys, public hearings, environmental and historical documentation, right of way, advertising costs, construction, construction engineering, beautification, traffic control devices, and those portions of utility relocation costs for which the local agency is responsible. Incidental costs will not be eligible for federal reimbursement. No work is to be initiated on any part of the project until federal funding has been approved (obligated) by FHWA and the local agency has been notified by MoDOT to proceed.
 
 
 
Regardless of whether federal funds are available at the time of acquisition, local agencies are strongly encouraged to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (Uniform Act) of the Code of Federal Regulations when acquiring realty rights (right of way), easement access, or other real property.  When a local agency project uses federal funds on any portion of the project, all realty rights must be acquired in accordance with the Uniform Act.  If the realty rights were acquired more than 5 years prior to the first request for federal funds, the local agency shall submit a statement certifying that no new realty rights are needed and the dates the existing realty rights were acquired.  If the realty rights were acquired less than 5 years prior to the first request for federal funds, the acquisition must  have occurred within the parameters of the  Uniform Act in order for any portion of the project to received federal funds.
 
 
 
===136.1.1 Funds Management Policy===
 
 
 
====On-System Bridge Replacement and Rehabilitation Program (BRM)====
 
 
 
On-System Bridge Replacement and Rehabilitation Program (BRM) fund balances in excess of three years of annual allocations for Transportation Management Areas (TMAs) will lapse on September 30, 2009, and on September 30th of each year thereafter. Transportation improvements within the TMA will use the lapsed funds.
 
 
 
====Surface Transportation Program (STP) Urban – Attributable====
 
Surface Transportation Program (STP) Urban – Attributable fund balances in excess of three years of annual allocations for Transportation Management Areas (TMAs) will lapse on
 
September 30, 2009, and on September 30th of each year thereafter. Transportation improvements within the TMA will use the lapsed funds.
 
 
 
====Surface Transportation Program (STP) Urban – Non-Attributable====
 
 
 
Surface Transportation Program (STP) Urban – Non-Attributable fund balances in excess of six years of annual allocations for cities with an urban cluster population between 5,000 and 200,000 will lapse on September 30, 2009, and on September 30th of each year thereafter. Transportation improvements throughout the state will use the lapsed funds.
 
 
 
===136.1.2 Reasonable Progress Policy===
 
 
 
This 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.
 
 
 
====136.1.2.1 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 entity.
 
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" align="center"
 
|+'''Project Development/Implementation Schedule'''
 
! style="background:#BEBEBE" colspan="2"|Phase !! style="background:#BEBEBE"|Maximum Time Frame!! style="background:#BEBEBE"|Funds Obligated?
 
 
|-
 
|-
|align="center"|1||Allocation of Funds || align="center"|0 months ||align="center"|No
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|[[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]]
 
|-
 
|-
|align="center"|2||Project Programming<sup>1</sup>||align="center"|12 months||align="center"|No
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|[[media:136.1.10.1 LPA Planning Process Chart.pdf|Fig. 136.1.1, LPA Planning Process Chart]]
 
|-
 
|-
|align="center"|3||Engineering Services Contract Approval||align="center"| 15 months ||align="center"|Yes
+
|[[media:136.1.10.2 MoDOT Programming Process Chart.pdf|Fig. 136.1.2, MoDOT Programming Process Chart]]
 
|-
 
|-
|align="center"|4||Preliminary and Right of Way Plans Submittal (if applicable)||align="center"|24 months||align="center"|Yes
+
|[[media:136.1.10.3 Right of Way Process Chart.pdf|Fig. 136.1.3, Right of Way Process]]
 
|-
 
|-
|align="center"|5||Plans, Specifications & Estimate (PS & E) Submittal||align="center"|34 months||align="center"| No
+
|[[media:136.1.10.4 Preliminary Plan Process Chart.pdf|Fig. 136.1.4, Preliminary Plans Process]]
 
|-
 
|-
|align="center"|6||Plans, Specifications & Estimate (PS & E) Approval||align="center"| 36 months ||align="center"|Yes
+
|[[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|Fig. 136.1.5, Final Plans Specifications & Estimate Process]]
 
|-
 
|-
|align="center"|7||Construction Contract Award ||align="center"|42 months||align="center"| Modified
+
|[[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|Fig. 136.1.6, Letting Plans & Contract Proposal Process]]
 
|-
 
|-
|align="center"|8||Final Certification/Project Closeout<sup>2</sup>||align="center"|60 to 72 months||align="center"|Modified
+
|[[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|Fig. 136.1.7, Construction Process]]
(as needed)
 
 
|-
 
|-
|colspan="4"|<sup>1</sup> 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.
+
|[[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|Fig. 136.1.8, LPA MoDOT Agreement Process Chart]]
 
|-
 
|-
|colspan="4"|<sup>2</sup> The time lapse between construction contract award and project closeout will depend on project type. Final certifications as discussed in [[136.9 Final Design|EPG 136.9 Final Design]] must be submitted to the appropriate MoDOT district representative 60 days after final inspection.
+
|[[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|Fig. 136.1.9, Engineering Services Contract Process Chart]]
 
|}
 
|}
  
====136.1.2.2 Verification of Reasonable Progress====
+
==136.1.1 Background and Purpose==
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 one year after the plans, specifications and estimate approval.
+
EPG 136 Local Public Agency (LPA) Policy, produced by MoDOT, is intended to be used as a guide for Local Public Agencies (LPAs) that sponsor projects utilizing federal transportation funds. An LPA is a city or county governmental entity sponsoring a federally funded transportation project.
  
====136.1.2.3 Policy Enforcement====
+
EPG 136 addresses ten local programs that are funded under the current and prior transportation acts:
If the allocated federal funds are not programmed for a specific project within one year, MoDOT
 
will request information from the MPO or entity as to the planned use of the allocated funds. The MPO or entity will be required to provide a written explanation within 30 days of the notification as to the status of funds and a time line for their use. If adequate information is not received, MoDOT will pull the allocated funds from the entity and redistribute at the department’s discretion.
 
  
If a project falls six months behind schedule at any point in its development, without a written
+
:1. Highway Bridge Program (BRO)
explanation provided by the entity and approved by MoDOT, the entity and/or MPO will be
+
:2. Highway Bridge Program (BRM)
contacted by MoDOT requesting information as to the cause of the delays. A letter will notify the entity of the schedule lapse and the possible implications of further delays. The entity and/or MPO will be required to reply <u>in writing</u> within 30 days of the letter date as to the project status and provide a revised timeline for the project. The entity 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.
+
:3. Surface Transportation Program (STP) Large Urban – Attributable
 +
:4. Surface Transportation Program (STP) Small Urban – Non-Attributable
 +
:5. Surface Transportation Program (STP) – Enhancement
 +
:6. Transportation Alternatives Program (TAP)
 +
:7. Congestion Mitigation and Air Quality (CMAQ)
 +
:8. Safe Routes to School (SRTS)
 +
:9. Scenic Byways
 +
:10. Earmarks / Discretionary (Federal Awards)
  
If a project falls one year behind the Project Development/Implementation Schedule at any phase,
+
[http://www.fhwa.dot.gov/legsregs/directives/cfr23toc.htm Title 23] United States Code (U.S.C.) requires MoDOT to administer all funds apportioned and allocated to the state under the current transportation act.  A transportation act is legislation that establishes or continues federal programs by defining the rules and regulations and establishing funding levels for the programs. Federal law directs that certain percentages of federal funding categories within the state’s apportionment must be sub-allocated toward the Off-System Bridge Replacement and Rehabilitation (BRO), STP Large Urban – Attributable, Transportation Alternatives and Congestion Mitigation and Air Quality (CMAQ).
MoDOT will notify the entity and/or MPO of the schedule lapse by letter. The notification will serve as a final notice, giving the entity 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,
+
Utilization of federal funds requires compliance with federal regulations and specific responsibilities for LPAs. The purpose of EPG 136 LPA Policy is to document these regulations and responsibilities and provide a resource for LPAs.
would require the entity 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 entity informed as to the status of the project. The entity 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 entity to repay any federal funds spent on a cancelled project. The project sponsor would be required to repay these funds prior to the programming of any future projects. In addition, project sponsors 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.
+
==136.1.2 Roles and Responsibilities (what to expect)==
  
===136.1.3 Federally Funded Bridge Projects===
+
For projects administered by LPA officials, MoDOT will furnish information concerning the necessary federal requirements and will act as a liaison between FHWA and the LPA. The necessary design, right of way acquisition, environmental, historical and archaeological clearances and approvals, construction and maintenance of improvements will be the responsibility of the LPA.  The LPA must have a qualified person of responsible charge per [[#136.1.2.1 Person of Responsible Charge|EPG 136.1.2.1 Person of Responsible Charge]].  A [[#136.1.6 Contact Information|MoDOT district representative]] will be the primary contact, furnish the necessary guidelines and coordinate the necessary reviews and approvals. MoDOT personnel will advise and assist the LPA in meeting the requirements of the program. Additional information regarding federal requirements is available through the MoDOT district representative. 
  
The design philosophy for federally funded bridge projects is to promote the use of good engineering judgment based on project specific site conditions. Although there is an expectation that applicable national codes and design guidelines will generally be followed this does not mean it is necessary to rigidly follow the “design standard” philosophy (for example, one size fits all) in order for a project to be eligible. MoDOT’s programs are designed to allow the local agency and their engineer the flexibility to build a safe and economical project that meets the needs and desires of the local agency and general public to maximize limited funding and resources.
+
Projects are performed under the terms of an agreement between the LPA and MoDOT (refer to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]]). Work on any part of the project cannot proceed until federal funding has been approved (obligated) by the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)] and the LPA has been notified by MoDOT.
  
