Engineering_Policy_Guide - User contributions [en]

LPA:136.8 Local Public Agency Land Acquisition

2022-05-17T20:09:24Z

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{|style="padding: 0.3em; margin-left:15px; border: 2px solid #cccccc; text-align:center; font-size: 95%; background:#f5f5f5" width="300px" align="right"
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|'''Forms'''
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|[https://epg.modot.org/forms/RW/LPA%20Links/Request%20for%20RW%20Acquisition%20Authority%20136.8.1.docx Acquisition Authority Request (Form 136.8.1)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx Adjustment of Value or Just Compensation (Form 136.8.2)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Administrative%20Settlement%20Justification%20Form%20136.8.3.docx Administrative Settlement Justification (Form 136.8.3)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Monitor%20Checklist%20Form%20136.8.4.docx Appraisal Monitor Checklist (Form 136.8.4)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx Appraisal Review (Form 136.8.5)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx Assumptions and Limiting Conditions (Form 136.8.6)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser (Form 136.8.7)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Clearance%20Certification%20Statement%20Form%20136.8.8.docx Clearance Certification Statement (Form 136.8.8)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx Comparable Lease (Form 136.8.9)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Donation%20in%20Exchange%20for%20Construction%20Features%20Letter%20Form%20136.8.10.docx Donation in Exchange for Construction Features Letter (Form 136.8.10)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Final%20Vacancy%20Notice%20for%20Relocation%20Form%20136.8.11.docx Final Vacancy Notice for Relocation (Form 136.8.11)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Justification%20for%20Settlement%20Form%20136.8.12.docx Legal Justification for Settlement (Form 136.8.12)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Trial%20Report%20136.8.13.docx Legal Trial Report (Form 136.8.13)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx Local Public Agency Prorata Real Estate Tax Claim (Form 136.8.7.1.11)]
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|[[media:236 RW Leaflet.doc|LPA Right of Way Acquisition Brochure]]
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|[https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Negotiator%20Services%20Agreement%20Form%20136.8.14.docx LPA Negotiator Services Agreement (Form 136.8.14)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Negotiator's%20Report%20Form%20136.8.15.docx Negotiator's Report (Form 136.8.15)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale (Form 136.8.16)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Parcel%20File%20Checklist%20Form%20136.8.17.docx Parcel File Checklist (Form 136.8.17)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Plan%20Review%20Checklist%20Form%20136.8.18.docx Plan Review Checklist (Form 136.8.18)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Privately%20Donated%20Land%20as%20Credit%20to%20Matching%20Share%20of%20Project%20Costs%20Form%20136.8.19.docx Privately Donated Land as Credit to Matching Share of Project Costs (Soft Match), Form 136.8.19]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Project%20Acquisition%20Monitor%20Checklist%20Form%20136.8.20.docx Project Acquisition Monitor Checklist (Form 136.8.20)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Proposal%20for%20Appraisal%20Work%20Form%20136.8.21.docx Proposal for Appraisal Work (Form 136.8.21)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Relocation%20Monitor%20Checklist%20Form%20136.8.22.docx Relocation Monitor Checklist (Form 136.8.22)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale (Form 136.8.23)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Review%20Appraiser%20Contract%20Form%20136.8.24.docx Review Appraiser Contract (Form 136.8.24)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Schedule%20Form%20136.8.2.2.docx Right of Way Acquisition Schedule (Form 136.8.2.2)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Scehdule%20Instructions%20Form%20136.8.2.2.A.docx Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)]
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|[[media:136.8.8a.docx|Right of Way Required - Personal Property Moved - Occupied Improvements Acquired (Form 136.8.8a)]]
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|[https://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers]
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|[https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Donation%20Letter%20and%20Waiver%20of%20Appraisal%20Form%20136.8.25.docx Sample Donation Letter and Waiver of Appraisal, Form 136.8.25]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Pyment%20Estimate%20Form%20136.8.26.docx Sample Letter Offer (Payment Estimate), Form 136.8.26]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Value%20Finding%20or%20Standard%20Formt%20Appraisal%20Form%20136.8.27.docx Sample Letter Offer (Value Finding or Standard Format Appraisal), Form 136.8.27]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Scope%20of%20Assignment%20Form%20136.8.28.docx Scope of Assignment (Form 136.8.28)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Standard%20Appraisal%20Format%20Form%20136.8.29.docx Standard Appraisal Format (Form 136.8.29)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Summary%20of%20HB%201944%20Form%20136.8.30.docx Summary of HB 1944 (Form 136.8.30)].
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|[https://epg.modot.org/forms/RW/LPA%20Links/Summary%20Value%20of%20Tenant%20Interests%20Form%20136.8.31.docx Summary Value of Tenant Interests (Form 136.8.31)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Uniform%20Residential%20Appraisal%20Report%20Form%20136.8.32.docx Uniform Residential Appraisal Report (URAR), Form 136.8.32]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Value%20Finding%20Appraisal%20Format%20Form%20136.8.33.docx Value Finding Appraisal Format (Form 136.8.33)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx Waiver Valuation - Payment Estimate (Form 136.8.34)]
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|[https://epg.modot.org/forms/RW/LPA%20Links/60%20Day%20Notice%20of%20Owners%20Rights%20Form%20136.8.35.docx 60-Day Notice of Owners Rights (Form 136.8.35)]
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|<div id="PowerPoint Tutorials"></div>
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! <center>'''"How To" PowerPoint Tutorials'''</center>
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|[https://epg.modot.org/forms/RW/LPA%20Links/How%20to%20Request%20RW%20Acquisition%20Authority.pptx How to Request Right of Way Acquisition Authority]
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|[https://epg.modot.org/forms/RW/LPA%20Links/How%20to%20Complete%20Right%20of%20Way%20Clearance%20Certification%20Request%205%20year%20rule.pptx How to Complete Right of Way Clearance Certification Request (5-Year Rule)]
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|<center>'''Federal-Aid Essential Videos'''</center>
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|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=develop Project Development]
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|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=rightofw Right of Way]
|}

=136.8.1 General=

==136.8.1.1 Introduction==

The acquisition of private property needed in connection with all Federally funded projects is governed by the '''Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended''' (commonly referred to as the Uniform Act) and requirements of state laws as well as any applicable local ordinances. The implementing regulations for the Uniform Act are found in [http://www.fhwa.dot.gov/realestate/ua/index.htm 49 Code of Federal Regulations (CFR) Part 24 and 23 CFR Part 710]. District offices of the Missouri Department of Transportation (MoDOT) can provide copies of the appropriate codes and regulations, upon request.

Federal funding of any phase of a project necessitates that federal requirements be met in all other phases of the project, as well as the acquisition of property and relocation activities to clear the right of way for construction. Noncompliance with federal law can result in ineligibility for reimbursement for project costs in design, land acquisition, or construction.

Such projects might include roads, bike/walking paths, block grants, and enhancements, etc. Guidelines and requirements for the acquisition of land for [[:Category:122 Aviation|airports]] and airport expansion projects, are set out in an Aviation land acquisition manual, available from the Multimodal Operations Division of MoDOT.

Local Public Agencies (LPAs) that must comply with the provisions contained in this article are cities, counties, and any agency acquiring private property or property rights, who have not developed their own manuals or guidelines for the acquisition of private property or property rights. Manuals and procedural guidelines developed by a LPA require the approval of the Federal Highway Administration.

This article is designed to assist LPAs in complying with applicable federal and state requirements. It is intended for use on small or uncomplicated projects where most of the needed property may be donated, damages to remaining property are minor and no one will be displaced from their homes, farms or businesses.

If a project has more complex acquisitions than described above, or requires the relocation of property owners or personal property, contact the Right of Way office in a MoDOT [http://www.modot.mo.gov/ district office] for other applicable instructions.

==136.8.1.2 State Responsibility==

MoDOT has the responsibility to ensure that all rights of way needed in connection with a Federal-aid project is acquired in accordance with the Uniform Act. By written agreement between MoDOT and the LPA, MoDOT will monitor LPA acquisition staffs and fee services in the acquisition of these rights of way.

If an LPA is not adequately staffed to perform these services or has not completed the [https://www.modot.org/lpa-basic-training-class-link LPA Basic Training] within the last two years, the use of fee services in the acquisition process is permitted. Use of fee services for land acquisition activities is covered in [[136.8 Local Public Agency Land Acquisition#136.8.11 Right of Way Services Through Contract|EPG 136.8.11]].

MoDOT will monitor real property acquisition and relocation assistance activities conducted by, or on the behalf of, an LPA to determine that these activities are conducted in accordance with provisions of state and federal laws and directives.

==136.8.1.3 Local Public Agency’s Responsibility==

The LPA is responsible for acquisition of all necessary property to permit project construction. This includes right of way, permanent easements (i.e. slopes, drainage, etc.), temporary easements (i.e. construction, [[127.22 Off-Site Borrow, Spoil, and Staging Areas|borrow]], etc.), licenses (i.e. rights of entry, work permits, grade separation agreements, etc.) or any other agreements for the entering on or use of land or property rights for construction purposes.

The LPA must comply with all applicable requirements if federal funds are used in any phase of the project.

'''A. Nondiscrimination'''

LPAs shall comply with all state and federal statutes relating to nondiscrimination, including but not limited to Title VI and Title VII of the Civil Rights Act of 1964, as amended (42 USC 2000 d, e), as well as any applicable titles of the Americans with Disabilities Act (ADA). LPAs shall not discriminate on grounds of the race, color, religion, creed, sex, disability, national origin, age or ancestry of any individual.

'''B. [[236.7 Negotiation#236.7.7 1099-S Reporting of Acquisitions|1099 Reporting]]'''

LPAs are reminded that it is their responsibility to report payments to owners for real estate purchases to the Internal Revenue Service. Specific instructions on reporting requirements are found in the IRS instructions for 1099 forms. Certain penalties for not reporting may be encountered.

Typically, closing agents are required to do the 1099 reporting for all transactions over $600. The LPA would be responsible for this reporting if no closing agent is used, or if compensation is paid through the court system.

==136.8.1.4 MoDOT Right of Way Procedures==

MoDOT has developed [[:Category:236 Right of Way|EPG 236 Right of Way]] that governs its activities relating to right of way acquisition. These procedures define functions, operational procedures and guidance necessary to be eligible for federal funds participation in right of way. Local agencies will be required to follow MoDOT procedures or those contained in this article, unless the agency develops their own written policies and procedures for compliance with the Uniform Act and the [http://www.fhwa.dot.gov/realestate/ua/index.htm Code of Federal Regulations 49 CFR Part 24]. In condemnation, the agency must also fulfill the requirements of [https://revisor.mo.gov/main/OneSection.aspx?section=523 RSMo 523]. These written policies and procedures would be subject to review and acceptance by MoDOT and Federal Highway Administration (FHWA) prior to utilization on a Federal-aid project.

==136.8.1.5 Local Public Agency Right of Way Acquisition Brochure==

An [[media:236 RW Leaflet.doc|LPA Right of Way Acquisition Brochure]] or [http://www.fhwa.dot.gov/realestate/realprop/index.html FHWA brochure] specifically designed for LPA use is available in preprinted form through MoDOT district offices. The right of way acquisition brochure should be made available to all affected property owners on a project at the earliest opportunity (at public hearings, during engineering surveys, first contacts for acquisition of property) to indicate the agency's interest in acquiring the real property and to advise the owner of the acquisition process, and basic protection under the law. The brochure satisfies certain requirements when public hearings are necessary, as well as notification requirements before or upon initiation of negotiations with owners.

LPAs may develop and use their own brochures with prior MoDOT approval.

A brochure identifying relocation assistance eligibility and benefits is also available from the MoDOT district office for those parties or businesses that are displaced or must move personal property from the proposed right of way. Contact your district RW office for the most recent relocation assistance brochures available for residential and business displacements.

==136.8.1.6 Local Public Agency - Right of Way and Easement Acquisition==

'''General Summary of the Right of Way Process'''

The Local Public Agency (LPA) has been awarded a federal-aid project on the Transportation Implementation Program (TIP). The Reasonable Progress Policy and the schedule set by the LPA fixes time lines to be met. With right of way acquisition involved in your project, you must plan to continue the design and acquire right of way simultaneously. Coordination and planning is key to the success of the LPA. To this end, MoDOT has prepared a simple flow chart to help you visualize and plan the acquisition process for your LPA project.

