PROCEDURES FOR REVISIONS STATEWIDE AND LOCAL TRANSPORTATION IMPROVEMENT PROGRAMS STIP amp TIP 20162019 State of Alabama Department of Transportation AL DOT US Department of Transportation Federal Highway Administration ID: 597392
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MEMORANDUM OF UNDERSTANDING
PROCEDURES FOR REVISIONS STATEWIDE AND LOCAL TRANSPORTATION IMPROVEMENT PROGRAMS (STIP & TIP) 2016-2019
State of
Alabama
Department of Transportation (
ALDOT)
U.S. Department of Transportation Federal Highway Administration(FHWA) Alabama Division
AND
BETWEEN
FORSlide2
WHAT IS THE PURPOSE OF THIS DOCUMENT?
This Memorandum of Understanding (MOU) establishes a set of procedures to be used in the State of Alabama for processing revisions to the 2016-2019 Statewide Transportation Improvement Program (STIP). The STIP is the aggregation of the Planning Partners' Transportation Improvement Programs (TIPs), including other statewide managed programs such as the National Freight and the National Highway Performance program (NHPP).Slide3
DEFINITIONS
Revision - Any modification to the STIP/TIP that effects project scheduling or cost either by Amendment or Administrative.Slide4
DEFINITIONSAdministrative Modification
- a minor revision to a long range statewide or metropolitan plan, Transportation Improvement Program (TIP) or Statewide Transportation Improvement Program (STIP) that includes minor changes to project or project phase costs, funding sources of previously included projects, and initiation dates. An Administrative Modification is a revision that does not require public review and comment, re-demonstration of fiscal constraint, or a conformity determination in nonattainment and maintenance areas.Slide5
DEFINITIONSAmendment
means a revision to a long range statewide or metropolitan plan, Transportation Improvement Program (TIP) or Statewide Transportation Improvement Program (STIP) that involves a major change to a project included in a metropolitan plan, TIP, or STIP, including the addition or deletion of a project or a major change in project cost, project or phase initiation dates, or a major change in design concept or design scope (e.g. change project termini or the number of through traffic lanes). An Amendment is a revision that does requires public review and comment, re-demonstration of fiscal constraint, or a conformity determination for metropolitan transportation plans and TIPs involving non-exempt projects in nonattainment and maintenance areas. All amendments require an MPO resolution and approval.Slide6
DEFINITIONSChange in Scope
is a substantial alteration to the original intent or function of a programmed project. (E.g. change project termini or the number of through traffic lanes).Cooperating Parties include ALDOT, Metropolitan Planning Organizations (MPOs) and Rural Planning Organizations (RPOs), Federal Highway Administration (FHWA), Federal Transit Administration (FTA), and transit agencies.Fiscal Constraint Chart is a spreadsheet or chart that is generated by the ALDOT’s Comprehensive Project Management System (CPMS) that depicts the usage of federal funds Slide7
DEFINITIONS
Level of Effort (LVOE) represent grouped projects not considered of appropriated scale to be identified individually. Projects may be grouped by function, work type, and/or geographical area using the applicable classifications under 23 CFR 771.117 (c) and (d) and/or 40 CFR part 93. In nonattainment and maintenance areas, project classifications must be consistent with the “exempt project” classifications contained in the EPA transportation conformity regulations (40 CFR part 93). These projects are placed in the STIP/TIP according to selected funding programs with their anticipated apportionments for each fiscal year within the plan.Slide8
WHAT IS A STATEWIDE TRANSPORTATION IMPROVEMENT PROGRAM (STIP)?
The STIP constitutes a statewide prioritized listing or program of transportation projects to be implemented over a four-year period that is consistent with the long range statewide transportation plan, metropolitan plans, and metropolitan TIPs. It is comprised of Metropolitan Planning Organization MPO TIPs developed by the Planning Partners and Statewide Programs developed by ALDOT. The STIP is the official transportation improvement program document that is mandated by Federal statute and recognized by FHWA and FTA. The State's Five Year Program incorporates the TIPs and STIP and is required by state law.Slide9
STIP/TIP AdministrationFHWA and FTA will only authorize projects and approve grants for projects that are programmed in the current approved STIP. If a Planning Partner, Transit Agency, or ALDOT wishes to proceed with a project not programmed on the STIP, a revision must be made.Slide10
STIP/TIP AdministrationAll revisions must maintain year-to-year fiscal constraint
for each of the four years of the STIP/TIP. All revisions shall account for year of expenditure. Year of expenditure is incorporated into the ALDOT STIP funding at a 1 percent per year inflation rate. Slide11
STIP/TIP Revisions – AMENDMENTSSlide12
STIP/TIP Revisions – AMENDMENTS
Is the addition or deletion of a project or project phase, a major change in project cost or design concept (e.g. change project termini or the number of through traffic lanes).Approval by the MPO (and consultation with the RPO) is required for Amendments. Amendments to the STIP will be posted on the ALDOT website and will be open for public comment for 7 days.Slide13
STIP/TIP Revisions – AMENDMENTS
What are the determining factors for projects that require Amendments?Slide14
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.Slide15
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.$5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.Slide16