In keeping with this program philosophy, the engineer of record will be considered responsible for determining the appropriate design parameters chosen for the project based on the specific site conditions, local agency needs and guidance provided in [[136.8 Preliminary Design|EPG 136.8 Preliminary Design]]. This will provide the engineer and local agency with the greatest flexibility in investigating possible design alternatives in order to optimize the available funds for these bridge projects and to build what is needed at the project site. Documentation of all design decisions made for the project is expected to be kept by the local agency and made available for viewing by MoDOT district personnel or FHWA upon request.
+
The federal-aid transportation program is a '''reimbursement program'' in which the LPA is reimbursed minus its matching percentage after MoDOT receives proper proof of payment for work incurred to date. If funds are approved, they will be distributed through MoDOT to the LPA sponsoring the project.  If a project is not completed per federal regulations, the LPA sponsoring the project will be required to repay MoDOT the lump sum of federal funds reimbursed to date.
  
To promote an efficient delivery of local bridge projects, MoDOT will concentrate oversight efforts pertaining to the bridge structure for these projects to the PS&E submittals stage. All deliverables at the PS&E stage are expected to be complete and in a “ready to let” status since a professional engineer registered to practice engineering in the state of Missouri is required to sign and seal the documents. With this in mind, MoDOT does not typically act as a “checker” of the details for these submittals as the accuracy and completeness are assumed to be the responsibility of the professional engineer. Also, it typically will not be MoDOT’s practice to independently evaluate or verify the appropriateness of the proposed design parameters chosen for these projects by the engineer of record. MoDOT’s role is to perform a broad quality assurance overview to make sure all “deliverables” are received as described in [[:category:136 Local Public Agency (LPA) Policy|EPG 136 Local Public Agency (LPA) Policy]] and as necessary to add the bridge to the National Bridge Inventory database.
+
In addition to the reasonable progress policy in [[136.3 Federal Aid Basics#136.3.7 Reasonable Progress Policy|EPG 136.3.7 Reasonable Progress Policy]], LPA projects using federal funds for preliminary engineering or right of way acquisition, the project must advance to the construction phase within a specific period of time per the following federal regulations:
  
In addition to the requirements and expectations discussed above and elsewhere in this policy, the engineer of record will be responsible for verifying that the intent of the MoDOT’s federal bridge programs has been met for bridge rehabilitation and replacement projects. By signing and sealing the PS&E submittals, the engineer of record will be representing to MoDOT that the four criteria given below have been met.
+
Preliminary Engineering – In the event that right of way acquisition or construction is not started by the close of the tenth fiscal year following the fiscal year in which the preliminary engineering is authorized by FHWA, the LPA will be required to repay to MoDOT the sum of federal funds reimbursed to date. The LPA may request a time extension beyond the 10-year limit.
  
MoDOT’s intent for the federal bridge programs for rehabilitation and replacement projects:
+
Right of Way Acquisition – In the event that construction is not started by the close of the twentieth fiscal year following the fiscal year in which the right of way acquisition is authorized by FHWA, the LPA will be required to repay to MoDOT the sum of federal funds reimbursed to date. The LPA may request a time extension beyond the 20-year limit.
  
'''1.''' Proposed project is safer than the existing site conditions and all safety issues have been
+
Items eligible for federal participation include preliminary engineering, surveys, public hearings, environmental and historical documentation, right of way, project advertising costs, construction, construction engineering, beautification, traffic control devices and those portions of utility relocation costs for which the LPA is responsible. Incidental right of way costs will not be eligible for federal reimbursement.  
adequately addressed or mitigated.
 
  
'''2.''' Proposed bridge project will remove or will not create any deficiencies of the National
+
When an LPA project uses federal funds on any portion of the project, all realty rights must be acquired in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act). If the realty rights were acquired more than 5 years prior to the first request for federal funds, the LPA shall submit a statement certifying that no new realty rights are needed and the dates the existing realty rights were acquired. Therefore, regardless of whether federal funds are available at the time of acquisition, LPA’s are strongly encouraged to comply with the Uniform Act of the Code of Federal Regulations when acquiring realty rights (right of way), easement access, or other real property. If the realty rights were acquired less than 5 years prior to the first request for federal funds, the acquisition must have occurred within the parameters of the Uniform Act in order for any portion of the project to receive federal funds.
Bridge Inventory items based on the Federal Highway Administration’s “Recording and
 
Coding Guide for the Structure Inventory and Appraisal of the Nation’s Bridges”. It has
 
been noted that the engineer of record is expected to determine the design parameters
 
based on site conditions and local agency needs. If this results in a deficient item, the
 
engineer is required to provide documentation to justify the proposed parameter and, if
 
applicable, MoDOT will forward to FHWA for their approval. This information should
 
be submitted in the early stages of the project so that any necessary approval is attained to
 
avoid the potential of delays or any unnecessary engineering work. Refer to [[136.8 Preliminary Design|EPG 136.8 Preliminary Design]] for details and descriptions regarding the deficient items. However, removal
 
of all deficiencies may not be applicable for STP projects. For STP projects, the engineer
 
of record should verify based on the latest federal legislation.
 
  
'''3.''' The longevity or “bridge life” of a bridge project can reasonably be expected to last a
+
===136.1.2.1 Person of Responsible Charge===
minimum of 25 years before development of any significant deficiencies.
+
The key regulatory provision, [http://cfr.vlex.com/vid/635-105-supervising-agency-19725301 23 CFR 635.105 – Supervising Agency], provides that the state transportation agency (MoDOT) is ultimately responsible for construction of federally funded projects, whether the work is performed by MoDOT or the LPA. The regulation provides that MoDOT and LPA must provide a full time employee to be in “responsible charge” of the project.
  
'''4.''' The project will be in compliance with all applicable federal, state, and local laws and
+
====136.1.2.1.1 Requirements====
regulations.
+
For locally administered projects, the regulation requires that the person in “responsible charge” be a full time public employee or elected official of the LPA. The regulation is silent about engineering credentials. Thus, the person in “responsible charge” of LPA administered projects need not be an engineer. This requirement applies even when consultants are providing construction engineering services. A consultant cannot be the person of responsible charge.
  
===136.1.4 Inventory===
+
====136.1.2.1.2 Duties====
 +
Regardless of whether the project is administered by MoDOT or the LPA, the person designated as being in "responsible charge" is expected to be a public employee who is accountable for a project. This person should be expected to be able to perform the following duties and functions:
  
MoDOT is required to submit an annual inventory of all bridges and all federal-aid highway systems in the state to FHWA. Failure to complete the requirements of inventory and inspection by a local agency will jeopardize their eligibility to participate in the funding programs within this policy.
+
:* Administer inherently governmental project activities, including those dealing with cost, time, adherence to contract requirements, construction quality and scope of Federal-aid projects;
  
====136.1.4.1 Bridge Inventory and Inspection====
+
:* Maintain familiarity of day-to-day project operations, including project safety issues;
  
FHWA requires all bridges on public roads to be inventoried and inspected in accordance with the
+
:* Make or participate in decisions about changed conditions or scope changes that require change orders or supplemental agreements;
National Bridge Inspection Standards. The FHWA holds MoDOT responsible for collecting the
 
inventory data. The local agency's inventory and inspections shall be in accordance with the
 
MoDOT's current publication, [[:Category:753 Bridge Inspection Rating|EPG 753 Bridge Inspection Rating]].
 
  
====136.1.4.2 Roadway Inventory====
+
:* Visit and review the project on a frequency that is commensurate with the magnitude and complexity of the project;
MoDOT will request the necessary information from the local agency for all federal-aid routes under their jurisdiction. Information requested includes mileage by surface type, surface width, number of lanes and traffic volume category. The information should include the submission of a system map (two copies) along with comments on the system from an area wide planning agency. If the local agency population is more than 50,000, the local agency is required to submit three copies.
 
  
===136.1.5 Utilities===
+
:* Review financial processes, transactions and documentation to ensure that safeguards are in place to minimize fraud, waste and abuse; and
The local agency should, in the programming phase, identify existing utility locations and
 
determine if any adjustments will be required with the proposed improvement. This determination
 
can be made by visually examining the existing utility facilities within the limits or by calling Dig Rite (800 DIG-RITE) or directly calling the utility company to have the utilities located. This step is necessary to determine what impact utility relocations might have on local funding. Should the type of relocation qualify for federal participation, the local agency may include these estimated costs in the [[media:136.3.1.1 Programming Data Form (Fig. 3-1-1R).doc|Programming Data Form]] (Fig. 136.3.1.1) or on the [http://www.modot.mo.gov/business/manuals/documents/Final%20Enhancement%20Guide.pdf Transportation Enhancement Application].
 
  
===136.1.6 Administration of Funding===
+
:* Direct project staff, agency or consultant, to carry out project administration and contract oversight, including proper documentation.
  
====136.1.6.1 Highway Bridge Program====
+
:* Be aware of the qualifications, assignments and on-the-job performance of the agency and consultant staff at all stages of the project.
  
The Highway Bridge Program (HBP) has been authorized for public bridges beginning with Fiscal Year 1979. 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.
+
:* Must sign all project documents including but not limited to agreements, certifications, plans, change orders etc.
  