[[image:236.18.1.6 Flow Chart.jpg|910px|center|thumb|<center>'''RW Flow Chart for the LPA'''</center>
<center> An [[media:236.18.1.6 Flow Chart.pdf|easily printable version]] of the chart is also available.</center>]]

The goal is to acquire right of way AND certify it clear; at the same time the final Plans Specifications and Estimates (PSE) package is approved. Ultimately, the final PSE should not obstruct the completion of the RW clearance, and the RW clearance should not delay the Final PSE.

These instructions should be used as a map to identify where you are in the RW Process and what to do next. Like many maps, it will not tell you how long it takes, but simply how to get there. How long it will take is up to the project sponsor and the designer. Dealing with private property owners can be dynamic and complicated, but is not out of your control. The more time you can allow for this phase, the more likely you are to meet your schedule for construction.

'''Square 1'''
The RW Process actually begins during the Preliminary Design Plans (PDP) stage. The approvals you must obtain during PDP directly affect your ability to begin RW Acquisition. Check with your District Design Liaison (DDL) on the status of the environmental and historic clearances. Among other requirements, the environmental categorical exclusion approval must be obtained before the PDP can be approved.

Some projects will receive a programmatic categorical exclusion for the environmental clearance and a CE-2 submittal will not be required. All projects will still require a [[127.2 Historic Preservation and Cultural Resources|Section 106 Historic]] clearance. A Section 106 form should be sent to the Missouri Department of Natural Resources (MoDNR) to be reviewed as soon as possible in order to keep the process moving. When the CE-2 has been received and the Section 106 has been applied for you may move to the next step.

'''Square 2'''

The PDP must be approved prior to submitting RW Plans for approval. This is because the FHWA intends to ensure the alignment will not change before participating in RW or Construction costs. When your Preliminary Design plans are approved, please move ahead.

'''Squares 3 and 4'''

Submit RW Plans to MoDOT for review, if there are comments made, revise them and move to the next square. If no comments are made and the RW Plans are approved, skip the next square and move directly to Square 5, RW Plans Approved.

With no time to waste, move ahead to Square 6; review the most recent RW Cost Estimate for accuracy, age and any new developments with regard to property owners, land sales or new construction. Now is the time to update this cost estimate to ensure you have an accurate number. For a list of eligible and reimbursable RW costs, contact your MoDOT district RW office. Now move to the next square.

'''Square 7'''

Now that your reasonably sure how much it will cost, the LPA must determine who will acquire the RW and how it will be paid for. Either one has a direct effect on the other and will decide which path your local agency will take.

'''Square 8A'''

Local: If the LPA is staffed to acquire RW, AND the cost is within the local funds held by the LPA for this project, then it may be prudent to use the Local slide to skip the next two squares. Warning, all RW costs will be paid for by the LPA and ONLY the LPA will be accountable for adherence to the requirements of state laws and the CFR Titles 23 and 49, including the Uniform Act.

'''Square 8B'''

FHWA: If on the other hand, the local funding is insufficient for the RW Cost estimated, OR the agency is not staffed to acquire RW, it is strongly recommended the LPA use the FHWA path to hire a RW Agent or Firm from MoDOT’s approved list.

'''Squares 9 and 10'''

These may include appraisers, negotiators, lawyers, mediators or any firm, which handles all types of right of way services. This path also includes obligating federal funding for the eventual reimbursement of a large percentage of these RW Costs. The LPA and the RW Consultant will both be accountable for adherence to the requirements of state laws and the CFR Titles 23 and 49, including the Uniform Act.

'''Square 11'''

The Environmental CE-2 approval was obtained before PDP. Make a copy and hold it until Square 13. Move ahead one square.

'''Square 12'''

The Section 106 Historic Register approval / clearance should be available by this time. If you have approval letter, make a copy and hold until you move ahead one space.

'''Square 13'''

Fill out the [https://epg.modot.org/forms/RW/LPA%20Links/Request%20for%20RW%20Acquisition%20Authority%20136.8.1.docx Acquisition Authority Request (Form 136.8.1)]. If you have taken the path of FHWA, use the A-Date Request form to have MoDOT review and forward it to FHWA and obligate federal funds for RW Acquisition. Move ahead and wait.
<div id="Square 14"></div>
'''Square 14'''

If you are following the path marked Local, complete the “Request for Right of Way Acquisition Authority (A-Date) Notice to Proceed” and check the box “Local Public Agency will fund all RW activities…”, your MoDOT - District office will grant your approval to begin RW Acquisition without the use of federal funds in RW. You will be notified when you may begin acquisition. If you check the box “Local Public Agency is requesting Federal Participation in funding RW activities, then you must wait for FHWA to obligate those federal funds.

The only thing you should have done at this point with regard to RW Acquisition is title work, RW plans, cost estimates and complete the Right of Way Scheduling Tool. These are all eligible for reimbursement under Preliminary Engineering (PE). You may also send a letter to all affected property owners, to advise them of their rights according to the [https://revisor.mo.gov/main/OneSection.aspx?section=523 Eminent Domain Law, RsMO 523.000].

'''Square 15'''

You will get an email, phone call or a letter telling you the federal funds are now approved, and you may begin the acquisition of RW and Easements for your project. You have just made it over hurdle number two. Congratulations, now it gets tougher.

'''Squares 16A and 17A'''

If your project is not complicated, you may want to request donation from the owners. Move to the next square. If the owners sign those donation documents, and deeds conveying the easements you need, make sure the owners also sign the waiver of compensation letter. This is a federal regulation to ensure they were informed of their rights to compensation for any type of acquisition on their property. Once you have all of them signed, move one square.

'''Square 18A'''

In either case, complicated or not, the deeds must be recorded. This can be costly so remember to plan for this expense when making the decision on whether to use federal funds or local funds for acquisition. Along the way, be sure to work on completing the final plans package (PSE) for construction. Do not advertise until allowed by MoDOT.

'''Squares 16B, 17B and 18B'''

If your project is complicated, you can begin to get property appraised, have those appraisals reviewed and move to the next square. Negotiate the offers and justify settlements, if necessary and move on. Then, for those owners with whom you cannot reach an agreement, you may want to consider Condemnation and the effects of acquiring the parcels thru Eminent domain. You have a right to do this, so use it if you must. After all, any project built on all of the easements and RW originally proposed, is a better project than one with less RW acquired.

'''Square 19'''

Submit your RW Clearance Certification to the District Design Liaison, or the Central Office RW Section staff designated to handle Federal-Aid projects. Please do this as early as possible to ensure there is time to review the acquisition files. Many times RW personnel will be available to come to your city or county to perform the review. In most cases, this may be more efficient; if there are any changes to be made, it typically can be handled on the spot.

If your parcel files are not in order, you will spend whatever additional time it takes to remedy the situation in order to certify the RW is clear. This must be completed before any construction activity can take place. If the parcels have been acquired according to policies and procedures, MoDOT will advise you that your RW Clearance Certification is approved and ready to move the project along.

'''Square 20'''

Congratulations you have successfully completed the three steps involved in RW Acquisition; RW Plans, Acquisition Authority, and RW Clearance Certification.

Should you have any questions, please refer to the remainder of this LPA-LAM or contact your MoDOT Federal-Aid Project representative.

=136.8.2 Funding=

==136.8.2.1 Funding Requirements==

Right of way acquisition by public entities is governed by [https://revisor.mo.gov/main/OneSection.aspx?section=523 Revised Statutes of Missouri, (RSMo) 523]. To assure the protection of individuals' property rights affected by transportation projects, requirements of the [http://www.fhwa.dot.gov/realestate/ua/index.htm Uniform Act] must also be followed.

Right of way costs for a project and incurred by the LPA may be the sole responsibility of that LPA or they may wish to have a share of these costs reimbursed by the FHWA through MoDOT. In either case, the LPA must first make a request to their MoDOT District personnel in order to receive approval to begin right of way and easement acquisition. Every effort should be made to ensure the right of way funds are obligated for a project before any eligible costs are incurred, if the LPA wishes to be reimbursed for those costs. If the LPA will fund the entire right of way expense, the approval to begin the acquisition must still be obtained.

Federal funds participation in eligible right of way costs may become necessary after acquisition has begun. If acquisition activities have followed minimum requirements, approval for the federal participation can be expedited. The federal requirements reflect the appropriate acquisition activities for any land or property rights acquisition.

If at any point in the acquisition process, federal funds are found to be necessary or desirable for right of way acquisition; an Acquisition Authority (A-date) must be obtained, as outlined in the next paragraph. Acquisition costs incurred prior to receipt of an A-date will not be eligible for federal funds participation.

==136.8.2.2 Acquisition Authority==

A Request for Acquisition Authority (A-date)/Notice to Proceed is an application to MoDOT, certifying approval of plans and environmental and archaeological classifications, execution of supplemental agreements (if any), adequate right of way staff or use of fee services, noting the use of LPA funds for right of way or requesting federal funds participation, and an estimate of the right of way acquisition cost. Activities such as appraisals, extending written offers, negotiations, etc., are not to begin until such time as MoDOT has notified the LPA that the acquisition authority has been granted.

Right of Way staff will enter the A-date request date, upload ROW plans, and documents into the LPA SMS (State Management System Application).

The LPA may request an A-date/Notice to Proceed by submitting:

:* A completed [https://epg.modot.org/forms/RW/LPA%20Links/Request%20for%20RW%20Acquisition%20Authority%20136.8.1.docx A-Date Request (Form 136.8.1)]
:* A set of completed and certified right of way plans
:* Copies of the Section 106 Historic Clearance and Environmental Approvals
:* A cost estimate indicating acquisition costs that are a reflection of the original agreement
:* [https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Schedule%20Form%20136.8.2.2.docx Right of Way Acquisition Schedule (Form 136.8.2.2)] – see [https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Scehdule%20Instructions%20Form%20136.8.2.2.A.docx Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)].

The A-Date Request Form 136.8.1 should be completed by the LPA and submitted to the local MoDOT district office. Assistance in filling out this form is available from MoDOT district personnel.

If federal funds will participate in any part of the project (right of way or construction) right of way may not be acquired until the Federal Highway Administration (FHWA) has approved the environmental document, and Section 106 (Historic and archeological considerations) has been completed, as per [https://epg.modot.org/index.php?title=136.4_Environmental_and_Cultural_Requirements#136.4.1_National_Environmental_Policy_Act_.28NEPA.29_Classification EPG 136.4.1 National Environmental Policy Act (NEPA) Classification]. Failure to accomplish all environmental documentation prior to acquisition of right of way might jeopardize federal funds participation in the entire project.

The acquiring agency is responsible for submitting evidence that environmental and cultural requirements have been addressed and approved. Verification of completion of these requirements is addressed through the MoDOT District Liaison Engineer, Design by submitting copies of the CE 2 and Section 106 approvals attached to the A-Date Request Form, Request for Acquisition Authority will document the completion of all environmental clearances on projects with or without federal funds participation in the right of way phase

If fee services are necessary, use of a written contract is recommended. (Refer to [[#136.8.11 Right of Way Services Through Contract|EPG 136.8.11 Right of Way Services Through Contract]].) Fee appraisers utilized to prepare Value Finding or Standard Format Appraisals must be State Certified, either Residential or General, and be listed on MoDOT’s approved roster of fee appraisers. Non-certified individuals, familiar with real estate values may be used to prepare Waiver Valuations on projects. Fee negotiators also have their own MoDOT approved roster from which to select qualified acquisition service contractors.

==136.8.2.3 Notification by MoDOT==

MoDOT will notify the local agency in writing to proceed with right of way activities after MoDOT has reviewed and approved the data provided by the LPA. If federal funds are to be used, the notification will include a revised summary of costs clearly indicating the right of way funds are set up.

==136.8.2.4 Costs Eligible for Reimbursement Before Receipt of an A-Date==

Costs in preliminary right of way activities (those prior to the appraisal phase such as preliminary right of way project cost estimates, title work and description writing) are eligible for federal participation as a preliminary engineering activity. These costs are eligible for reimbursement after prior approval by MoDOT through preliminary engineering.

[http://marc.org/ Mid-America Regional Council (MARC)] does not allow reimbursement of Preliminary Engineering costs, because such costs are part of that agency's participation agreement. (This affects Jackson, Platte, Clay and Cass counties.)

==136.8.2.5 Costs Eligible for Reimbursement After Receipt of an A-Date==

:* Real property acquisition.

:* Incidental costs to the acquisition. (i.e. appraisal, appraisal review, negotiation, and relocation expense, recording documents, etc.)

:* Pro rata taxes and/or special assessments.

:* Permanent and temporary easements.

:* Damages to remainder of real property.

:* Cost of acquisition through condemnation, interest on legal settlement or court awards, and court commissioner fees.

:* Tenant-owned improvements.