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.$5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Slide17
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.$5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project. Slide18
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.$5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project. Level of Effort (LVOE) planned budget changes for the county Highway and Bridge Program totaling $750,000Slide19
STIP/TIP Revisions – AMENDMENTS
Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.$5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project. Level of Effort (LVOE) planned budget changes for the county Highway and Bridge Program totaling $750,000Level of Effort (LVOE) planned budget changes for resurfacing, exceeding 20% of original amount per region. Slide20
STIP/TIP Revisions – ADMINISTRATIVESlide21
STIP/TIP Revisions – ADMINISTRATIVE
Minor changes to project or project phase costs, funding sources of previously included projects, and initiation dates. This is a revision that DOES NOT require public review and comment, re-demonstration of fiscal constraint, or a conformity determination (in nonattainment and maintenance areas.They do not require Federal approvalMPO’s are notified of ALL revisions by auto generated emails from the ALDOT CPMS. The MPO’s then make the determination if the adjustments can be considered Administrative for the TIP. Slide22
EMAIL NOTIFICATION EXAMPLE
ALDOT CPMS has made an adjustment to a project that resides in your MPO urban / planning area.Listed below is the detail of this project change, please review and determine if change will require a TIP amendment or if it can be treated as an administrative modification.After reviewing the paragraph listed above, no further changes may be required by the MPO.For further information please contact your local ALDOT Region Office or the ALDOT Transportation Planning Office at 334-242-6097The target start date or project engineers estimated amount has changed for the following : Project: 100049354 ( CN ) Federal aid number: IMF I059 (356) County: TUSCALOOSA Project Description: RESURFACE I-59 FROM GREENE COUNTY LINE TO N. OF CR-10 (HOLLY SPRINGS LN) Old Engineers Estimate: $11,304,523.00 New Engineers Estimate: $11,885,784.00Slide23
STIP/TIP Revisions – ADMINISTRATIVE
What are the determining factors for Administrative Modifications?Slide24
STIP/TIP Revisions – ADMINISTRATIVE
Projects that do not exceed the threshold criteria that is required for AmendmentsProjects that are advanced because of additional obligation authority as a result of august redistribution, letting adjustments etc.Project utilizing Emergency relief fundingUtility Phase where the CN project was originally on the STIP or TIP and had utility relocation costs includedSlide25
LEVEL OF EFFORT FUNDING CATEGORIES
Level of Effort LVOE holds funds that are not dedicated to a specific project(s) and may be used to cover cost increases or add a new project or project phase(s). LVOE shall not exceed the thresholds or meet any other items that require an amendment.ALDOT provides a detailed project listing and a financial summary of current LVOE projects on the ALDOT STIP website administrative revisions are sent via email to MPO offices.Slide26
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide27
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide28
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide29
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide30
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide31
LEVEL OF EFFORT FUNDING CATEGORIES
Statewide Transportation Alternatives Program (TAP)Statewide Safety ProgramStatewide County Highway and Bridge ProgramALDOT Region Based Federal Aid Resurfacing ProgramStatewide FTA Sections 5311(Non Urban)5310 (Elderly and Disabilities)5339 (Buses and Bus Facilities)Slide32
FINANCIAL REPORTING
At the end of each quarter, ALDOT will provide each MPO or Planning Partner a financial report of actual federal obligations in the respective metro planning area and at the end of each fiscal year a similar financial report will be provided at the federal level.Slide33
FINANCIAL REPORTING
At the end of each quarter, ALDOT will provide each MPO or Planning Partner a financial report of actual federal obligations in the respective metro planning area and at the end of each fiscal year a similar financial report will be provided at the federal level.REPORTING FOR THIS REQUIRMENT IS CURRENTLY UNDER DEVELOPMENTSlide34
FINANCIAL CONSTRAINT
Demonstration of STIP/TIP financial constraint to FHWA and FTA takes place through a summary of Administrative Modifications and proposed Amendments. Real time versions of the STIP/TIP are available to FHWA and FTA through ALDOT’s CPMS via the ALDOT Internet website.Slide35
http
://cpmsapps.dot.state.al.us/OfficeEngineer/Plan/StipMainSlide36Slide37Slide38
http
://cpmsapps.dot.state.al.us/OfficeEngineer/Plan/StipMainSlide39Slide40Slide41
TIP REVISION PROCEDURES
Each Planning Partner's TIP’s are adopted, including their respective MOU with the TIP documentation. The MOU will clarify how the Planning Partner will address all TIP revisions. In all cases, individual Planning Partner revision procedures are developed under the guidance umbrella of the ALDOT/FHWA MOU document. If a Planning Partner elected to set more stringent procedures, FHWA and FTA will adhere to those more restrictive procedures.The ALDOT/FHWA MOU document will serve as the basis for ALDOT when addressing Federally-funded Statewide Program TIP revisions.Slide42
CONTACT INFORMATION
Clint Andrews 334-274-6346 clint.andrews@dot.govJim Doolin 334-242-6097 doolinj@dot.state.al.usJimmy Carroll 334-242-6423 carrollj@dot.state.al.us