Federal funds are available to finance up to 80% of the eligible project cost, but may be increased with the use of credit earned from replacing an eligible bridge that is not on the federal-aid system. It will be necessary for the local agency to provide the necessary matching funds. The fair market value of donated right of way (after March 1987) may be credited to the local agency's matching share with the amount not to exceed the local agency's share. For further details regarding donated right of way, refer to [[236.18 Local Public Agency Land Acquisition|EPG 236.18 Local Public Agency Land Acquisition]] or contact the MoDOT district
+
The regulations do not restrict an agency’s organizational authority over the person designated in “responsible charge," and the regulations do not preclude sharing of these duties and functions among a number of public agency employees. The regulations also do not preclude one employee from having responsible charge of several projects and directing project managers assigned to specific projects.
representative. Refer to [[136.1 General#136.1.7 Local Match Guidelines|EPG 136.1.7 Local Match Guidelines]] for additional information.
 
  
If a local agency replaces or rehabilitates an eligible bridge that is not on the federal aid system with their own funds, they may receive a credit that can be applied to the non-federal share on other federal aid bridge projects. Details are included in [[136.2 Bridge Soft Match Credit Program|EPG 136.2 Bridge Soft Match Credit Program]].
+
===136.1.2.2 Project Sponsor Eligibility===
 +
Federal funds, as permitted by statue, are provided to local governmental entities for public transportation improvements. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. Transportation related government agencies include:
  
The HBP Program is intended for bridge rehabilitation and replacement and a minimum amount of approach roadway construction will be allowed.
+
:* Metropolitan Planning Organizations (MPOs)
 +
:* Public transit agencies that are sub recipients of FTA funding
 +
:* Road Improvement or Special Road Districts
 +
:* Other transportation related government agencies that have taxing authority.  
  
The funds will be administered according to the following policies:
+
Where permitted by federal statue, limited eligibility is available to recognized non-profits and school districts as project sponsors within MPO boundaries designated as Transportation Management Areas (TMAs).  At the sole discretion of the MPO board, eligible federal funding may be extended to recognized non-profits and school districts.
 +
Recognized non-profits and school districts shall:
  
'''1.''' The current transportation bill requires that at least 15% of the state's total bridge
+
:* have written organizational structure with bylaws and a policy board that meets regularly.
appropriation be allocated for use on off-system bridges (BRO). The Missouri Highway and
+
:* Be in existence and be registered with the Missouri Secretary of State continuously for a minimum of five years prior to application for LPA funds.
Transportation Commission approves the amount of bridge funds allocated to this program.
+
:* not have any disparaging financial or ethical infractions on record with any government agency or private business within the past five years.
Off-system bridges are bridges that are on roads that are functionally classified as a local
+
:* have qualified full-time staff able to comply with 2 CFR 200 – Requirements for Federal Awards
road or street and rural minor collectors.
+
:* have written procurement processes for equipment, materials, and/or non-engineering services necessary to implement a project.
  
'''2.''' Off-System funds allocated to the counties will be 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.
+
All other entities must partner with a city or county to apply for and/or administer a federal aid transportation project.  
 +
Metropolitan Planning Organizations may apply additional eligibility restrictions for funds they receive and allocate.
  
'''3.''' Bridge funds for off-system projects 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 <u>three</u> years of future allocations for preliminary engineering or <u>one</u> year of future
+
===136.1.2.3 Inventory===
allocation for construction costs.
+
MoDOT partners with LPAs to compile and submit an annual inventory of all bridges and federal-aid highways in the state to FHWA. Failure to complete the requirements of inventory and inspection by an LPA will jeopardize their eligibility to participate in the programs within EPG 136.
  
'''4.''' The Missouri Highway and Transportation Commission approves the amount of bridge funds
+
====136.1.2.3.1 Bridge Inventory and Inspection====
allocated to the Kansas City, Springfield and St. Louis TMAs and other cities with an urban
+
FHWA requires all bridges on public roads to be inventoried and inspected in accordance with the National Bridge Inspection Standards (NBIS). The FHWA holds MoDOT responsible for collecting and submitting the bridge inventory data for all bridges within the state. The bridge inventory is utilized when allocating the Highway Bridge Program (BRO) funds to each county. As a condition of receiving federal funds on a  bridge project, the LPA is required to cooperate with MoDOT and comply with the inventory and inspection requirements as specified in [http://epg.modot.org/index.php?title=Category:753_Bridge_Inspection_Rating EPG 753 Bridge Inspection Rating].
cluster population of greater than 5,000 for use on on-system bridges (BRM). On-system bridges are bridges that are on roads that are functionally classified as urban collectors, rural major collectors, and arterials. Bridge funds for cities with an urban cluster population between 5,000 and 200,000 are distributed on a selection process which is conducted annually. The amount of money programmed will be the maximum amount the city will receive. Any costs over the programmed amount will be funded with the city's allocated STP funds or with local funds.
 
  
There are two types of projects that can be evaluated to see if exceptions to these guidelines should be made. Projects will be evaluated on an individual basis to see if any exceptions are warranted.
+
====136.1.2.3.2 Roadway Inventory====
 +
MoDOT will request the necessary information from the LPA for all federal-aid routes under their jurisdiction. Information requested includes mileage by surface type, surface width, number of lanes and traffic volume category. The information should include the submission of a system map (two copies) along with comments on the system from an area wide planning agency. If the LPA population is more than 50,000, the LPA is required to submit three copies.
  
'''1. Emergency Project'''
+
==136.1.3 Key Steps of a Typical Federal Aid 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'''
+
All project documents submitted to MoDOT must be in an electronic pdf format. Refer to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects.
Some counties do not receive enough allocation to reasonably finance a bridge project. Some allowance will be made for these counties to exceed the guidelines so they can
 
participate in the program.
 
  
====136.1.6.2 STP-Urban====
+
===136.1.3.1 Planning and Programming Process===
The STP-Urban Program has been authorized for all cities with a population of over 5,000 beginning with Fiscal Year 1974. Legislation authorizes the expenditure of federal funds for highway related construction and improvements on on-system routes and bridges that are on or off the federal aid system within the approved urban and urbanized boundaries. In MPOs designated as Transportation Management Areas (TMAs), 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.
 
  
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.
+
1. The LPA selects project. If the project involves a bridge, the bridge must meet the criteria discussed in [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]]. If LPA is in a [http://www.modot.mo.gov/plansandprojects/long-range_plan/ListofMissouriMPOs.htm Metropolitan Planning Organization (MPO)], the LPA must also ensure the project is on the current Transportation Improvement Program (TIP).
  
Funds are usually authorized by Congress for several years under a single transportation bill, but are apportioned annually for a single year to the state. Cities outside the three TMAs will be permitted to utilize funds they expect to receive for the number of years for which funds are authorized in the current transportation bill, provided statewide balances permit.
+
2. The LPA submits to MoDOT the programming information for the selected project. This includes [[media:136.3.1.doc|Fig. 136.3.1, Programming Data Form]] and project location map.
  
In Kansas City, Springfield and St. Louis, the distribution of funds will be determined by the
+
3. MoDOT will notify the LPA regarding project eligibility.
TMA through coordination with the local agencies within the TMA boundary.
 
  
Federal funds are available to finance up to 80% of eligible project costs. It will be necessary for the local agency to provide the necessary matching funds. Federal funds from other federal agencies cannot be used to match STP-Urban funds, except as defined [[136.1 General#136.1.8 Other Federal Funding Used as Match|EPG 136.1.8 Other Federal Funding Used as Match]].
+
4. The MoDOT district office will coordinate with the LPA to complete an LPA/MHTC Program Agreement.  
  
The funds will be administered according to the following policies:
+
5. If the LPA intends to perform the design work with in-house staff, the LPA must submit a request for approval to the [[#136.1.6 Contact Information|district contact]].  Refer to [[136.3 Federal Aid Basics#136.3.12 Federal-aid Participation for Local Work|EPG 136.3.12 Federal-aid Participation for Local Work]] for more information.
  
'''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
+
6. If the LPA does not have the professional staff to perform the design and environmental work, the LPA will use the QBS process to select a consultant and negotiate a contract. Refer to [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]] for solicitation and selection procedures.
"attributable funds" and are allocated by MoDOT to the respective TMAs.
 
  
'''2.''' A share of the STP-Urban funds is allocated to cities with an urban cluster population between 5,000 and 200,000. These funds are referred to as "non-attributable funds". The Missouri Highway 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.
+
7. MoDOT will review and approve the consultant contract.
  
====136.1.6.3 STP-Enhancement====
+
8. MoDOT requests federal funding for project. Upon obligation by FHWA, MoDOT authorizes the LPA to begin preliminary engineering.
The STP-Enhancement Program offers states different options to enhance their transportation
 
system. The current transportation bill allows all levels of government 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 see [http://www.modot.mo.gov/business/manuals/documents/Final%20Enhancement%20Guide.pdf A Guide to Transportation Enhancements]. The current transportation bill requires that at least 10% of the Surface Transportation Program funds must be 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
+
9. The LPA will submit the request for environmental services ([[media:136.6.4.doc|Fig. 136.6.4]]) to the MODOT district contract. For more information, see [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]].
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.
 