:* Uneconomic remnants.

:* Construction in exchange for donation, or mitigation of damages.

:* Relocation payments and expenses.

==136.8.2.6 Support for Claims for Reimbursement==

Support for claims for reimbursement shall include:

'''1)''' A right of way map or plan showing the rights of way authorized, and actually acquired, including items indicated ([https://epg.modot.org/forms/RW/LPA%20Links/Plan%20Review%20Checklist%20Form%20136.8.18.docx RW Plan Review Checklist (Form 136.8.18)]).

'''2)''' Statement of cost of right of way showing:

:* parcel number

:* cost of parcel

:* cost of excess land, if any

:* credits by parcel or project

:* incidental expenses by parcel or project

:* cost of construction performed in mitigation of damages on a parcel basis if claimed as a right of way item. (Refer to [http://www.fhwa.dot.gov/realestate/lpaguide/app3.htm 23 CFR 710.203(a)(1)]).

==136.8.2.7 Inspection of Documents==

All documents relating to acquisition of the right of way shall be available for inspection at reasonable times by authorized representatives of MoDOT and Federal Highway Administration. Refer to [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=23:1.0.1.8.39&idno=23#23:1.0.1.8.39.2.1.1 23 CFR 710.201 (f)]. All documentation shall be kept a minimum of three years after the final invoice is submitted for the right of way costs.

Right of Way staff are required to enter the Right of Way Approval Letter, The Right of Way Acquisition Date Letter, the Right of Way Clearance Letter, and any working Right of Way Documents into the LPA SMS (State Management System Application).

==136.8.2.8 Federal Project Number==

All plans, contracts, deeds, appraisals, options, vouchers, correspondence and all other documents and papers shall carry the Federal-aid project number for identification and be included in the LPA SMS application.

=136.8.3 State Monitoring=

MoDOT has overall responsibility for acquisition of right of way needed in connection with all federal funded projects, and MoDOT must assure compliance with federal regulations. This assurance is provided at the same time the agency certifies clearance of right of way and requests authority to advertise for physical construction. In order to give this assurance, MoDOT personnel will provide a resource for information on proper procedures, and may monitor the agency's acquisition activities during the acquisition process, and will monitor the entire project, or representative samples, prior to clearance certification.

MoDOT will utilize Monitor Checklists ([https://epg.modot.org/forms/RW/LPA%20Links/Project%20Acquisition%20Monitor%20Checklist%20Form%20136.8.20.docx Form 136.8.20 for Project/Acquisition], [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Monitor%20Checklist%20Form%20136.8.4.docxnForm 136.8.4 for Appraisal] and [https://epg.modot.org/forms/RW/LPA%20Links/Relocation%20Monitor%20Checklist%20Form%20136.8.22.docx Form 136.8.22 for Relocation Assistance]), to evaluate the various activities. For small projects all parcels may be monitored. For larger projects, a sample may be utilized.

The state's sole objective in this monitoring activity is to assure that when federal funds are requested by the agency in any phase of the project, that acquisition activity will have fulfilled all the requirements for the agency to receive such funds. Agencies are therefore requested to consult with the right of way manager, at the MoDOT district office, at any stage of the right of way function. MoDOT personnel can provide a technical resource, and assure that right of way acquisition is in compliance with regulations. Early consultation can eliminate problems and facilitate delivery of federal funds.

=136.8.4 Retention and Access to Records=

The acquiring agency shall maintain a project file (i.e. appraisal data book(s), title services contract, public hearing record, etc.) and a parcel file containing the information pertaining to the acquisition of the parcel.

The parcel file should contain documentation that demonstrates compliance with applicable laws and requirements and should be available for inspection at reasonable times by authorized representatives of MoDOT and Federal Highway Administration and other authorized federal representatives. Refer to [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&rgn=div5&view=text&node=23:1.0.1.8.39&idno=23#23:1.0.1.8.39.2.1.1 23 CFR 710.201 (f)]. The record retention period is three years and begins when the project closure action for the construction project is submitted to the Federal Highway Administration.

LPAs must maintain an inventory of all improvements acquired; how these improvements are disposed of; an accounting of management expenses (i.e. advertising for disposal, preparing demolition contracts, etc.), rental receipts received, and recovery payments for disposition of improvements; and rodent control costs. See [[136.8 Local Public Agency Land Acquisition#136.8.12 Property Management|EPG 136.8.12 Property Management]] for additional requirements.

'''NOTE''': LPAs are reminded that it is their responsibility to report payments to owners for real estate purchases to the Internal Revenue Service. Specific instructions on reporting requirements are found in the [[236.7 Negotiation#236.7.7 1099-S Reporting of Acquisitions|IRS instructions for 1099 Form]]. Certain penalties for not reporting may be encountered.

Right of Way staff are required to enter the Right of Way Approval Letter, The Right of Way Acquisition Date Letter, the Right of Way Clearance Letter, and any working Right of Way Documents into the LPA SMS (State Management System Application).

=136.8.5 Plans and Title Information=

==136.8.5.1 Plans==

Plans for a project must provide land or right of way adequate for the construction, operation and maintenance of the facility for the protection of both the project facility and the public.

If the project is not for road purposes, plan requirements may be different, as imposed by agencies other than the Federal Highway Administration. Check with MoDOT’s district right of way manager for the plan requirements of those jobs.

Right of way plans are a supporting document for any progress or final claim for federal reimbursement of expenditures made for right of way when federal funds have been authorized in the right of way acquisition. Elements required on the plans for right of way purposes are indicated on the [https://epg.modot.org/forms/RW/LPA%20Links/Plan%20Review%20Checklist%20Form%20136.8.18.docx RW Plan Review Checklist (Form 136.8.18)].

==136.8.5.2 Title Information==

Title and ownership information is needed for the purpose of establishing property lines, computing ownership areas, right of way areas, etc. Certain title information is necessary to determine if marketable title is passing to the acquiring agency. When minor rights of way and/or temporary rights are the only rights being acquired, it is permissible to determine ownership by use of the last deed of record. See [[236.4 Description Writing and Titles#236.4.4.1 Purpose|EPG 236.4.4.1 Purpose]] for more information regarding property ownership determination.

Title information needed is owner's name, total area of contiguous lands comprising the ownership, information regarding mortgages, special assessments, liens, taxes, etc., to enable the LPA staff to prepare the necessary documents for title transfer. Required title information may be secured by a qualified member of the LPA staff or purchased from a title company doing business in the county. If necessary, commitments for title insurance may be obtained from qualified title agencies.

Alternatively, the LPA can obtain abstracts from which the agency's attorneys can determine the conditions of titles. Each abstract will cover a minimum period of 30 years or no less than four conveyances, except where it reasonably appears that an indicated ownership of the fee title of more than 30 years duration exists. Abstracts should also include conveyances of easements, mineral rights, or other interests of less than fee title, which appear of record.

The cost of obtaining the necessary title information is an incidental cost to right of way acquisition, and is one of the costs that are eligible for federal participation. Preliminary title work, like last deeds of record and title commitments, is a preliminary engineering cost, and eligible for participation if only construction is federal participating. Title insurance, and later title opinions are generally considered a right of way expense, and are only receive federal participation if there are federal funds in the right of way acquisition portion of a project.

When non-complex property or property rights are donated, a proper LPA authority may waive acquisition of additional property interests (like partial mortgage releases, easement owners, tenant interests, etc.), but a memo outlining the waiver to acquire additional property interests should be included in the file.

=136.8.6 Appraisal and Appraisal Review=

==136.8.6.1 Definition of Appraisal and Waiver Valuation==

The acquiring agency must offer the property owner an amount that it believes to be just compensation, and that amount is to be based on the fair market value of the property as determined by a professionally prepared, reviewed and approved appraisal or waiver valuation. Further, the Uniform Act provides that the amount of just compensation shall be no less than the amount of the agency's approved appraisal or waiver valuation.

'''Appraisal:''' An appraisal is defined in the Uniform Act as: A written statement independently and impartially prepared by a qualified appraiser setting forth an opinion of defined value of an adequately described property as of a specific date, supported by the presentation and analysis of relevant market information. See [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3bdda26e1102fe42dd21611091c4a569&rgn=div5&view=text&node=49:1.0.1.1.18&idno=49#49:1.0.1.1.18.1.16.2 49 CFR 24.2 (a) 3].

'''Waiver Valuation:''' An appraisal waiver is not an appraisal as defined by the Uniform Act. See [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3bdda26e1102fe42dd21611091c4a569&rgn=div5&view=text&node=49:1.0.1.1.18&idno=49#49:1.0.1.1.18.2.16.2 49 CFR 24 102 (c)]. The purpose of the appraisal waiver provision is to provide a technique to avoid the costs and time delay associated with appraisal requirements for low-value, non-complex acquisitions. The intent is that non-appraisers and appraisers in training may make waiver valuations.

Use of the Waiver Valuation is allowed when:

:* the acquisition is simple and $10,000 or less, plus fence re-establishment costs

:* land value is easily determined,

:* only nominal structural improvements are acquired,

:* only nominal access rights are acquired

:* other than fence, costs to cure cannot make the total compensation exceed $10,000

:* there are no apparent damages to the remainder – other than simple easements and creation of nominal uneconomic remnants.

===136.8.6.1.1 Appraisal Formats and Instructions===

MoDOT makes appraisal formats and waiver valuation formats and their instructions available for Local Public Agency use. Use of these forms and instructions will fulfill the LPA’s obligation to obtain a valuation for each acquisition. The LPA is provided access to these instructions and forms with the following links. The valuation instructions and formats are applicable for all users.

'''Guidance'''

:[[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format Instructions]]

:[[#136.8.6.3.2 Value Finding Appraisal Format|EPG 136.8.6.3.2 Value Finding Appraisal Format Instructions]]

:[[#136.8.6.3.3 Waiver Valuation|EPG 136.8.6.3.3 Waiver Valuation]]

:[[#136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum Instructions|EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum Instructions]]

:[[#136.8.6.3.5 Instructions for Preparing Sale Forms|EPG 136.8.6.3.5 Instructions for Preparing Sale Forms]]

:[[#136.8.6.3.6 Access Rights Valuation|EPG 136.8.6.3.6 Access Rights Valuation]]

:[[#136.8.6.3.7 Other Agency Valuations|EPG 136.8.6.3.7 Other Agency Valuations]]

:[[#136.8.6.3.8 Airport Valuation|EPG 136.8.6.3.8 Airport Valuation]]

'''Forms'''

:[https://epg.modot.org/forms/RW/LPA%20Links/Standard%20Appraisal%20Format%20Form%20136.8.29.docx 136.8.29 Standard Appraisal Format]

:[https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx 136.8.6 Assumptions and Limiting Conditions]

:[https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx 136.8.7 Certificate of Appraiser]

:[https://epg.modot.org/forms/RW/LPA%20Links/Summary%20Value%20of%20Tenant%20Interests%20Form%20136.8.31.docx 136.8.31 Tenant Summary]

:[https://epg.modot.org/forms/RW/LPA%20Links/Value%20Finding%20Appraisal%20Format%20Form%20136.8.33.docx 136.8.33 Value Finding Appraisal Format]

:[https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx 136.8.34 Waiver Valuation – Payment Estimate]

:[https://epg.modot.org/forms/RW/LPA%20Links/Uniform%20Residential%20Appraisal%20Report%20Form%20136.8.32.docx 136.8.32 URAR and Addendum]

:[https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx 136.8.16 Nonresidential Sale]

:[https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx 136.8.23 Residential Sale]

:[https://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx 136.8.9 Comparable Lease]

===136.8.6.1.2 Scope of Assignment===

[http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3bdda26e1102fe42dd21611091c4a569&rgn=div5&view=text&node=49:1.0.1.1.18&idno=49#49:1.0.1.1.18.2.16.3 49 CFR 24.103(s)] requires minimum standards for appraisals consistent with established appraisal practice. [http://uspap.org Uniform Standards of Professional Appraisal Practice (USPAP)], (also see [[#136.8.6.3.1.17 Uneconomic Remnant|EPG 136.8.6.3.1.17 Uneconomic Remnant]]), contains a “Scope of Work Rule”, which requires identification of the problem to be solved, determination and performance of the scope of work necessary to develop credible assignment results, and disclosure of the scope of work in the report. To fulfill the objectives of the CFR and USPAP, MoDOT has developed the Scope of Assignment process to assure appraisal reports meet reporting requirements and provide a high quality appraisal document. The Scope of Assignment preparer must be familiar with the requirements of the various formats (see [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3]]).