  
Enhancement projects must be projects that are over and above what is considered routine
+
10. The LPA prepares the environmental document as directed in Step 9, above, and discussed in detail in EPG 136.6 Environmental and Cultural Requirements. The LPA is responsible for compliance with all applicable federal and state environmental laws and regulations; EPG 136.6 Environmental and Cultural Requirements contains guidance to aid the LPA in achieving such compliance.
construction or maintenance. Transportation enhancement funds may be used in the following
 
categories:
 
  
'''1.''' Pedestrian and bicycle facilities.
+
'''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.'''
  
'''2.''' Pedestrian and bicycle safety and education activities.
+
===136.1.3.2 Preliminary and Final Design===
  
'''3.''' Acquisition of scenic easements and scenic or historic sites including historic battlefields.
+
1. The LPA prepares preliminary plans for MoDOT district review. The LPA prepares right of way plans for certification and review by MoDOT. LPA requests right of way purchasing authorization prior to acquisition. Purchases made prior to authorization approval by FHWA will not be eligible for federal participation.  
  
'''4.''' Scenic or historic highway programs including the provision of tourist and welcome center facilities.
+
2. The LPA coordinates with local utility companies regarding any utility conflicts within the project limits. If federal funds are to be used to complete utility adjustments, LPA should submit utility agreement to MoDOT.
  
'''5.''' Landscaping and other scenic beautification.
+
3. The LPA acquires necessary right of way for the project and requests right of way clearance through MoDOT in accordance with [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]].
  
'''6.''' Historic preservation.
+
4. LPA submits plans, specifications, and estimates (PS&E) to MoDOT for review. Submittals must include all commitments identified in environmental documents. Once PS&E documents have been reviewed and modifications completed, MoDOT will request obligation of construction funds from FHWA.
  
'''7.''' Rehabilitation and operation of historic transportation buildings, structures, or facilities including historic railroad facilities and canals.
+
'''Bid advertisement of the project cannot occur until federal funding has been approved (obligated) by FHWA and the LPA has been notified by MoDOT to proceed.'''
  
'''8.''' Preservation of abandoned railroad corridors including the conversion and use thereof for pedestrian or bicycle trails.
+
===136.1.3.3 Contract Letting and Construction===
  
'''9.''' Control and removal of outdoor advertising.
+
1. Once FHWA approves the obligation of construction funds, MoDOT will notify the LPA to advertise for bids. If all work is to be done by local forces and approved by MoDOT, skip to item no.6, below. Also, please refer to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] for more details on work performed by local forces.
  
'''10.''' Archaeological planning and research.
+
2. The LPA must advertise for bid a minimum of 21 calendar days prior to letting.  Refer to [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] for more information on items 2 through 4.
  
'''11.''' Mitigation of water pollution due to highway runoff or reduce vehicle-caused wildlife
+
3. The LPA opens the bids, recommends award of the contract.  
mortality while maintaining habitat connectivity.
 
  
'''12.''' Establishment of transportation museums.
+
4. The LPA submits bid tabs and all supporting documentation to MoDOT for concurrence. MoDOT will notify the LPA of their concurrence in the award of the bid and that the contract may be executed.
  
Up to 80% of a transportation enhancement project can be financed with federal STP funds. The
+
5. The LPA will execute contract with the successful bidder and submit a copy of the executed contract to MoDOT. MoDOT will review the executed contract with the required documents and notify the LPA that they may issue a notice to proceed. The LPA will issue a notice to proceed to the contractor. Refer to [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] for more information on steps 5 through 10.
local agency is required to match the project with at least 20%. Refer to [[136.1 General#136.1.8 Local Match Guidelines|EPG 136.1.8 Local Match Guidelines]] for local match guidelines for enhancement projects.
 
  
====136.1.6.4 Congestion Mitigation and Air Quality (CMAQ)====
+
6. Construction begins. The LPA submits progress reports, conducts wage rate interviews, assures that construction is inspected for compliance with specifications, and ensures EEO compliance.
The CMAQ Program was created by the Intermodal Surface Transportation Equity Act of 1991
 
(ISTEA) to assist cities in attaining federal air quality guidelines. Legislation authorizes the
 
expenditure of CMAQ funds on projects that have 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 the state of Missouri. Typical activities include revisions and installation of traffic signals, developing transportation management systems, public transportation facilities, and activities to encourage car pooling and van pooling.
 
  
====136.1.6.5 Safe Routes to School (SRTS)====
+
7. If construction changes are needed, the LPA determines level of the change order and submits as needed to MoDOT. After the final change order, additional funding may be requested to cover change orders if funds are available.
  
The federal-aid Safe Routes to School Program (SRTS) was created by SAFETEA-LU. These funds are available for infrastructure and non-infrastructure projects that benefit elementary and middle school children in grades K-8. 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. More detailed program requirements and project activities are available at MoDOT's [http://www.modot.mo.gov/Safety/SafeRoutestoSchool.htm Safe Routes to School Program (SRTS)] website.
+
8. The LPA maintains necessary documentation of quantities placed in support of quantities paid.
  
===136.1.7 Summary of Typical Federal Aid Procedures===
+
9. Once construction is complete, the LPA notifies MoDOT's district representative to coordinate the final inspection. The LPA submits final inspection report.
  
====136.1.7.1 Conceptual Design====
+
10. The LPA submits all applicable final documentation to MoDOT including a final invoice for all project costs involving preliminary engineering, construction engineering services, right of way, utility adjustments and construction costs.
'''1.''' The local agency selects project. If the project involves a bridge, the bridge must meet the criteria discussed in [[136.3 Project Selection and Programming|EPG 136.3 Project Selection and Programming]]. If local agency is in a [http://www.modot.mo.gov/plansandprojects/long-range_plan/ListofMissouriMPOs.htm MPO], the local agency must also ensure the project is on the current TIP.
 
  
'''2.''' If the local agency does not have the professional staff to perform the design and
+
11. MoDOT audits the project as necessary and requests final adjustments from FHWA.
environmental work, the local agency selects a consultant and negotiates a contract.  Refer to [[136.6 Consultant Contracts|EPG 136.6 Consultant Contracts]].
 
  
'''3.''' The local agency submits to MoDOT programming information on the selected project to
+
12. The LPA is responsible for implementing all commitments identified in the environmental documents.
include the Programming Data form and project location map.
 
  
'''4.''' MoDOT will review the consultant contract and verify the eligibility of the project.
+
==136.1.4 Flow Charts/Checklists/Figures/Forms==
  
'''5.''' MoDOT will notify the local agency that the project is eligible and if an environmental
+
{|style="padding: 0.3em; margin-left:15px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#ffddcc" width="720px" align="center"  
document is required.
 
 
 
'''6.''' The MoDOT district office will coordinate with the local agency the completion of a local agency/MHTC agreement.
 
 
 
'''7.''' MoDOT requests federal funding for project. Upon approval by FHWA, MoDOT authorizes
 
the local agency to begin preliminary engineering.
 
 
 
'''8.''' The local agency prepares the environmental document as directed in Step 5, above, and discussed in detail in [[136.4 Environmental and Cultural Requirements|EPG 136.4 Environmental and Cultural Requirements]]. The local agency is responsible for compliance with all applicable federal and state environmental laws and regulations; EPG 136.4 Environmental and Cultural Requirements contains guidance to aid the local agency in achieving such compliance.
 
 
 
'''No work is to be initiated on any part of the project until federal funding has been approved (obligated) by FHWA and the local agency has been notified by MoDOT to proceed.'''
 
 
 
====136.1.7.2 Preliminary and Final Design====
 
'''9.''' The local agency prepares preliminary plans for MoDOT district review. The local agency prepares right of way plans for certification and review by MoDOT. Local agency requests right of way purchasing authorization prior to acquisition. Purchases made prior to authorization approval by FHWA will not be eligible for federal participation. Submittal of preliminary bridge plans, hydraulic studies, etc. to MoDOT's [http://wwwi/intranet/br/default.htm Bridge division] is not necessary. However, if the engineer or local agency has specific questions regarding bridge project eligibility that they would like MoDOT to address at the preliminary stage then MoDOT's Bridge division is receptive to this information. Specific questions should be provided by the engineer or local agency in writing on their cover letter with the submitted package to the MoDOT district office.
 
 
 
'''10.''' The local agency coordinates with local utilities to relocate as required. If federal funds are to be used to complete utility adjustments, local agency should submit utility agreement to MoDOT.
 
 
 
'''11.''' The local agency acquires necessary right of way for project and requests right of way clearance through MoDOT in accordance with [[236.18 Local Public Agency Land Acquisition|EPG 236.18 Local Public Agency Land Acquisition]].
 
 
 
'''12.''' Local agency submits plans, specifications, and estimates (PS&E) to MoDOT for review. Submittals must include all commitments identified in environmental documents. Once PS&E documents have been reviewed and modifications completed, MoDOT will request obligation of funds from FHWA.
 
 
 
'''No work is to be initiated on any part of the project until federal funding has been approved (obligated) by FHWA and the local agency has been notified by MoDOT to proceed.'''
 
 
 
====136.1.7.3 Contract Letting and Construction====
 
 
 
'''13.''' Once FHWA approves the obligation of construction funds, MoDOT will notify the local
 
agency to advertise for bids. If all work is to be done by local forces, skip to item 19, below.
 
Also, please refer to [[136.3 Project Selection and Programming|EPG 136.3 Project Selection and Programming]] and [[136.9 Final Design|EPG 136.9 Final Design]] for more details on work performed by local forces.
 