LPAs may refer to [[#Scope_of_Assignment_Process Scope of Assignment Process]] and [https://epg.modot.org/forms/RW/LPA%20Links/Scope%20of%20Assignment%20Form%20136.8.28.docx Form 136.8.28].

[http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3bdda26e1102fe42dd21611091c4a569&rgn=div5&view=text&node=49:1.0.1.1.18&idno=49#49:1.0.1.1.18.2.16.4 49 CFR 24.104] requires a review process, and minimum standards thereof. USPAP also contains standards for appraisal review. To fulfill the objectives of the CFR and USPAP, MoDOT has developed the a review process and forms. Refer to [[#136.8.6.4 LPA Appraisal Review and Approval of Just Compensation|EPG 136.8.6.4 LPA Appraisal Review and Approval of Just Compensation]] and Forms [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx 136.8.5 Appraisal Review] and [https://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx 136.8.2 Adjustment of Value]. The review appraiser must be familiar with the requirements of the various formats (see [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3 Valuation Formats and Instructions]]).

'''Staff and Fee Appraiser Activity and Personnel Approval by MoDOT'''

'''A. Staff Appraiser'''

Staff Appraisers who will prepare Value Finding and Standard format appraisals must carry adequate qualifications to accomplish the appraisal assignment, and be approved by MoDOT District Right of Way Managers.

MoDOT and this article impose no requirement on the staff of LPAs. However, it is recommended that agencies subscribe to the MoDOT requirement for staff appraisers, which is:

Staff appraisers are generally expected to exhibit knowledge of business and real estate as might be acquired through graduation from an accredited four year college or university with a bachelor degree in real estate, finance, economics, business administration, public administration, or related area.

Two years experience with the LPA in right of way activities, or four years' experience outside the LPA in a comparable position.

Completion of training courses in real estate, appraisal principles and appraisal procedures.

<div id="B. Fee Appraisers Must Be On Roster Of Approved Contract Appraisers"></div>
'''B. Fee Appraisers Must Be On Roster Of Approved Contract Appraisers'''

The selection of fee appraisers should be based upon the qualification level and experience necessary for the type of appraisals to be encountered. The selected appraiser must appear on the [https://epg.modot.org/index.php?title=236.6_Appraisal_and_Appraisal_Review#236.6.5.4_Roster_of_Approved_Contract_Appraisers Roster of Approved Contract Appraisers]. The roster also indicates those appraisers that have been pre-qualified for appraisal review.

:''' Duration of Approval of Fee Appraisers on the Roster of Approved Appraisers/Reviewers'''

:Duration of approval on the Roster of Approved Fee Appraiser/Reviewers is 3 years. A renewal application will be sent to each fee appraiser/reviewer 2 months prior to their 3 year expiration date as contained in MoDOT’s database. The renewal application will seek to determine the applicants desire to remain on the list and also to capture updated information including address, phone numbers, email addresses and areas of the state the applicant is interested in performing work. Renewal dates are contained in the Roster of Approved Appraisers. If you have any questions, contact the Right of Way Section of MoDOT's Design Division.

'''C. Separation of Functions -Appraisal/Review/Negotiation'''

Negotiations shall be conducted by someone other than the appraiser or reviewing appraiser of the real property to be acquired, except that the acquiring agency may permit the same person to value and negotiate an acquisition where the value is $10,000 or less. However, the valuation must be reviewed and an amount approved by another designated agency official before the initiation of negotiations.

Appraisals prepared by agency staff may not be reviewed by the appraiser that made the appraisal. Appraisals prepared by contract appraisers may not be reviewed by a member of the same firm as the appraiser

===136.8.6.1.3 Staff and Fee Appraisal Review Activity and Personnel Approval by MoDOT===

'''A. Approval and Co-signing of Waiver Valuation - Payment Estimates'''

Agency officials familiar with real estate values can inspect and co-sign or approve compensation determined on a [[#136.8.6.3.3 Waiver Valuation|Waiver Valuation]].

'''B. Review and Approval of Value Finding or Standard Format Appraisals'''

Qualified review appraisers are necessary to approve Just Compensation estimated by appraisers on the Value Finding or Standard Format appraisals. Staff reviewers who will approve just compensation based on staff appraisals by Value Finding and Standard formats, must be approved by MoDOT. Fee review appraisers must be on the [https://epg.modot.org/index.php?title=236.6_Appraisal_and_Appraisal_Review#236.6.5.4_Roster_of_Approved_Contract_Appraisers Roster of Approved Contract Appraisers] and pre-qualified as review appraisers on the roster.

==136.8.6.2 Scope of Assignment==

49 CFR 24.103 (s) requires minimum standards for appraisals consistent with established and commonly accepted appraisal practice, including all relevant and reliable approaches to value. These appraisal requirements accommodate an appraisal reporting level commensurate with complexity. [[#136.8.6.3.1.20D.17 Uniform Standards of Professional Appraisal Practice|Uniform Standards of Professional Appraisal Practice (USPAP)]] contains a Scope of Work Rule, which requires identification of the problem to be solved, determination and performance of the scope of work necessary to develop credible assignment results, and disclosure of the scope of work in the report. To fulfill the objectives of the CFR and USPAP, the agency has developed the Scope of Assignment process to assure appraisal reports meet reporting requirements, appraisal principles and standards, and provide a high quality appraisal document. The Scope of Assignment preparer must be familiar with the requirements of the various formats, set out in [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3 Valuation Formats and Instructions]].

All Scope of Assignment documents will be prepared by an individual familiar with all appraisal requirements for proper appraisal practice, approaches to value, rules and laws relevant to valuation for condemnation purposes, 49 CFR, USPAP, etc. The scope will identify the anticipated minimum requirements for an appraisal document to address all issues resulting from acquisition from a property. The Scope of Assignment preparer shall assign a level of documentation consistent with the complexity and anticipated value conclusion range of each acquisition. The assignment criteria must assure adequate documentation yet not assign or pay for more work than meets the agency’s needs.

The Scope of Assignment is a working document throughout the life of the appraisal work for a project, and only finalized when all assignments are complete.

The completed Scope of Assignment, whether a parcel listing of format assignments, an in-depth Scope for each parcel, or a combination of both are to be dated and signed by the person who prepared the study.

===Scope of Assignment Process===

Two Scope of Assignment processes are available. A Scope of Assignment may merely direct an appraiser experienced with MoDOT formats and their instructions, what format to use along with any special instructions. Otherwise, a more detailed Scope of Assignment shall be used for staff or fee appraisers less experienced with MoDOT formats, when fee appraisers will be competitively bidding, or when the appraisal assignment is so complex as to necessitate an in-depth Scope of Assignment.

'''A. Scope of Assignment for Simple Assignment or Experienced Staff and Fee Appraisers'''

MoDOT has established detailed instructions and formats that fulfill its and the agency’s appraisal needs. Through training and repetitive similar work assignments, staff and fee appraisers become familiar with the detailed instructions and their associated formats. Therefore, for experienced staff and fee appraisers, the Scope of Assignment preparer may merely reference the format required and any other special instructions or approaches to value. Even this abbreviated Scope of Assignment will follow the principles of a Scope of Assignment as set out for inexperienced staff or fee, below.

'''B. Comprehensive Scope of Assignment for Complex Assignment or Inexperienced Staff and Fee Appraisers'''

A comprehensive Scope of Assignment shall indicate the following for each parcel, when applicable:

:1. Total land area, proposed acquisition area, temporary and permanent easement, etc.

:2. A brief but comprehensive description of land and improvements.

:3. The manner in which proposed highway improvement may affect remaining real property.

:4. Identify and explain all observed elements of loss or damage.

:5. Identify curable losses, if any are observed.

:6. Under all appraisal formats the value estimates must include all fee owned and tenant owned improvements, both affected and unaffected. The scope may authorize the appraiser to estimate the contributory value of unaffected improvements.

:7. A statement from the agency’s counsel with regard to special benefits when it is anticipated that such benefits may accrue to a remaining fee hold.

:8. An in-depth explanation of those appraisal problems that warrant two appraisals on the same parcel.

:9. A comprehensive Scope of Assignment shall indicate what evidence is required to support depreciation rates for affected improvements when a cost approach is specified. If primary reliance is likely to be placed on the cost approach a higher standard of support for the depreciation estimate should be required.

:10. A comprehensive Scope of Assignment shall indicate if specialty appraisals to evaluate affected machinery, specialty items, trade fixtures, etc. are required. Also, if the agency or the fee appraiser is responsible for obtaining said appraisal and which party is responsible for the cost of specialty appraisals.

:11. A comprehensive Scope of Assignment shall indicate a suggestion or requirement to engage a contractor to furnish cost to cure estimates for rehabilitating remainder buildings, correcting or revising affected sewer systems, water lines, fence, etc., and if the agency or the fee appraiser is responsible for obtaining and the cost of the contractor’s services.

:12. Approaches to Value. The sales comparison approach often develops the most credible indication of value. In most situations this may be the only approach necessary to estimate just compensation. The cost less depreciation approach is best applied to newer, special use, or unique improvements not normally transferring in the market place. An income approach may be implemented when appropriate.

:The Scope of Assignment shall indicate the recommended approach or approaches to value "before" as well as "after" when applicable.

:The sales comparison approach shall be shown for parcels where appraiser relies upon vacant land sales and may estimate contributory value of unaffected improvements.

==136.8.6.3 Valuation Formats and Instructions==

===136.8.6.3.1 Standard Appraisal Format===

Use of the [https://epg.modot.org/forms/RW/LPA%20Links/Standard%20Appraisal%20Format%20Form%20136.8.29.docx Standard Appraisal Format] is required when:

:* the appraisal problems are judged complex

:* the highest and best use of a property as improved is different than the highest and best use as if vacant

:* residential or other major improvements are acquired, unless use of the URAR appraisal is specified.

:* there is a change in the highest and best use after the acquisition.

The appraiser shall adhere to the following format and shall include paragraph headings and numbers as shown. The appraisal shall be typewritten on 8 1/2" x 11" paper with the pages numbered sequentially.

These format instructions set out appraisal requirements of the agency, MoDOT and the Federal Highway Administration (FHWA). It is inevitable that appraisers will occasionally encounter situations that are not specifically addressed herein. In all cases the appraiser is responsible for a credible, adequately documented appraisal. Reasonableness and typical professional appraisal practices are the standard.

There are a number of ownership items and appraisal problems frequently encountered in valuing acquisitions for transportation purposes, on which policies have been established by case law, management decision and precedent. These policies apply to all appraisal formats and are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

The following standardized identification block shall be included at the front of the appraisal, without deviation.

[[image:236.18.6.3.1.jpg|center|600px]]

Reporting the effective date of appraisal and date of report are required by CFR and USPAP. The effective date of appraisal establishes the context for the value opinion, generally the date of last inspection. For condemnation appraisal reports, the effective date will be the date the commissioners’ award is paid into court. The report date with the signature on the certificate should normally be the date the appraisal is complete or turned in for review.

====136.8.6.3.1.1 Owner and Tenant Owner====

Identify owner and tenant owner by address, phone number, cell phone number, email address, etc.

====136.8.6.3.1.2 Purpose of Appraisal====

The purpose of this appraisal is to estimate just compensation due the owners as a result of acquiring land and realty rights as herein described.

'''Fair Market Value Definition:''' Fair market value is the value of the property taken after considering comparable sales in the area, capitalization of income, and replacement cost less depreciation, singularly or in combination, as appropriate, and additionally considering the value of the property based upon its highest and best use, using generally accepted appraisal practices. If less than the entire property is taken, fair market value shall mean the difference between the fair market value of the entire property immediately prior to the acquisition and the fair market value of the remaining or burdened property immediately after the acquisition. See [https://revisor.mo.gov/main/OneSection.aspx?section=523.001 RSMo 523.001].

Do not use definitions from various appraisal organizations and sources. Failure to use the above definitions can result in having the testimony of a witness stricken.

'''Intended Use:''' The intended use of the appraisal report is to assist the agency in establishing the amount of compensation to pay for the land and property rights to be acquired.

'''Intended Users:''' Intended users of this report are the agency (the client), the MoDOT, the FHWA and the United States Department of Transportation and persons authorized by the client. RSMo 523.253 requires a copy of this appraisal report be provided to the owner of the subject property for information only, the owner is not an intended user as defined by USPAP.

'''Uniform Standards of Professional Appraisal Practice:''' The appraiser shall include in the appraisal report the following statement. See [[#136.8.6.3.1.20D.17 Uniform Standards of Professional Appraisal Practice|Uniform Standards of Professional Appraisal Practice]] for the background for this statement.

'''USPAP Compliance Statement:''' This appraisal was prepared according to the contract/assignment from the agency. The intended use of the appraisal is for eminent domain related acquisition and the agency is the only intended user (except as indicated above). The agency bears responsibility for contract/assignment requirements that meet its needs and therefore are not misleading. In combination with the Scope of Assignment and review function, all appraisal reports assigned by the agency identify the problem to be solved, determine the scope of work necessary to solve the problem and correctly complete research and analysis necessary to produce a credible appraisal and are therefore in compliance with USPAP Standard 1. In that the agency is an intended user of the report and others may be provided copies for informational purposes, the agency has determined that reports prepared in conformance with these procedures constitute a Summary Appraisal Report which fulfills the agency’s needs. It is misleading for an appraiser to disregard a part or parts of USPAP as void and of no force and effect in a particular assignment without identifying in the appraiser’s report the part or parts disregarded and the legal authority justifying this action.

====136.8.6.3.1.3 Interest Appraised====

The interest appraised will normally be fee simple interest. If the ownership is encumbered with a lease, the value conclusion may be a leased fee estate. Easement encumbrances impacting market value shall be identified.

====136.8.6.3.1.4 Scope of Work====

Reference the information researched and the analysis applied in an assignment. Appraisers have a responsibility in determining the appropriate scope of work for an appraisal assignment. Credible assignment results require support by relevant evidence and logic.

Scope of Work includes, but is not limited to:

:* The extent to which the property and comparable sales were inspected

:* The extent of data research

:* The extent of analysis applied to arrive at opinions or conclusions.

The Scope of Work is supplemented by the [https://epg.modot.org/forms/RW/LPA%20Links/Scope%20of%20Assignment%20Form%20136.8.28.docx Scope of Assignment, Form 136.8.28], a document prepared by individuals other than the appraiser, and setting out the minimum reporting requirements of the appraisal.

====136.8.6.3.1.5 Identification of the Property====

The real estate involved in the appraisal can be specified by a property description, address, map reference, copy of a survey or map, property sketch and/or photographs or the similar information. Lengthy property descriptions should not be reiterated within the report, but rather copies of the title report or last deed of record should be reviewed by the appraiser and retained in the appraiser’s work file.

====136.8.6.3.1.6 History of the Property====

The appraisal report must state the history of the property and cannot merely say, “No transfers” or “none.” Indicate all transfers of subject realty for the five years immediately preceding the date of the appraisal. Show the parties to the transactions, dates of transactions, books and pages, instrument numbers and verified sale prices when possible to obtain. If sales of the subject are comparable sales in the report, reference to them will satisfy the requirement of this article. Include details of any current sale agreement, option or listing of the subject property if such information is available to the appraiser in the normal course of business. If the information cannot be determined, the report should state the reasons. If the report states there has been no sale, contract, option, or listing, it must also state how that determination was made.

Good appraisal practice dictates that appraisers consider and analyze recent sales, contracts, options or listings of the property being appraised. If, in the appraiser’s opinion, any of the above does not reflect current value of the property, the appraiser must provide reason. The phrase “not an arms length transaction” is not adequate without explanation.

====136.8.6.3.1.7 Description of Property Before Acquisition====

=====136.8.6.3.1.7A Zoning=====

The applicable code and category of zoning should be stated (for example, R-1 [the code], Single-Family District [the category]). Special zoning provisions or restrictions should be noted, such as minimum lot size or number of developed units allowed. The report should state whether the subject property is in conformance with the zoning code.

If the subject is non-conforming, the highest and best use and value analysis sections of the report must deal with any effect of the non-conformity upon use and value. Probability of zoning change should be addressed in the highest and best use analysis.

:* Code
:* Category
:* Compliance
:* None

=====136.8.6.3.1.7B Land=====

Site description should include dimensions, shape, size and frontage as appropriate. Describe the topography, roads or streets and frontages, legal access rights and physical entrances, and all non-structural site improvements including but not limited to paving, curbing, retaining walls, landscaping, ponds and terracing.

If agricultural land, information on soil types and productivity, percent cleared and timbered, and historic uses such as cropland and pasture land may be appropriate.

Information should be included on encumbrances, recorded or unrecorded, such as deed restrictions, limitation of access, utility easements, flowage or drainage easements, etc. which may affect market value.

:* Access Before Acquisition:

The report shall discuss the available legal and physical access of the subject property as well as the comparable sales. Legal access represents a deeded or permitted access point to a property. Physical access merely reflects the presence of existing entrances, which may or may not be legal.

:* Utilities In Use Before Acquisition:
:* Utilities Available Before Acquisition:

Identify what utilities are in use, whether public or private, and what utilities are reasonably available to the property.

=====136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty=====

These items shall be inspected, identified and described in sufficient detail to indicate their uses, quality, condition and location upon the premises.

The description of affected improvements shall include such items as significant deferred maintenance, recent renovation and a statement of actual and effective age.

Unaffected improvements shall be inspected to the extent that they can be adequately described. If directed in the Scope of Assignment, the appraiser may estimate the contributory value of unaffected improvements without support.

The appraiser shall identify and value personal property, trade fixtures, or intangible items that are not real property but are impacted by the acquisition and are included in the valuation. When there are items such as appliances, fireplace inserts, equipment, on-premise signs, mobile homes, etc., which could be realty or personalty, the report shall identify them and state whether they are considered personalty or realty. See [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] for instructions on personalty and fixtures.

When appropriate the impact of Title III of the Americans With Disabilities Act of 1990 as outlined in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]] should be addressed.

=====136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty=====

All buildings, structures or other improvements, except outdoor advertising structures, which are a part of the realty and owned by someone other than the fee holder shall be valued as such items contribute to the fee or valued for removal (salvage), whichever is greater.

The report shall identify the terms of the lease and describe buildings, structures or other improvements owned by someone other than the fee holder, which the tenant has the right or obligation to remove at the expiration of the lease term.

All tenant owned improvements including outdoor advertising structures shall be identified and described as separate assets from that of the fee holder. Follow instructions for describing improvements in EPG 136.8.6.3.1.7C. See [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] for instructions on personalty and fixtures.

When appropriate the impact of Title III of the Americans With Disabilities Act of 1990 as outlined in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]], should be addressed.

=====136.8.6.3.1.7E Other Appraisal Considerations=====

Methods and directions for addressing other property elements are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

====136.8.6.3.1.8 Highest and Best Use Analysis Before Acquisition====

The appraiser shall analyze the highest and best use before acquisition to the extent commensurate with the appraisal problem. Estimation of market value requires consideration of the highest and best use or uses for which the property is suited. Conclusion of highest and best use of vacant land should be consistent with zoning or evidence shall be included supporting the probability of zoning change. If the subject property is unzoned vacant land, highest and best use should be consistent with surrounding land use and area trends or evidence supporting the different use shall be offered. If the highest and best use is the existing use as improved, reasons supporting this conclusion should be explained. If the highest and best use is different from the current use as improved and particularly if other than allowed by current zoning, this conclusion should be supported by market evidence and analysis showing that this use is financially feasible, physically possible, and that there is a high probability of obtaining the necessary zoning. An unsupported statement of conclusion will not meet the requirement for highest and best use analysis in the Standard Format.

'''Valuation of Properties with Multiple Highest and Best Uses:''' Properties with the potential for multiple highest and best uses may be valued from comparable sales with like potential or as an alternative, the appraiser may value each use area by data comparable to each specific use to reach a value conclusion. Should an appraiser pursue the latter method of evaluation three sales comparable to each specific use area must be included and analyzed in the sales comparison approach, appropriate cost and income data for each use area shall be included if these approaches are utilized, and it must be shown that the owner may convey each specific use area without affecting the value of the remaining area(s).

'''Valuation of Improvements That Do Not Represent the Highest and Best Use of the Property:''' If improvements do not represent the highest and best use of the property they may have interim use value, depreciated in place value, salvage value (value of salvage exceeds cost of removal), no value (removal cost equals salvage value) or negative value (removal cost exceeds salvage value). The analysis should be clear as to which valuation premise is being used. Compensation for improvements, like fence, that may not contribute to the fulfillment of the highest and best use may be considered when the property was previously fenced and the owner utilizes the property for livestock confinement.

If a salvage value is included in Paragraph 18 the before value of that improvement must be at least equal to that salvage value.

====136.8.6.3.1.9 Valuation Before Acquisition====

'''Required Approaches:''' Appraisers shall as a minimum complete the approach or approaches to value as specified within the body of the appraisal agreement and/or elements of the Scope of Assignment. If the appraiser determines the appraisal problem is more or less complex than reflected in the Scope of Assignment, it is the appraiser’s responsibility to communicate the necessity to amend the Scope of Assignment, which may necessitate renegotiation of the agreement.

Each required approach to value, both before and after when applicable, shall be compiled in accordance with accepted appraisal principles and techniques, with appropriate specifications contained in these instructions and in compliance with [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title23/23tab_02.tpl 23 CFR - Highways] and [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR – Transportation].

Sales of the subject within the past 5 years and current Agreements of Sale, options and listings of the subject property shall be considered and analyzed. In some cases, sales of the subject over 5 years old may still be relevant.

'''Sales Data and Other Market Support:''' Each appraisal report prepared on the Standard Appraisal Format shall contain sufficient documentation, including valuation data and the appraiser's analysis of that data, to support the opinion of value.

Appraisers shall incorporate within the appraisal reports adequate sales and other supporting data to relay the necessary comparative information using Comparable Sale Forms [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale (Form 136.8.16)] and [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale (Form 136.8.23)].

The report shall contain a sales map in sufficient detail to allow the reader to drive to each sale.

=====136.8.6.3.1.9A Sales Comparison Approach Before Acquisition=====

When a sales comparison approach is applicable, an appraiser must analyze such comparable sales data as are available to indicate a value conclusion.

A comparable sale may be considered as follows:

:* a real property transferring on the open market within approximately 5 years of the date of appraisal in which the sale is referenced as a basis for conclusion of value,

:* a sold property which is similar and/or suitable for comparison with realty being appraised with regard to land area, shape, location, topography, utilities, improvements when applicable, potential highest and best use(s) and any other sufficiently similar qualities which may enable an informed person to arrive at a reasonable estimate or conclusion of value.

:* Pending contracts should be considered but not relied upon.

:* Contract for Deed may be used, however, if the contract is not recorded, a copy of the contract must be part of the appraiser’s file.

Comparable sale data shall be reported in each applicable portion of Sale Forms [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale (Form 136.8.16)] or [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale (Form 136.8.23)].

A minimum of three comparable sales is required as a basis for an evaluation by the sales comparison approach in the Standard Format, unless a different number is authorized in the Scope of Assignment. An arms-length sale of the subject property may be considered a comparable sale provided the transfer occurred within approximately 5 years of the date of appraisal. Adjustments for changes in market conditions and/or improvements may be necessary to align sale price with current value.

Each comparable sale shall be compared with the appraised realty and adjustments implemented for each significant element of difference affecting value. An explanation shall be offered for each individual adjustment. Differences may be measured by either dollars or percentage. A lump-sum adjustment for more than one difference is not acceptable.

The appraisal report shall contain sufficient sales data or other factual data and analyses of such data as to lend credible support to an opinion of each adjustment or value differential applied to the comparable sale. The only exception to this policy shall apply when such supportive data cannot be abstracted by sales analyses and the appraiser so states. Comments regarding adjustments abstracted from or based upon sale analyses shall include reference to the section or page number of the report where the abstraction is explained. Comments sufficient to explain the appraiser's rationale and reasoning shall be offered for each adjustment which could not be supported by sales, sales analyses or other factual data.

Comparable sales used as a basis for evaluating unimproved land must be either unimproved or all improvements totally and completely depreciated and offering no contributory value at date of sale. The procedure of abstracting estimated contributory value of improvements from selling price to arrive at residual value for unimproved land shall not be considered credible sale evidence or a basis for valuing unimproved realty.

Use of sales that have improvements located on them as vacant land sales, when it has been confirmed that those improvements did not contribute to value, is acceptable provided that during the course of time that the sale is being relied upon, those improvements have not been rehabilitated for renewed use. Once it becomes apparent that an improvement, formerly concluded to have no contributory value, has been put back into productive use, a sale written to the contrary has lost much of its credibility and is not to be used as a comparable for land valuation.

Each sale shall be analyzed to yield a value indication for the subject. These value indications shall be reconciled to a value conclusion by the sales comparison approach. A final conclusion of value differing from the range indicated by the comparable sales must be explained in depth.