 
 
'''14.''' The local agency must advertise for bid a minimum of 21 days prior to letting.
 
 
 
'''15.''' The local agency opens the bids, recommends award of contract. At this time the successful bidder has three days to fill out information on DBE sub-contractors and return it to the local agency. The local agency must disqualify the bidder if DBE information is not returned within three business days.
 
 
 
'''16.''' Local agency submits bid tabs, anti-collusion statement, and DBE information to MoDOT
 
for concurrence. MoDOT will notify the local agency of their concurrence in the award of the
 
bid and that the contract may be executed.
 
 
 
'''17.''' The local agency will execute contract with the successful bidder, issue notice to proceed to the contractor, and must submit a copy of the executed contract to MoDOT. MoDOT will
 
review the executed contract with the required documents and notify the local agency that
 
they may issue a notice to proceed.
 
 
 
'''18.''' Construction begins. The local agency submits progress reports, conducts wage rate interviews, assures that construction will be inspected for compliance with specifications, and ensures EEO compliance.
 
 
 
'''19.''' If construction changes are needed, the local agency determines level of the change order and submits as needed to MoDOT. After the final change order, additional funding may be
 
requested to cover changes orders if funds are available.
 
 
 
'''20.''' The local agency maintains necessary documentation of quantities placed in support of
 
quantities paid.
 
 
 
'''21.''' Once construction is complete, the local agency notifies MoDOT's district representative to coordinate the final inspection. The local agency submits final inspection report.
 
 
 
'''22.''' The local agency submits all applicable final documentation to MoDOT including a final
 
invoice for all project costs involving preliminary engineering, construction engineering
 
services, right of way, utility adjustments and construction costs.
 
 
 
'''23.''' MoDOT audits the project as necessary and requests final payment from FHWA.
 
 
 
'''24.''' The local agency is responsible for implementing all commitments and monitoring identified in environmental documents.
 
 
 
====136.1.8 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.
 
 
 
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" align="center"
 
|+'''Federal-to-Federal Matching Opportunities'''
 
! style="background:#BEBEBE" colspan="2"|Source of Federal Funding !! style="background:#BEBEBE" colspan="2"|Eligible Categories of Highway Projects
 
 
|-
 
|-
| colspan="2"|Federal Land Management Agencies, including but not limited to:||style="background:#D5D5D5" colspan="2"|Federal highway projects funded under the following program categories:
+
|colspan="2" align="center"|'''Easily Printable Versions of Flowcharts'''
 
|-
 
|-
|* ||U.S. Forest Service||style="background:#D5D5D5"|* ||style="background:#D5D5D5"|Interstate Maintenance
+
|[[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|Fig. 136.1, Project Flowchart for Local Federal-Aid Projects''']]||[[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|Fig. 136.1.5 Final Plans Specifications & Estimate Process]]
 
|-
 
|-
|* ||Bureau of Indian Affairs||style="background:#D5D5D5"|* ||style="background:#D5D5D5"|National Highway System
+
|[[media:136.1.10.1 LPA Planning Process Chart.pdf|Fig. 136.1.1 LPA Planning Process Chart]]||[[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|Fig. 136.1.6 Letting Plans & Contract Proposal Process]]
 
|-
 
|-
|* ||Bureau of Reclamation||style="background:#D5D5D5"| *||style="background:#D5D5D5"|Surface Transportation Program
+
|[[media:136.1.10.2 MoDOT Programming Process Chart.pdf|Fig. 136.1.2 MoDOT Programming Process Chart]]||[[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|Fig. 136.1.7 Construction Process]]
 
|-
 
|-
| *||Bureau of Land Management||style="background:#D5D5D5"| *||style="background:#D5D5D5"|Congestion Mitigation and Air Quality Program
+
|[[media:136.1.10.3 Right of Way Process Chart.pdf|Fig. 136.1.3 Right of Way Process]]||[[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|Fig. 136.1.8 LPA MoDOT Agreement Process Chart]]
 
|-
 
|-
|* ||National Park Service||style="background:#D5D5D5"| *||style="background:#D5D5D5"|Recreational Trails Program
+
|[[media:136.1.10.4 Preliminary Plan Process Chart.pdf|Fig. 136.1.4 Preliminary Plans Process]]||[[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|Fig. 136.1.9 Engineering Services Contract Process Chart]]
 +
|}
 +
 
 +
 
 +
[[image:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.jpg|center|775px|thumb|<center>'''Fig. 136.1, Project Flowchart for Local Federal-Aid Projects'''</center>
 +
{| align="center"
 
|-
 
|-
|* ||Numerous military agencies||style="background:#D5D5D5"|* ||style="background:#D5D5D5"|Scenic Byways Programs (providing access to Federal or Indian Lands)
+
|[[#136.1.4.1 LPA Planning Process Chart|'''1''' Fig. 136.1.1 LPA Planning Process Chart]]||[[#136.1.4.5 Plans Specifications and Estimate Process Chart|'''6''' Fig. 136.1.5 Final Plans Specifications & Estimate Process]]
 
|-
 
|-
|colspan="2"|(authorized at 23 U.S.C. 120(k))||style="background:#D5D5D5" colspan="2"|
+
|[[#136.1.4.2 MoDOT Programming Process Chart|'''2''' Fig. 136.1.2 MoDOT Programming Process Chart]]||[[#136.1.4.6 Letting Plans and Contract Proposal Process Chart|'''7''' Fig. 136.1.6 Letting Plans & Contract Proposal Process]]
 
|-
 
|-
|colspan="2"|Federal Lands Highway Program (authorized at 23 U.S.C. 120(1))||style="background:#D5D5D5" colspan="2"|Federal highway projects funded under the programs shown above and that serve or provide access to federal or Indian lands, except Scenic Byways
+
|[[136.4 Environmental and Cultural Requirements|'''3''' EPG 136.4 Environmental and Cultural Requirements]]||[[#136.1.4.7 Construction Bidding and Contract Process Chart|'''8''' Fig. 136.1.7 Construction Process]]
 
|-
 
|-
|colspan="2"|Federal programs with special legislative authorization to match other federal funds, including funds provided under:||style="background:#D5D5D5" colspan="2"|Any Federal-aid highway project
+
|[[#136.1.4.3 Right of Way Process Chart|'''4''' Fig. 136.1.3 Right of Way Process]]||[[136.11 Local Public Agency Construction|'''9''' EPG 136.11 Local Public Agency Construction]]
 
|-
 
|-
|* ||State and Local Assistance Act|| style="background:#D5D5D5" colspan="2"|
+
|[[#136.1.4.4 Preliminary Plan Process Chart|'''5''' Fig. 136.1.4 Preliminary Plans Process]]||[[136.3 Federal Aid Basics#136.3.15 Reimbursement and Auditing|'''10''' EPG 136.3.15 Reimbursement and Auditing]]
 +
|}]]
 +
 
 +
 
 +
====136.1.4.1 LPA Planning Process Chart====
 +
[[image:136.1.10.1 LPA Planning Process Chart.jpg|center|750px|thumb|<center>'''Fig. 136.1.1, LPA Planning Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>
 +
{| align="center"
 
|-
 
|-
|* ||HUD Community Development Block Grants||style="background:#D5D5D5" colspan="2"|
+
|[[#136.1.4.2 MoDOT Programming Process Chart|'''2''' Fig. 136.1.2 MoDOT Programming Process Chart]]
 +
|}]]
 +
 
 +
====136.1.4.2 MoDOT Programming Process Chart====
 +
[[image:136.1.10.2 MoDOT Programming Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.2, MoDOT Programming Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>
 +
{| align="center"
 
|-
 
|-
|* ||Public Works Employment Act of 1976||style="background:#D5D5D5" colspan="2"|
+
|<center>[[#136.1.4.8 LPA - MoDOT Agreement Process Chart|'''11''' Fig. 136.1.8 LPA/MoDOT Agreement Process Chart]]</center>|| ||<center>[[#136.1.4.9 Engineering Services Contract Process Chart| '''12''' Fig. 136.1.9 Engineering Services Contract Process Chart]]</center>
|-
+
|}]]
|* ||Delaware and Lehigh Navigation Canal National Heritage Corridor Act of 1988||style="background:#D5D5D5" colspan="2"|
 
|}
 
 
 
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 local agency 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.
 