::Before Value by Sales Comparison Approach: $_______________

=====136.8.6.3.1.9B Cost Approach Before Acquisition=====

When a cost approach is applicable, an appraiser must:

:* develop an opinion of site value by an appropriate appraisal method or technique
:* analyze such comparable cost data as are available to estimate the cost new and the present worth of the improvements (accrued depreciation).

When utilizing the cost approach the appraiser shall offer a minimum of three unimproved land sales to serve as a basis for evaluating unimproved land, unless a different number is authorized in the Scope of Assignment. Each land sale must meet the criteria as prescribed for comparable sales in [[#136.8.6.3.1.9A Sales Comparison Approach Before Acquisition|EPG 136.8.6.3.1.9A Sales Comparison Approach Before Acquisition]].

The appraiser shall compare each individual comparable land sale with the subject property. Adjustments to each comparable sale shall be in accordance with specifications set forth in EPG 136.8.6.3.1.9A Sales Comparison Approach Before Acquisition.

'''Improvement Costs:''' All elements recited in the cost approach must be substantiated by reference to specific sections of acceptable cost manuals, contractor's estimates, manufacturer's or dealer's cost data or by other appropriate sources. The appraiser may determine the value of nominal or unique elements in the cost approach with the best available method, with the requirement for support relative to the value conclusion.

The use of either replacement or reproduction cost is acceptable if the following two definitions are properly applied:

Replacement cost is the estimated cost to construct at current prices a building with utility equivalent to the building being appraised, using modern materials and current standards, design and layout.

Reproduction cost is the estimated cost to construct at current prices an exact duplicate or replica of the building being appraised using the same materials, construction standards, design, layout and quality of workmanship, and embodying all of its deficiencies, superadequacies and obsolescence.

'''Depreciation of Improvements:''' When completing the cost approach, the appraiser shall determine from market data or by the age/life method the applicable rate of depreciation for residential units, commercial buildings and other principal capital improvements. Improvements of a minor nature may be depreciated based on observed condition. Depreciation rates for mechanical appurtenances and/or trade fixtures may be estimated from age/life data furnished by the manufacturer or supplier, or from accepted cost manuals.

::Before Value by Cost Approach: $_______________

=====136.8.6.3.1.9C Income Approach Before Acquisition=====

When an income approach is applicable, an appraiser must:

:* analyze such comparable rental data as are available and/or the potential earnings capacity of the property to estimate the gross income potential of the property;

:* analyze such comparable operating expense data as are available to estimate the operating expenses of the property;

:* analyze such comparable data as are available to estimate rates of capitalization and/or rates of discount; and

:* base projections of future rent and/or income potential and expenses on reasonably clear and appropriate evidence.

The appraiser shall, when implementing an income approach to value, develop an overall capitalization rate from sales of comparable realty investments, band of investment or other accepted method. Discounting to present value of some income streams may be an acceptable technique. The appraiser shall also offer evidence supporting income and expense estimates.

::Before Value by Income Approach: $_______________

====136.8.6.3.1.10 Reconciliation of Value Before Acquisition====

If more than one approach to value is used, the appraiser shall correlate the resultant value estimates and explain the rationale for deciding which approach and data provide the best support for the conclusion of value before acquisition.

::Total Value Before Acquisition: $_______________

====136.8.6.3.1.11 Description of Property After Acquisition====

The appraiser shall describe the remaining realty to the extent necessary to provide a word picture of the after condition. If the remainder is substantially changed from the before condition the appraiser shall describe the remainder as if the before condition never existed. Partial acquisitions of a minor nature may best be described by discussing changes caused by the acquisition rather than repeating the contents of [[#136.8.6.3.1.7 Description of Property Before Acquisition|EPG 136.8.6.3.1.7 Description of Property Before Acquisition]].

:* Impact on Zoning: Describe impact on zoning.

:* Access After Acquisition:

The report shall discuss the available legal and physical access of the subject property as well as the comparable sales. The report must address if the legally provided access points are comparable to the physical access available to the property before the acquisition in regard to topography, timber, etc. See [[#136.8.6.3.6 Access Rights Valuation|EPG 136.8.6.3.6]] for applicable laws and definitions regarding access.

:* Impact on Utilities:

A statement is required regarding the impact, if any, on all public and private utility services which the property has in use or available in the before condition. Special considerations apply when it is necessary to adjust the property owner’s service lines located on existing right of way. The [https://epg.modot.org/index.php?title=643.2_Local_Utility_Adjustments_-_Public_and_Private#643.2.1.6_Service_Lines_Owned_by_Property_Owners cost to move and reconnect service lines that lie within the existing right of way] is not compensable to the owner if such reconnection is included in the construction contract.

:* Utilities In Use After Acquisition:

:* Utilities Available After Acquisition:

'''Other Appraisal Considerations: '''

Methods and directions for addressing other property elements are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

====136.8.6.3.1.12 Highest and Best Use Analysis After Acquisition====

The report may indicate that the highest and best use of the remaining realty is unchanged if a brief explanation is required. Should the acquisition cause a change in highest and best use or uses, the appraiser shall analyze the new highest and best use in depth commensurate with the appraisal problem. The change caused by the property acquisition may make it necessary for the appraiser to utilize new comparable data. [[#136.8.6.3.1.20D.14 Special Benefits|Special Benefits]] reflected in a report must be supported by written concurrence from the agency’s counsel and addressed in the Scope of Work of the report if special benefits are recognized subsequent to the initial Scope of Assignment.

====136.8.6.3.1.13 Valuation After Acquisition====

The analyses and valuation sections relating to the remainder property constitute a new appraisal. In cases of an insignificant acquisition, the remainder may be so similar to the whole property before the acquisition that the same highest and best use analysis and the same cost, market, and income data and analysis will remain applicable and can therefore be referenced and employed in analyzing and valuing the remainder property. However, a change in the basic physical or economic character of the remainder may result in a change in the remainder’s highest and best use or the intensity of that use and may result in damages or benefits to the remainder property which will require different market data and/ or analysis than that which was used in the whole property valuation.

Follow instruction as shown in [[#136.8.6.3.1.9 Valuation Before Acquisition|EPG 136.8.6.3.1.9 Valuation Before Acquisition]] as well as [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

'''A. Sales Comparison Approach After Acquisition'''

:Follow Instructions as shown in [[#136.8.6.3.1.9A Sales Comparison Approach Before Acquisition|EPG 136.8.6.3.1.9A Sales Comparison Approach Before Acquisition]].

:After Value by Sales Comparison Approach: $_______________

'''B. Cost Approach After Acquisition'''

Follow Instructions as shown in [[#136.8.6.3.1.9B Cost Approach Before Acquisition|EPG 136.8.6.3.1.9B Cost Approach Before Acquisition]].

:After Value by Cost Approach: $________________

'''C. Income Approach After Acquisition'''

Follow Instructions as shown in [[#136.8.6.3.1.9C Income Approach Before Acquisition|EPG 136.8.6.3.1.9C Income Approach Before Acquisition]].

:After Value by Income Approach: $_______________

====136.8.6.3.1.14 Reconciliation of Value After Acquisition====

If more than one approach to value is used, the appraiser shall correlate the resultant value estimates and explain the rationale for deciding which approach and data provide the best support for the conclusion of estimated value after acquisition.

:Total Value After Acquisition: $_______________

====136.8.6.3.1.15 Estimate of Total Just Compensation====

Total Just Compensation is computed by subtracting the estimated value after the acquisition from the estimated value before the acquisition.

:Estimated Value Before Acquisition $_______________

:Estimated Value After Acquisition $_______________

:Indicated Just Compensation Due to Acquisition $_______________

====136.8.6.3.1.16 Allocation of Just Compensation====

The appraiser shall offer an opinion of reasonable allocation of the estimate of just compensation between realty acquired and damages to the remainder for .the interests of both fee holders and tenants who own improvements, fixtures or personalty included in the value.

'''A. Allocation of the Fee Holder’s Interest:'''

:1. Land Acquired: $ ______________

:Report the calculated value of the land acquired.

:2. Improvements, Fixtures and Personalty: $_________________

:3. Total Land and Improvements, Fixtures and Personalty: $_________________

:4. Damages to the Remainder: $_________________

:Damages to the remainder including permanent and temporary easements shall be identified and individually valued, and their values combined to a total. Losses caused by temporary borrow pits must be set apart from other damages. Fencing required as a cost to cure due to road realignment, temporary fencing etc. shall be included as a damage to the remainder. See additional discussion on Damages in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

:5.Total Just Compensation Due Fee Holder: $________________

'''B. Allocation of the Tenant Owner’s Interest:'''

:1. Tenant Owned Improvements, Fixtures and Personalty:

:::_________________$_________________
:::_________________$_________________

:Identify each tenant owned improvement within the new acquisition and/or easement area and estimate its value. Use the greater of its contributory value or value for removal (salvage value).

:2. Damage to Tenant Owned Improvements, Fixtures and Personalty:

:::_________________$_________________
:::_________________$_________________

:Identify and show a value loss, if any, for each damaged tenant owned improvement lying outside the acquired area.

:3. Leasehold Interest: $_________________

:Calculate value of leasehold interest, if any, should the lease be affected by the acquisition.

:4. Total Just Compensation Due Tenant Owner: $________________

<div id="136.8.6.3.1.17 Uneconomic Remnant"></div>
====136.8.6.3.1.17 Uneconomic Remnant====

"The term uneconomic remnant means a parcel of real property in which the owner is left with an interest after a partial acquisition of the owner's property, and which the acquiring agency has determined has little or no value or utility to the owner." (Refer to [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR Section 24.2 (27)] and [[#136.8.12 Property Management|EPG 136.8.12 Property Management]]. When the appraiser is of the opinion that an uneconomic remnant does not exist, enter the word "none" in this paragraph. When the appraiser is of the opinion that an uneconomic remnant has been created by the acquisition, an explanation is required. The appraiser shall describe elements that contribute to a parcel having some characteristics of an uneconomic remnant, yet conclude that the parcel is not an uneconomic remnant. A separate area and value should be shown for multiple uneconomic remnant areas.

::Area __________________ @ $ __________ = $ ________________

====136.8.6.3.1.18 Salvage Value====

“The term salvage value means the probable sale price of an item offered for sale to knowledgeable buyers with the requirement that it be removed from the property at a buyer’s expense (i.e., not eligible for relocation assistance). This includes items for re-use as well as items with components that can be reused or recycled when there is no reasonable prospect for sale except on this basis.”

Each acquired improvement enumerated above shall be additionally identified under salvage and a salvage value determined or zero indicated. Salvage values should not be assigned to very low value items such as farm fencing. If an improvement has salvage value, the before value of such improvement must be at least equal to the salvage value.

Allocate salvage values between fee and tenant improvements, fixtures and personalty.

::Improvement _________________ Salvage Value $_________________

::Improvement _________________ Salvage Value $_________________

:::Total Salvage Value $_________________

====136.8.6.3.1.19 Required Attachments====

'''Assumptions and Limiting Conditions:''' The appraiser shall use the standard [https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx Assumptions and Limiting Conditions Form 136.8.6]. If additional contingencies or limiting conditions apply, they shall be stated here. Unauthorized hypothetical conditions, assumptions, or limiting conditions may result in disapproval of the appraisal report.

'''Certificate of Appraiser:''' A properly completed and signed copy of [https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser Form 136.8.7] shall be attached to the appraisal report.

'''Site Plan:''' The appraiser must provide a site plan showing all property boundaries and the location of major and affected improvements. An annotated copy of an assessor’s aerial map, a survey, an aerial photo, a cut of the highway plan can meet this requirement if it shows the whole property and all improvements, or a drawing. If other than the plan cut is used to meet this requirement the site plan should show the proposed boundary line and easements, and the areas of the acquisition and remainder. Greater detail and a higher degree of accuracy is required on small parcels or where improvements are very near and possibly affected by the acquisition than on large parcels where improvements may be important to the value estimate but are not affected by the acquisition.

'''Photographs:''' The appraiser shall attach identified color photographs of the appraised property showing all improvements and features affecting the value. Photographs should show details important to the valuation of major and/or affected improvements. Photographs should also show the area of acquisitions including easement areas and their relationships to affected improvements.

'''Floor Plans of Acquired Residential Units And Structures with Internal Walls:''' A floor plan drawing is required when:

:* a residential unit is acquired, to aid in the determination of relocation requirements and benefits.

:* demolition will be required on structures with interior walls.

'''Comparable Sale Map:''' The report shall contain a sales map in sufficient detail to allow the reader to drive to each sale.