  
====136.1.9 Local Match Guidelines====
+
====136.1.4.3 Right of Way Process Chart====
Federally participating projects require local agencies to match costs of the project, generally at the pro rata share established for the program. Local agencies 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:
+
[[image:136.1.10.3 Right of Way Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.3, Right of Way Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
'''1.''' As described in [[136.2 Bridge Soft Match Credit Program|EPG 136.2 Bridge Soft Match Credit Program]], 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 local agency’s share of costs on Off-System Bridge Replacement and Rehabilitation Program (BRO) projects. This soft match credit '''cannot''' be used as part of the local match for STP Enhancement, STP-Urban, CMAQ or other federal projects.
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====136.1.4.4 Preliminary Plan Process Chart====
 +
[[image:136.1.10.4 Preliminary Plan Process Chart.jpg|center|820px|thumb|<center>'''Fig. 136.1.4, Preliminary Plan Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
'''2.''' The fair market value of donated funds, materials or services (i.e., labor) donated from private third parties to the local agency 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 [http://www.independentsector.org/programs/research/volunteer_time.html guidelines published by the nonprofit organization Independent Sector].
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====136.1.4.5 Plans Specifications and Estimate Process Chart====
 +
[[image:136.1.10.5 PS and E Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.5, Plans Specifications and Estimate Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
'''3.''' 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.
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====136.1.4.6 Letting Plans and Contract Proposal Process Chart====
 +
[[image:136.1.10.6 Letting Plans and Contract Proposal Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.6, Letting Plans and Contract Proposal Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1. Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
'''4.''' Services may include the costs of preliminary engineering prior to FHWA’s environmental (NEPA) approval. Such a credit may be allowed provided that appropriate documentation to support such expenditures is available for review. The local agency must follow all applicable federal guidelines for the selection of a consultant. Only the value of expenses determined to be reasonable will be allowed to be used toward local match.
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====136.1.4.7 Construction Bidding and Contract Process Chart====
 +
[[image:136.1.10.7 Construction Bidding Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.7, Construction Bidding and Contract Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
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.  
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====136.1.4.8 LPA - MoDOT Agreement Process Chart====
 +
[[image:136.1.10.8 LPA MoDOT Agreement Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.8, LPA MoDOT Agreement Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
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, except as noted in item 4, above.
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====136.1.4.9 Engineering Services Contract Process Chart====
 +
[[image:136.1.10.9 Engineering Services Contract Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.9, Engineering Services Contract Process Chart''' [[#136.1.4 Flow Charts/Checklists/Figures/Forms|(Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]])</center>]]
  
===136.1.10 Flow Charts===
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==136.1.5 Policy Maintenance and Updates==
{|style="padding: 0.3em; margin-left:15px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#ffddcc" width="720px" align="center"
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MoDOT has established a Statewide LPA Manual Revision Team that is responsible for maintaining and updating EPG 136 LPA Policy to ensure compliance with federal laws and regulations, current processes and procedures, best practices, etc. EPG 136.1.5 describes the process that will be followed for implementing changes and updates to EPG 136.
|-
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{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="210px" align="right"  
|colspan="2" align="center"|'''Easily Printable Versions of Flowcharts'''
 
 
|-
 
|-
|[[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects''']]||[[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|Fig. 136.1.10.5 Final Plans Specifications & Estimate Process]]
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|[[136.13 LPA Policy Changes|'''Recent Changes to LPA Policy''']]
|-
 
|[[media:136.1.10.1 LPA Planning Process Chart.pdf|Fig. 136.1.10.1 LPA Planning Process Chart]]||[[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|Fig. 136.1.10.6 Letting Plans & Contract Proposal Process]]
 
|-
 
|[[media:136.1.10.2 MoDOT Programming Process Chart.pdf|Fig. 136.1.10.2 MoDOT Programming Process Chart]]||[[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|Fig. 136.1.10.7 Construction Process]]
 
|-
 
|[[media:136.1.10.3 Right of Way Process Chart.pdf|Fig. 136.1.10.3 Right of Way Process]]||[[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|Fig. 136.1.10.8 LPA MoDOT Agreement Process Chart]]
 
|-
 
|[[media:136.1.10.4 Preliminary Plan Process Chart.pdf|Fig. 136.1.10.4 Preliminary Plans Process]]||[[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|Fig. 136.1.10.9 Engineering Services Contract Process Chart]]
 
 
|}
 
|}
  
 +
The process for updating the EPG 136 LPA Policy is intended to be flexible enough to immediately accommodate changes in laws, rules or regulations when required, but yet stable enough that policy, procedural or grammatical changes are implemented on a known, periodic basis.
  
[[image:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.jpg|center|775px|thumb|<center>'''Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects'''</center>
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In order to accomplish this goal changes to LPA policy will be implemented in two forms. First, changes that require immediate implementation for the program to remain in compliance with federal laws and regulations will be issued in the form of an LPA Policy Bulletin. Less critical changes will be implemented twice per calendar year. The semi-annual updates will also incorporate any bulletins that have been issued in the previous six months.
{| align="center"
 
|-
 
|[[136.1 General#136.1.10.1 LPA Planning Process Chart|'''1''' Fig. 136.1.10.1 LPA Planning Process Chart]]||[[136.1 General#136.1.10.5 Plans Specifications and Estimate Process Chart|'''6''' Fig. 136.1.10.5 Final Plans Specifications & Estimate Process]]
 
|-
 
|[[136.1 General#136.1.10.2 MoDOT Programming Process Chart|'''2''' Fig. 136.1.10.2 MoDOT Programming Process Chart]]||[[136.1 General#136.1.10.6 Letting Plans and Contract Proposal Process Chart|'''7''' Fig. 136.1.10.6 Letting Plans & Contract Proposal Process]]
 
|-
 
|[[136.4 Environmental and Cultural Requirements|'''3''' 136.4 Environmental and Cultural Requirements]]||[[136.1 General#136.1.10.7 Construction Bidding and Contract Process Chart|'''8''' Fig. 136.1.10.7 Construction Process]]
 
|-
 
|[[136.1 General#136.1.10.3 Right of Way Process Chart|'''4''' Fig. 136.1.10.3 Right of Way Process]]||[[136.11 Local Public Agency Construction|'''9''' 136.11 Local Public Agency Construction]]
 
|-
 
|[[136.1 General#136.1.10.4 Preliminary Plan Process Chart|'''5''' Fig. 136.1.10.4 Preliminary Plans Process]]||[[136.12 Reimbursement and Auditing|'''10''' 136.12 Reimbursement and Auditing]]
 
|}]]
 
 
 
  
====136.1.10.1 LPA Planning Process Chart====
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===136.1.5.1 Bulletins===
[[image:136.1.10.1 LPA Planning Process Chart.jpg|center|750px|thumb|<center>'''Fig. 136.1.10.1, LPA Planning Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>
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LPA Policy Bulletins are created to disseminate policy and procedural changes that require immediate implementation and covers items that are of great importance. The bulletin will include a description of the specific articles of LPA policy that are being revised as well as the revised information that will be substituted in its place.
{| align="center"
 
|-
 
|[[136.1 General#136.1.10.2 MoDOT Programming Process Chart|'''2''' Fig. 136.1.10.2 MoDOT Programming Process Chart]]
 
|}]]
 
  
====136.1.10.2 MoDOT Programming Process Chart====
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[http://www.modot.mo.gov/business/lpa/index.htm The LPA Website] also includes an electronic version of LPA policy that incorporates all active bulletins into policy.
[[image:136.1.10.2 MoDOT Programming Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.2, MoDOT Programming Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>
 
{| align="center"
 
|-
 
|<center>[[136.1 General#136.1.10.8 LPA-MoDOT Agreement Process Chart|'''11''' Fig. 136.1.10.8 LPA/MoDOT Agreement Process Chart]]</center>|| ||<center>[[136.1 General#136.1.10.9 Engineering Services Contract Process Chart| '''12''' Fig. 136.1.10.9 Engineering Services Contract Process Chart]]</center>
 
|}]]
 
  
====136.1.10.3 Right of Way Process Chart====
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===136.1.5.2 Semi-annual Updates===
[[image:136.1.10.3 Right of Way Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.3, Right of Way Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
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The Statewide LPA Manual Advisory Team will update EPG 136 LPA Policy two times per calendar year. These semi-annual updates will also incorporate any active bulletins that have been issued in the previous six months.
  
====136.1.10.4 Preliminary Plan Process Chart====
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The update will include a cover memo that will give details about which pages, etc., are being added, deleted or modified. The memo will also describe the active bulletins that are being incorporated into policy.
[[image:136.1.10.4 Preliminary Plan Process Chart.jpg|center|820px|thumb|<center>'''Fig. 136.1.10.4, Preliminary Plan Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
 
  
====136.1.10.5 Plans Specifications and Estimate Process Chart====
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===136.1.5.3 Providing Input for Future Changes===
[[image:136.1.10.5 PS and E Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.5, Plans Specifications and Estimate Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
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MoDOT invites comments and suggestions for improvements to LPA policy. Please direct comments for consideration to LPAComments@modot.mo.gov.
  
====136.1.10.6 Letting Plans and Contract Proposal Process Chart====
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An on-line suggestions/feedback forum is also available at [http://www.modot.org/business/lpa/contacts.htm the LPA website].
[[image:136.1.10.6 Letting Plans and Contract Proposal Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.6, Letting Plans and Contract Proposal Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
 
  
====136.1.10.7 Construction Bidding and Contract Process Chart====
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===136.1.5.4 Notification of Changes===
[[image:136.1.10.7 Construction Bidding Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.7, Construction Bidding and Contract Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
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Users of EPG 136 LPA Policy can subscribe to the Users and Stakeholders list by completing the contact information form located at [http://www.modot.org/business/lpa/contacts.htm the LPA website]. Once registered on this list you will receive announcements and alerts when bulletins or policy updates are issued.
  
====136.1.10.8 LPA - MoDOT Agreement Process Chart====
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==136.1.6 Contact Information==
[[image:136.1.10.8 LPA MoDOT Agreement Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.8, LPA MoDOT Agreement Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
 
  
====136.1.10.9 Engineering Services Contract Process Chart====
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A [https://www.modot.org/contact-modot-lpa MoDOT district representative] will be the primary contact, furnish the necessary guidelines and coordinate the necessary reviews and approvals. MoDOT personnel will advise and assist the LPA in meeting the requirements of the program.  
[[image:136.1.10.9 Engineering Services Contract Process Chart.jpg|center|850px|thumb|<center>'''Fig. 136.1.10.9, Engineering Services Contract Process Chart''' [[136.1 General#136.1.10 Flow Charts|(Return to Fig. 136.1.10, Project Flowchart for Local Federal-Aid Projects]])</center>]]
 
  
  
 
[[Category:136 Local Public Agency (LPA) Policy|136.01]]
 
[[Category:136 Local Public Agency (LPA) Policy|136.01]]

Latest revision as of 15:51, 5 October 2018

Figures
Fig. 136.1, Project Flowchart for Local Federal-Aid Projects
Fig. 136.1.1, LPA Planning Process Chart
Fig. 136.1.2, MoDOT Programming Process Chart
Fig. 136.1.3, Right of Way Process
Fig. 136.1.4, Preliminary Plans Process
Fig. 136.1.5, Final Plans Specifications & Estimate Process
Fig. 136.1.6, Letting Plans & Contract Proposal Process
Fig. 136.1.7, Construction Process
Fig. 136.1.8, LPA MoDOT Agreement Process Chart
Fig. 136.1.9, Engineering Services Contract Process Chart

136.1.1 Background and Purpose

EPG 136 Local Public Agency (LPA) Policy, produced by MoDOT, is intended to be used as a guide for Local Public Agencies (LPAs) that sponsor projects utilizing federal transportation funds. An LPA is a city or county governmental entity sponsoring a federally funded transportation project.

EPG 136 addresses ten local programs that are funded under the current and prior transportation acts:

1. Highway Bridge Program (BRO)
2. Highway Bridge Program (BRM)
3. Surface Transportation Program (STP) Large Urban – Attributable
4. Surface Transportation Program (STP) Small Urban – Non-Attributable
5. Surface Transportation Program (STP) – Enhancement
6. Transportation Alternatives Program (TAP)
7. Congestion Mitigation and Air Quality (CMAQ)
8. Safe Routes to School (SRTS)
9. Scenic Byways
10. Earmarks / Discretionary (Federal Awards)

Title 23 United States Code (U.S.C.) requires MoDOT to administer all funds apportioned and allocated to the state under the current transportation act. A transportation act is legislation that establishes or continues federal programs by defining the rules and regulations and establishing funding levels for the programs. Federal law directs that certain percentages of federal funding categories within the state’s apportionment must be sub-allocated toward the Off-System Bridge Replacement and Rehabilitation (BRO), STP Large Urban – Attributable, Transportation Alternatives and Congestion Mitigation and Air Quality (CMAQ).

Utilization of federal funds requires compliance with federal regulations and specific responsibilities for LPAs. The purpose of EPG 136 LPA Policy is to document these regulations and responsibilities and provide a resource for LPAs.

136.1.2 Roles and Responsibilities (what to expect)

For projects administered by LPA officials, MoDOT will furnish information concerning the necessary federal requirements and will act as a liaison between FHWA and the LPA. The necessary design, right of way acquisition, environmental, historical and archaeological clearances and approvals, construction and maintenance of improvements will be the responsibility of the LPA. The LPA must have a qualified person of responsible charge per EPG 136.1.2.1 Person of Responsible Charge. A MoDOT district representative will be the primary contact, furnish the necessary guidelines and coordinate the necessary reviews and approvals. MoDOT personnel will advise and assist the LPA in meeting the requirements of the program. Additional information regarding federal requirements is available through the MoDOT district representative.

Projects are performed under the terms of an agreement between the LPA and MoDOT (refer to EPG 136.3 Federal Aid Basics). Work on any part of the project cannot proceed until federal funding has been approved (obligated) by the Federal Highway Administration (FHWA) and the LPA has been notified by MoDOT.

The federal-aid transportation program is a 'reimbursement program in which the LPA is reimbursed minus its matching percentage after MoDOT receives proper proof of payment for work incurred to date. If funds are approved, they will be distributed through MoDOT to the LPA sponsoring the project. If a project is not completed per federal regulations, the LPA sponsoring the project will be required to repay MoDOT the lump sum of federal funds reimbursed to date.

In addition to the reasonable progress policy in EPG 136.3.7 Reasonable Progress Policy, LPA projects using federal funds for preliminary engineering or right of way acquisition, the project must advance to the construction phase within a specific period of time per the following federal regulations:

Preliminary Engineering – In the event that right of way acquisition or construction is not started by the close of the tenth fiscal year following the fiscal year in which the preliminary engineering is authorized by FHWA, the LPA will be required to repay to MoDOT the sum of federal funds reimbursed to date. The LPA may request a time extension beyond the 10-year limit.

Right of Way Acquisition – In the event that construction is not started by the close of the twentieth fiscal year following the fiscal year in which the right of way acquisition is authorized by FHWA, the LPA will be required to repay to MoDOT the sum of federal funds reimbursed to date. The LPA may request a time extension beyond the 20-year limit.

Items eligible for federal participation include preliminary engineering, surveys, public hearings, environmental and historical documentation, right of way, project advertising costs, construction, construction engineering, beautification, traffic control devices and those portions of utility relocation costs for which the LPA is responsible. Incidental right of way costs will not be eligible for federal reimbursement.

When an LPA project uses federal funds on any portion of the project, all realty rights must be acquired in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act). If the realty rights were acquired more than 5 years prior to the first request for federal funds, the LPA shall submit a statement certifying that no new realty rights are needed and the dates the existing realty rights were acquired. Therefore, regardless of whether federal funds are available at the time of acquisition, LPA’s are strongly encouraged to comply with the Uniform Act of the Code of Federal Regulations when acquiring realty rights (right of way), easement access, or other real property. If the realty rights were acquired less than 5 years prior to the first request for federal funds, the acquisition must have occurred within the parameters of the Uniform Act in order for any portion of the project to receive federal funds.

136.1.2.1 Person of Responsible Charge

The key regulatory provision, 23 CFR 635.105 – Supervising Agency, provides that the state transportation agency (MoDOT) is ultimately responsible for construction of federally funded projects, whether the work is performed by MoDOT or the LPA. The regulation provides that MoDOT and LPA must provide a full time employee to be in “responsible charge” of the project.

136.1.2.1.1 Requirements

For locally administered projects, the regulation requires that the person in “responsible charge” be a full time public employee or elected official of the LPA. The regulation is silent about engineering credentials. Thus, the person in “responsible charge” of LPA administered projects need not be an engineer. This requirement applies even when consultants are providing construction engineering services. A consultant cannot be the person of responsible charge.

136.1.2.1.2 Duties

Regardless of whether the project is administered by MoDOT or the LPA, the person designated as being in "responsible charge" is expected to be a public employee who is accountable for a project. This person should be expected to be able to perform the following duties and functions:

  • Administer inherently governmental project activities, including those dealing with cost, time, adherence to contract requirements, construction quality and scope of Federal-aid projects;
  • Maintain familiarity of day-to-day project operations, including project safety issues;
  • Make or participate in decisions about changed conditions or scope changes that require change orders or supplemental agreements;
  • Visit and review the project on a frequency that is commensurate with the magnitude and complexity of the project;
  • Review financial processes, transactions and documentation to ensure that safeguards are in place to minimize fraud, waste and abuse; and
  • Direct project staff, agency or consultant, to carry out project administration and contract oversight, including proper documentation.
  • Be aware of the qualifications, assignments and on-the-job performance of the agency and consultant staff at all stages of the project.
  • Must sign all project documents including but not limited to agreements, certifications, plans, change orders etc.

The regulations do not restrict an agency’s organizational authority over the person designated in “responsible charge," and the regulations do not preclude sharing of these duties and functions among a number of public agency employees. The regulations also do not preclude one employee from having responsible charge of several projects and directing project managers assigned to specific projects.

136.1.2.2 Project Sponsor Eligibility

Federal funds, as permitted by statue, are provided to local governmental entities for public transportation improvements. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. Transportation related government agencies include:

  • Metropolitan Planning Organizations (MPOs)
  • Public transit agencies that are sub recipients of FTA funding
  • Road Improvement or Special Road Districts
  • Other transportation related government agencies that have taxing authority.

Where permitted by federal statue, limited eligibility is available to recognized non-profits and school districts as project sponsors within MPO boundaries designated as Transportation Management Areas (TMAs). At the sole discretion of the MPO board, eligible federal funding may be extended to recognized non-profits and school districts. Recognized non-profits and school districts shall:

  • have written organizational structure with bylaws and a policy board that meets regularly.
  • Be in existence and be registered with the Missouri Secretary of State continuously for a minimum of five years prior to application for LPA funds.
  • not have any disparaging financial or ethical infractions on record with any government agency or private business within the past five years.
  • have qualified full-time staff able to comply with 2 CFR 200 – Requirements for Federal Awards
  • have written procurement processes for equipment, materials, and/or non-engineering services necessary to implement a project.

All other entities must partner with a city or county to apply for and/or administer a federal aid transportation project. Metropolitan Planning Organizations may apply additional eligibility restrictions for funds they receive and allocate.

136.1.2.3 Inventory

MoDOT partners with LPAs to compile and submit an annual inventory of all bridges and federal-aid highways in the state to FHWA. Failure to complete the requirements of inventory and inspection by an LPA will jeopardize their eligibility to participate in the programs within EPG 136.

136.1.2.3.1 Bridge Inventory and Inspection

FHWA requires all bridges on public roads to be inventoried and inspected in accordance with the National Bridge Inspection Standards (NBIS). The FHWA holds MoDOT responsible for collecting and submitting the bridge inventory data for all bridges within the state. The bridge inventory is utilized when allocating the Highway Bridge Program (BRO) funds to each county. As a condition of receiving federal funds on a bridge project, the LPA is required to cooperate with MoDOT and comply with the inventory and inspection requirements as specified in EPG 753 Bridge Inspection Rating.