'''Sale Data Forms:''' Data books may be utilized in each appraiser’s practice but shall not be submitted to division or referenced in reports. Each appraisal report prepared on the Standard Appraisal Format shall contain sufficient documentation, including valuation data and the appraiser's analysis of that data, to support the opinion of value.

Appraisers shall incorporate within the appraisal reports adequate sales and other supporting data to relay the necessary comparative information. Sale data sheets, [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale (Form 136.8.16)] and [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale (Form 136.8.23)] utilized in the valuation shall be attached to each report. The entirety of information obtained on each sale transaction may exceed the need for each individual report, like income data, etc. Individuals may develop abbreviated sale data sheets that contain only the information necessary for comparison to the subject valuation, with other data retained in the appraiser’s work file.

====136.8.6.3.1.20 Optional Attachments====

Cover letters

Tables of Contents

Appraiser Qualifications

Engagement Letter or Notice to Proceed

Legal Instructions, if any shall be retained in the appraiser’s work file and not attached to valuation reports.

=====136.8.6.3.1.20A Assumptions and Limiting Conditions=====

[https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx Assumptions and Limiting Conditions, Form 136.8.6], shall be attached to each Standard Format and Value Finding appraisal, and other valuations where it is deemed appropriate.

=====136.8.6.3.1.20B Certificate of Appraiser=====

[https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser, Form 136.8.7], shall be attached to each Standard Format and Value Finding appraisal, and other valuations where it is deemed appropriate. The Certificate of Appraiser is not used on Waiver Valuations.

=====136.8.6.3.1.20C Tenant Summary=====

[https://epg.modot.org/forms/RW/LPA%20Links/Summary%20Value%20of%20Tenant%20Interests%20Form%20136.8.31.docx Summary Value of Tenant Interests, Form 136.8.31], shall be prepared and provided to tenant owners of improvements and interests affected by an acquisition. Form 136.8.31 is a summary of tenant information and valuations included in the valuation of the parent property, but is NOT to be attached to the appraisal or valuation documents provided to the fee owner.

=====136.8.6.3.1.20D Other Appraisal Considerations=====

The following elements shall be considered and addressed in the appropriate paragraphs of all valuations.

======<big>136.8.6.3.1.20D.1 Americans With Disabilities Act of 1990</big>======

The intent of this section for the appraiser is to emphasize the importance of the impact of the ADA on real estate valuation. Appraisers must be aware of differences in apparently comparable improved properties due to ADA. It is not intended that appraisers unduly seek out ADA deficiencies in affected and acquired improvements.

The appraiser should be aware of the requirements of Title III of the Americans With Disabilities Act of 1990 and consider its effect on the value of the appraised property. The Act applies to any public accommodation, commercial facility, or private entity that offers examinations or courses related to applications, licensing, certification or credentialing for secondary or post-secondary education, professional or trade purposes. When a public accommodation is located in a private residence that part used for public accommodation is covered by this act, including those elements used to enter the place of public accommodation.

The Act requires removal of architectural barriers and communication barriers that are structural in nature in existing facilities, where such removal is readily achievable, i.e., easily accomplished and able to be carried out without much difficulty or expense. Whether a measure is readily achievable is determined on a case-by-case basis, however, the obligation to remove barriers is a continuing one. What was not readily achievable in the past may become achievable in the future and the Act envisions a gradual removal of barriers and suggests priorities for their removal.

All new improvements after January 26, 1993 must be designed and constructed to be readily accessible and usable by individuals with disabilities. Alterations to existing facilities after January 26, 1993 must to the maximum extent feasible ensure that the altered portions of the facility are readily accessible. When undertaking a cost to cure as part of the damages caused by a property acquisition, the appraiser will have to consider how the acquisition affects accessibility as well as whether the improvement was or should have been in compliance prior to the acquisition.

Subject property shall be inspected on the date of valuation for its compliance or non-compliance with ADA regulations. All comparable sales used in the valuation process should be analyzed as to their compliance or non-compliance to ADA regulations as of the date of sale. If subject property is currently in non-compliance with ADA regulations the appraiser should use similar comparable sales, which are in non-compliance for comparison purposes. It shall be the appraiser's responsibility to estimate the current market value of subject property as it now exists taking into consideration all of its compliance or non-compliance of ADA regulations and making adjustments for either situation. Curing damage to the remainder could trigger requirements of ADA. This must be considered in any after value analysis.

======<big>136.8.6.3.1.20D.2 Billboard Valuation</big>======

For further information on the acquisition of billboards, see [https://epg.modot.org/index.php?title=236.16_Outdoor_Advertising#236.16.9_Sign_Structures.2FJunkyards_Affected_by_Highway_Projects EPG 236.16.9 Sign Structures/Junkyards Affected by Highway Projects]. The following definitions are for valuation purposes and are linked to locations where other define the subject for different purposes.

'''A. Definitions'''

'''Billboard:''' An outdoor advertising structure that is described within the outdoor advertising industry as a flat surface (panel, wall, or fence, etc) on which bills are posted. Specifically, a large panel designed to carry outdoor advertising intended or used to advertise or inform of activities conducted away from the premises or services and/or products provided somewhere other than the premises where the structure is located. It advertises an establishment, merchandise, service or entertainment that is not sold, produced, manufactured or furnished at the property on which it is located.

Billboards along with their supporting structures are considered realty. Billboards should not be confused in the appraisal process with on-premise signs.

Although billboards are the dominant form of outdoor advertising, other forms such as an outdoor sign, display, device, figure, painting, drawing, message, plaque, or poster may also be considered as outdoor advertising. The valuation of these other forms of outdoor advertising should follow the procedures stated herein.

For purposes of valuation, the terms billboard and outdoor advertising structure are used interchangeably. Outdoor advertising is defined at [https://revisor.mo.gov/main/OneSection.aspx?section=226.510 226.510 RSMo].

'''On-premise Sign:''' An on-premise sign advertises activities, services and/or products offered by the establishment on the premises that it is located. On-premise signs may be realty or personalty. On-premise sign is defined at [http://sos.mo.gov/adrules/csr/current/7csr/7c10-6.pdf 7-CSR 10-6.015(25)].

'''Status of Billboard Structures:''' The status of billboard structures is conforming, conforming out of standard, nonconforming or illegal. '''Conforming Billboard Structures''' comply with all current billboard regulations. '''Conforming Out of Standard''' is defined at [http://sos.mo.gov/adrules/csr/current/7csr/7c10-6.pdf 7 CSR 10-6]. '''Nonconforming Billboard Structures''' do not comply with all current billboard regulations, but did comply at one time, have a permit, and may remain in place until destroyed. Nonconforming is defined at [http://sos.mo.gov/adrules/csr/current/7csr/7c10-6.pdf. 7 CSR 10-6.015(24)]. '''Illegal Billboards Structures''' may have a permit, but are damaged, do not comply with current statutes, or have other legal limitations.

'''Status of Billboard Sites:''' The status of improved billboard sites is either legal or illegal. The status of a permitted but unimproved site will always be legal. '''Legal Billboard Site''' is a location on a property that has attained the legal status for construction of a billboard, including the presence of a qualifying commercial enterprise and spacing from other permitted locations. For MoDOT acquisitions, the Outdoor Advertising Specialist can identify current status and spacing requirements. If zoned, the zoning must accommodate billboards. '''Illegal Billboard Site''' will generally be associated with a structure that has been erected without a permit, or in conflict with a permit regarding location or other issues.

'''Eliminated Billboard Site:''' If an improved billboard site is within the proposed acquisition area, or otherwise impacted by a project, the site shall be considered eliminated if there is inadequate remaining size, if the qualifying commercial enterprise has been eliminated, adequate spacing is not available, local requirements, or other reasons identified by the appraiser. Limitation of access may impact legal billboard sites.

'''B. Property Description'''

The description of billboards shall include size, structural components, lighting, condition, maintenance, recent renovation and a statement of actual and effective age. All tenant owned billboards shall be identified and described as separate assets from that of the fee holder. Regardless of impact by the acquisition, billboard structures shall be inspected to the extent that they can be adequately described and that valuation may be accomplished if acquired, or a contributory value may be estimated if unaffected by the acquisition.

For valuation purposes, the size of a billboard site may not need to be identified, as long as the billboard use does not diminish other uses on the land, or other uses on the land do not diminish the additional contributory value as a billboard site or structure.

The billboard site and each component of the outdoor advertising structure may be under different ownerships. The status of each billboard site and structure, affected by the acquisition, must be reported in the appraisal. (A legal site may contain an illegal structure, etc.) Fee and staff appraisers shall secure information on status of billboards and administrative hearings.

'''C. Compensation'''

Compensation shall be paid for legal sites, conforming structures and non-conforming structures eliminated by an acquisition.

If a billboard structure or site that is illegal or scheduled for administrative hearing is encountered in the acquisition, consult the agency’s counsel to determine if compensation must be included or omitted in the valuation, and state the findings and conclusion in the report.

If after the acquisition of an improved billboard site, the remaining spacing is such that one cannot identify which of two or more tracts might be able to obtain a permit for a replacement site, valuations must include compensation for improved sites that are eliminated but may be replaceable, and not speculate on which of several owners might achieve the permit.

'''D. Valuation'''

Federal regulations require that all applicable, relevant and reliable approaches to value be considered in valuing billboards. Therefore, as in the valuation of all property types, all relevant approaches to value are to be considered and included in the report, when practicable. The appraiser may estimate the value of billboards and their sites by the most relevant and reliable approach, and include the result in the total overall value. The appraisal must state why any approach is not used.

The valuation of billboard sites that are part of a larger ownership, may utilize market information from comparable sales of sites or capitalization of rents of comparable sites. This site value conclusion may then be added to or included in the concluded realty value of the overall ownership.

A special larger parcel valuation situation may arise if the landowner owns the billboard and also advertises the billboard owner's business, service or product, which is provided at other premises.

'''Sales Comparison Approach:''' A Sales Comparison Approach may be developed using comparable sales of improved billboard sites, improved with structures similar to the subject’s structure. Elements of comparison might include traffic count, height, lighting, proximity to towns or commercial development, direction of travel, visibility, etc.

'''Income Approach:''' In all ownership combinations, the income derived from the rent received for the land and structure is to be considered in developing an income approach to determine the contributory value of the billboard and supporting land. Income from the sale of advertising displays posted on billboards shall not be considered as income imputable to the realty.

Comparable rental data can be developed with information from landowners who rent their structure to a second party who places advertising on the structure. Capitalization rates must be supported. Use of the band of investment method of developing a capitalization rate is acceptable.

In valuing billboard sites, the appraiser shall determine potential economic rent for the subject site. Such rent shall be estimated by comparing the subject site to comparable leased premises. Potential economic rent shall be capitalized at an appropriate rate to determine the current estimated value of the sign site. The appraiser shall explain or support the overall capitalization rate used. Legal status and remaining functional life of the site may impact the selection of the capitalization rate.

'''Cost Approach:''' The appraiser shall estimate the value of billboards and their sites by the cost less depreciation method and include the result in the total overall value. The Cost Approach shall always be developed, regardless if other approaches are also used. Costs for the structures shall be compiled by the unit in place method, quantity survey method or contractor estimate with depreciation measured by the most appropriate means available. Cost sources are to be supported as defined in [[#136.8.6.3.1.9B Cost Approach Before Acquisition|EPG 136.8.6.3.1.9B Cost Approach Before Acquisition]].

The district is encouraged to contract for cost estimates of replacement or reproduction cost with local sources. It is the appraiser's responsibility to apply estimated depreciation to such estimates to the extent indicated by its current physical condition.

'''Reconciliation:''' The basis for the appraiser’s reconciliation of the approaches to a final value estimate should be based on their consideration of the relative strengths and weaknesses of each approach utilized.

'''E. Distribution of Fee Holder and Tenant Interest'''

The appraisal report shall identify the site’s annual contract rent, remaining term of the lease, and any other provisions pertinent to the income to be received by the landowner. In those cases where the tenant has a lease and the contract rent is less than the economic rent for the sign site, the appraiser shall compute present value of the difference for the remaining lease term. This amount is the leasehold interest. This amount will be subtracted from the landowner’s value of the sign site. The amount shall then be added to the tenant’s interest.

'''F. Salvage Value'''

The appraiser shall determine a salvage value. Salvage value is the probable sale price of an item if offered for sale to knowledgeable buyers, including the previous structure owner, with the requirement that it be removed from the property at a buyer’s expense (i.e. not eligible for relocation assistance). This includes items for re-use as well as items with components that can be reused or recycled when there is no reasonable prospect for sale except on this basis. Assignment of a salvage value for billboard structures should specifically address the previous owner’s ability to utilize or move the salvaged item.