136.1.2.3.2 Roadway Inventory

MoDOT will request the necessary information from the LPA for all federal-aid routes under their jurisdiction. Information requested includes mileage by surface type, surface width, number of lanes and traffic volume category. The information should include the submission of a system map (two copies) along with comments on the system from an area wide planning agency. If the LPA population is more than 50,000, the LPA is required to submit three copies.

136.1.3 Key Steps of a Typical Federal Aid Project

All project documents submitted to MoDOT must be in an electronic pdf format. Refer to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects.

136.1.3.1 Planning and Programming Process

1. The LPA selects project. If the project involves a bridge, the bridge must meet the criteria discussed in EPG 136.3 Federal Aid Basics. If LPA is in a Metropolitan Planning Organization (MPO), the LPA must also ensure the project is on the current Transportation Improvement Program (TIP).

2. The LPA submits to MoDOT the programming information for the selected project. This includes Fig. 136.3.1, Programming Data Form and project location map.

3. MoDOT will notify the LPA regarding project eligibility.

4. The MoDOT district office will coordinate with the LPA to complete an LPA/MHTC Program Agreement.

5. If the LPA intends to perform the design work with in-house staff, the LPA must submit a request for approval to the district contact. Refer to EPG 136.3.12 Federal-aid Participation for Local Work for more information.

6. If the LPA does not have the professional staff to perform the design and environmental work, the LPA will use the QBS process to select a consultant and negotiate a contract. Refer to EPG 136.4 Consultant Selection and Consultant Contract Management for solicitation and selection procedures.

7. MoDOT will review and approve the consultant contract.

8. MoDOT requests federal funding for project. Upon obligation by FHWA, MoDOT authorizes the LPA to begin preliminary engineering.

9. The LPA will submit the request for environmental services (Fig. 136.6.4) to the MODOT district contract. For more information, see EPG 136.6 Environmental and Cultural Requirements.

10. The LPA prepares the environmental document as directed in Step 9, above, and discussed in detail in EPG 136.6 Environmental and Cultural Requirements. The LPA is responsible for compliance with all applicable federal and state environmental laws and regulations; EPG 136.6 Environmental and Cultural Requirements contains guidance to aid the LPA in achieving such compliance.

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.

136.1.3.2 Preliminary and Final Design

1. The LPA prepares preliminary plans for MoDOT district review. The LPA prepares right of way plans for certification and review by MoDOT. LPA requests right of way purchasing authorization prior to acquisition. Purchases made prior to authorization approval by FHWA will not be eligible for federal participation.

2. The LPA coordinates with local utility companies regarding any utility conflicts within the project limits. If federal funds are to be used to complete utility adjustments, LPA should submit utility agreement to MoDOT.

3. The LPA acquires necessary right of way for the project and requests right of way clearance through MoDOT in accordance with EPG 136.8 Local Public Agency Land Acquisition.

4. LPA submits plans, specifications, and estimates (PS&E) to MoDOT for review. Submittals must include all commitments identified in environmental documents. Once PS&E documents have been reviewed and modifications completed, MoDOT will request obligation of construction funds from FHWA.

Bid advertisement of the project cannot occur until federal funding has been approved (obligated) by FHWA and the LPA has been notified by MoDOT to proceed.

136.1.3.3 Contract Letting and Construction

1. Once FHWA approves the obligation of construction funds, MoDOT will notify the LPA to advertise for bids. If all work is to be done by local forces and approved by MoDOT, skip to item no.6, below. Also, please refer to EPG 136.3 Federal Aid Basics for more details on work performed by local forces.

2. The LPA must advertise for bid a minimum of 21 calendar days prior to letting. Refer to EPG 136.10 Advertisement for Bid and Project Award for more information on items 2 through 4.

3. The LPA opens the bids, recommends award of the contract.

4. The LPA submits bid tabs and all supporting documentation to MoDOT for concurrence. MoDOT will notify the LPA of their concurrence in the award of the bid and that the contract may be executed.

5. The LPA will execute contract with the successful bidder and submit a copy of the executed contract to MoDOT. MoDOT will review the executed contract with the required documents and notify the LPA that they may issue a notice to proceed. The LPA will issue a notice to proceed to the contractor. Refer to EPG 136.11 Local Public Agency Construction for more information on steps 5 through 10.

6. Construction begins. The LPA submits progress reports, conducts wage rate interviews, assures that construction is inspected for compliance with specifications, and ensures EEO compliance.

7. If construction changes are needed, the LPA determines level of the change order and submits as needed to MoDOT. After the final change order, additional funding may be requested to cover change orders if funds are available.

8. The LPA maintains necessary documentation of quantities placed in support of quantities paid.

9. Once construction is complete, the LPA notifies MoDOT's district representative to coordinate the final inspection. The LPA submits final inspection report.

10. The LPA submits all applicable final documentation to MoDOT including a final invoice for all project costs involving preliminary engineering, construction engineering services, right of way, utility adjustments and construction costs.

11. MoDOT audits the project as necessary and requests final adjustments from FHWA.

12. The LPA is responsible for implementing all commitments identified in the environmental documents.

136.1.4 Flow Charts/Checklists/Figures/Forms

Easily Printable Versions of Flowcharts
Fig. 136.1, Project Flowchart for Local Federal-Aid Projects Fig. 136.1.5 Final Plans Specifications & Estimate Process
Fig. 136.1.1 LPA Planning Process Chart Fig. 136.1.6 Letting Plans & Contract Proposal Process
Fig. 136.1.2 MoDOT Programming Process Chart Fig. 136.1.7 Construction Process
Fig. 136.1.3 Right of Way Process Fig. 136.1.8 LPA MoDOT Agreement Process Chart
Fig. 136.1.4 Preliminary Plans Process Fig. 136.1.9 Engineering Services Contract Process Chart



136.1.4.1 LPA Planning Process Chart

136.1.4.2 MoDOT Programming Process Chart

136.1.4.3 Right of Way Process Chart

136.1.4.4 Preliminary Plan Process Chart

136.1.4.5 Plans Specifications and Estimate Process Chart

Fig. 136.1.5, Plans Specifications and Estimate Process Chart (Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects)

136.1.4.6 Letting Plans and Contract Proposal Process Chart

Fig. 136.1.6, Letting Plans and Contract Proposal Process Chart (Return to Fig. 136.1. Project Flowchart for Local Federal-Aid Projects)

136.1.4.7 Construction Bidding and Contract Process Chart

Fig. 136.1.7, Construction Bidding and Contract Process Chart (Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects)

136.1.4.8 LPA - MoDOT Agreement Process Chart

Fig. 136.1.8, LPA MoDOT Agreement Process Chart (Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects)

136.1.4.9 Engineering Services Contract Process Chart

Fig. 136.1.9, Engineering Services Contract Process Chart (Return to Fig. 136.1, Project Flowchart for Local Federal-Aid Projects)

136.1.5 Policy Maintenance and Updates

MoDOT has established a Statewide LPA Manual Revision Team that is responsible for maintaining and updating EPG 136 LPA Policy to ensure compliance with federal laws and regulations, current processes and procedures, best practices, etc. EPG 136.1.5 describes the process that will be followed for implementing changes and updates to EPG 136.

Recent Changes to LPA Policy

The process for updating the EPG 136 LPA Policy is intended to be flexible enough to immediately accommodate changes in laws, rules or regulations when required, but yet stable enough that policy, procedural or grammatical changes are implemented on a known, periodic basis.

In order to accomplish this goal changes to LPA policy will be implemented in two forms. First, changes that require immediate implementation for the program to remain in compliance with federal laws and regulations will be issued in the form of an LPA Policy Bulletin. Less critical changes will be implemented twice per calendar year. The semi-annual updates will also incorporate any bulletins that have been issued in the previous six months.

136.1.5.1 Bulletins

LPA Policy Bulletins are created to disseminate policy and procedural changes that require immediate implementation and covers items that are of great importance. The bulletin will include a description of the specific articles of LPA policy that are being revised as well as the revised information that will be substituted in its place.

The LPA Website also includes an electronic version of LPA policy that incorporates all active bulletins into policy.

136.1.5.2 Semi-annual Updates

The Statewide LPA Manual Advisory Team will update EPG 136 LPA Policy two times per calendar year. These semi-annual updates will also incorporate any active bulletins that have been issued in the previous six months.

The update will include a cover memo that will give details about which pages, etc., are being added, deleted or modified. The memo will also describe the active bulletins that are being incorporated into policy.

136.1.5.3 Providing Input for Future Changes

MoDOT invites comments and suggestions for improvements to LPA policy. Please direct comments for consideration to LPAComments@modot.mo.gov.

An on-line suggestions/feedback forum is also available at the LPA website.

136.1.5.4 Notification of Changes

Users of EPG 136 LPA Policy can subscribe to the Users and Stakeholders list by completing the contact information form located at the LPA website. Once registered on this list you will receive announcements and alerts when bulletins or policy updates are issued.

136.1.6 Contact Information

A MoDOT district representative will be the primary contact, furnish the necessary guidelines and coordinate the necessary reviews and approvals. MoDOT personnel will advise and assist the LPA in meeting the requirements of the program.