If the appraiser determines that Legal Billboard Sites are readily available, it is acceptable to estimate the salvage value as the value in place at a potential replacement site minus the cost to relocate the sign to a replacement site.

'''G. Billboard Valuation Guide'''

The following material is provided as a guide suggest the minimum items of consideration in valuing a billboard and billboard site, which must be incorporated into an appraisal format, in the appropriate sections. Use [https://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx Comparable Lease (Form 136.8.9)] for reporting all types of leases.

:* Structure Owner
:* Site Owner
:* Status of the Structure
:* Status of the Site
:* Permit number and other material from the Outdoor Advertising Permit Specialist.
:* Lease Terms: If the lease is not of public record, the appraiser should attempt to secure a copy from the parties. In the event a written lease is nonexistent or unavailable, the appraiser shall make personal inquiry of the parties in an effort to learn of terms and conditions. Data secured from such inquiry shall be entered on the Comparable Lease, Form 136.8.9.
:* Property Description
:* Valuation
:* Distribution of Landowner and Structure Owner Interests
:* Estimated Value to the Landowner
:* Estimated Value of Billboard Site
:* Less Leasehold Interest, if any
:* Landowner Interest in the Site
:* Estimated Value to the Structure Owner
:* Estimated Value of Structure
:* Add Value of Leasehold Interest, if any
:* Structure Owner Interest
:* Salvage Value

======<big>136.8.6.3.1.20D.3 Borrow Easements, Waste Easements or Haul Roads</big>======

A valuation for an easement for a borrow area or haul road must provide a word picture which would adequately explain what damages will be associated with these easement areas. The description should include the appraiser's understanding of what the site will look like, how much material will have been removed or deposited, what the possible damages to the remainder will be, whether the affected area will be ponded, whether the topsoil will be stockpiled and replaced and whether the area will be seeded and mulched.

If the acquisition involves a borrow easement or haul road, adjustments must be adequately explained.

======<big>136.8.6.3.1.20D.4 Damages</big>======

Damages as such are not appraised. However, the appraiser shall explain any damages to the remainder property and allocate the difference in the value of the property before and after the acquisition between the value of the acquisition and damages to the remainder. If damages are measured by a cost to cure, the appraiser must justify the cost to cure and demonstrate that the cost to cure is less than the damage would be if the cure were not undertaken.

Rationale for conclusion of damage to remainder due to easements or other damage shall be explained. Losses to remainder value may result from limitation of direct access, proximity of proposed boundary line to improvements, severance, reduction in size of remainder, configuration of remainder, change in grade, and other effects of acquisition.

'''Noncompensable Damages:''' It is an established principle of law that certain damages, which may occur by reason of a government acquisition of land, are not compensable and, therefore, must be disregarded by appraisers when estimating market value for such acquisitions. Losses of business and relocation expenses have been determined to be noncompensable. Other noncompensable damages include: damage to business, loss of or damage to goodwill, future loss of profits, expenses of moving removable fixtures and personal property, depreciation in value of furniture and removable equipment, frustration of plans, frustration of contractual expectations, loss of customers, and the expense of having to readjust manufacturing operations.

'''Easements:''' An easement can generally be described as an interest in land of another entitling the owner of that interest to a limited use of the land in which it exists, or a right to preclude specified uses in the easement area by others. An easement is an interest less than the fee estate, with the landowner retaining full dominion over the realty subject only to the easement; the landowner may make any use of the realty that does not interfere with the easement holder’s reasonable use of the easement and is not specifically excluded by the terms of the easement.

'''Temporary Easements:''' The appropriate measure of value for the acquisition of a temporary easement is the rental value for the term of the temporary easement, adjusted as may be appropriate for the rights of use, if any, reserved to the owner. Damages that result from temporary construction easements are usually based on the economic or market rent of the affected area for the term of the temporary easement. Usually, the land area affected is so small and the term of the temporary easement so short that compensation for the temporary construction easements is nominal. As a result, many agencies and appraisers have adopted a ''shortcut'' for its estimation. A reasonable return rate, rather than the economic or market rent based on comparable rentals, is estimated and applied to the encumbered land’s fee value for the term of the temporary easement. The rent loss or appropriate return is often not converted to a present value through the application of a discount rate because of the short term of the temporary easement and the nominal nature of the indicated rent loss.

Even though technically incorrect this short cut is generally acceptable because of the nominal nature of the temporary construction easements acquisition and the cost and time savings associated with the short cut. However, appraisers must recognize that the short cut methodology will be found unacceptable if the indicated compensation is more than nominal.

In estimating and approving just compensation for temporary easements, the appraiser/reviewer must consider the impact on the use of the area of the property in the temporary easement and the impact of the temporary easement on the remainder.

Impacts within the temporary easement area can have impact for the duration of the occupancy/use by the contractor, the duration of the anticipated construction time of the project, or the duration of the encumbrance of the temporary easement on the property.

Temporary easements that impact only during the contractor occupation include driveway reconnection easements, construction of curbs, removal of items, etc. Although a contractor may be on a temporary easement area during different times, (Example: removal, grading, sub-grade, and paving) the appraisal may consider merely the total of time the area is disturbed for construction, when making the calculation for compensation. Unless otherwise indicated, the appraiser is to assume that owners/customers are provided reasonable access to property during construction.

Temporary easements that impact during the duration of the anticipated construction for the project include temporary bypasses, slope cuts, (slope fills require permanent easement) borrow easements, work and turn areas on parking lots, construction of retaining walls, etc.

Temporary easements that impact for the duration of the temporary easement encumbrance include large temporary easements on vacant land with development potential, temporary easements that occupy large areas or large proportions of front yards, borrow or waste easements, or any application of easement that might impact market value or the marketability of the property. The duration of the project may include time beginning at the anticipated acquisition, and time until anticipated letting, construction time until anticipated acceptance of the project, which would release the rights in the temporary easement area.

Temporary easements that may result in damage to remainder outside the actual temporary easement area include temporary loss of access or use of part or all of the property, undesirable borrow areas, etc. The agency accepts compensation for temporary easements at 10% of fee value per year, applied to one of the durations discussed above. Appraisal reports must include explanation of the duration used and why that duration was utilized. Different durations may apply to different temporary easement areas on an individual property. Use of other percentages requires analysis and explanation.

'''Third Party Appurtenant Easements:''' This section applies to the proper measure of value for a third party appurtenant easement that is acquired or extinguished as an incident of an acquisition of the servient estate (fee acquisition of property through which an easement of access connects a third party’s parcel to the highway). The third-party easement owner has a separate estate that must be separately appraised. In such cases, the easement owner is not limited to the value of the easement acquired, but is entitled to the value diminution of the property served by the easement. Accordingly, two appraisal assignments are required; a before and after appraisal of the easement interest and the property it serves (the before appraisal including the easement interest and the land it serves and the after appraisal excluding those interests acquired.) and a second appraisal assignment covering the land being acquired, as encumbered by the easement. This second appraisal would also require a before and after appraisal if only a portion of this larger parcel is to be acquired.

'''Costs to Cure:''' Cost to cure items may include wells and water systems, septic or sewer systems, waterways, terraces, fencing for boundary lines along relocated highways, etc. Costs for such items shall be based on contractor estimates or other appropriate cost sources.

The estimated cost to move a building improvement shall not be used as a measure of consequential damage in the Value Finding format, unless authorized in the Scope of Assignment.

======<big>136.8.6.3.1.20D.5 Dedication Requirement</big>======

When performing appraisals within corporate limits or in zoned areas, the appraiser must research the zoning ordinances, and/or subdivision regulations, to reveal if properties subject to acquisition could be required to make a dedication of land in exchange for zoning change or development plans, to achieve the highest and best uses that are anticipated to be suggested in appraisal reports. If such ordinances and/or regulations are discovered, their impact must be addressed and reflected in valuations.

Indications of dedication in existing ordinances, plats, deeds or other conveyances must contain the proper language to effect a proper dedication. The wording “reserved for future highway” will not rise to the level of a lawful dedication. The wording “dedicated to the agency for public use forever” or like wording must be used. Consult your agency counsel regarding the effectiveness of any particular wording.

======<big>136.8.6.3.1.20D.6 Environmental Considerations</big>======

The appraiser is responsible for reporting any observed or suspected indications of contamination by hazardous materials or waste and the presence of other environmental considerations such as wetlands

'''A. Hazardous Materials or Waste'''

It is not the intention of this instruction to give comprehensive procedures for inspecting properties for contamination, but to offer appraisers some guidance.

The scope of assignment must suggest the appropriate level of data and analysis regarding hazardous materials or waste to be conducted by the appraiser.

For valuation of known contaminated properties, appraisers will typically be asked to value a property as if clean, from clean sales, as a special hypothetical condition. Clean up costs, if known, may be handled administratively or by the appraiser. Clean-up costs that may have been future or speculative to the owner may be immediately imposed by the project and therefore wholly or partially compensable, depending on the circumstance.

Because of the serious impact of contamination by hazardous materials or waste, it often affects major decisions by the agency’s planning, right of way and design groups. In many cases this problem has been identified before the property acquisition phase of a project. If, prior to completion of the appraisal assignment, an environmental assessment and cleanup cost estimate have been done on a contaminated subject property the effect, if any, of cleanup cost on the value of the property must be considered in the appraisal.

There will be instances in which contamination has not been detected by the time an inspection for appraisal is made. In the absence of specific instructions, appraisers are not required to do, or to cause to have done, environmental assessments of subject properties, and it is expected that a disclaimer stating the appraisers' lack of expertise in this field will be included in the appraisal report. However, the appraiser is responsible for observing and reporting obvious indications of potential contamination.

If contamination is suspected, appraisers should photograph the suspect area include in the descriptive sections of their reports the circumstances or features that they feel indicate potential problems and clearly state that the possibility of contamination exists. They should include statements to the effect that "the value conclusion assumes that the property is not contaminated and if it is later found to be, the value estimate could change."

The current use or historic uses of a property can be strong indicators of possible contamination. Some examples of uses that should alert the appraiser include: Vehicle repair, maintenance or salvage; Electroplating and/or metal fabricating; Chemical manufacture, storage or sales; Petroleum related storage, transportation or sales; Trucking; Manufacture, storage and/or sales of agricultural chemicals.

Site and improvement characteristics to look for include: Tanks, pits, lagoons, ditches, pipes, piles, containers, etc.; Containment structures such as berms or dikes; Wastewater treatment facilities; Recent unexplained ground disturbance; Color variation in soils or barren soil; Water with surface staining or sheen; Dead or dying vegetation. Potential asbestos containing materials include: Sprayed-on fireproofing; Pipe wrap; Friable tape; Acoustical plaster; Shingles; Floor tile. Other possible indications of hazardous materials or waste: Odors, Peeling paint, Urea-formaldehyde foam insulation

These features or characteristics do not necessarily indicate contamination but should alert appraisers to the possibility. Once alerted, appraisers should include questions about the historic use of the property in interviews with owners, operators, city officials, real estate practitioners and others as they proceed with normal data research, and include their findings in their appraisal reports.

'''B. Wetlands'''

The U.S. Army Corps of Engineers and the Environmental Protection Agency define wetlands as follows: "A wetland is a type of water of the United States subject to Section 404 of the Clean Water Act. Other such waters include lakes, ponds, streams (including intermittent streams), rivers, creeks, springs, territorial seas, other tidal waters, and other bodies of open water. The term wetlands means those areas that are inundated or saturated by surface or ground water at a frequency and duration sufficient to support and that, under normal circumstances, do support a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs and similar areas. Also, wetlands are generally distinguished from other waters of the United States in that they normally support vegetation." The U.S. Department of Interior, Fish and Wildlife Service defines wetlands as "Land where water is the dominant factor determining the nature of soil development and the types of plant and animal communities living in the soil or on its surface."

At this time there is no comprehensive mapping or inventory of existing wetlands. The U.S. Soil Conservation Service can provide soil classification maps that note hydric soils (potential wetlands) and the Fish and Wildlife Service has National Wetland Inventory maps which also delineate potential wetlands but do not make a final determination. Three basic characteristics are considered in making a determination if an area is wetland: 1) hydrology, 2) vegetation, and 3) soil. If an area is in a floodplain or otherwise has low spots in which water stands at or above the soil surface for more than seven consecutive days during the growing season and/or has plant communities that commonly occur in areas having standing water for part of the growing season (gum swamps, cordgrass, marshes, cattail marshes, bulrush and tule marshes, and sphagnum bogs) and/or has soils that are called peats or mucks there is a high probability that it is wetland, a determination of which must be reached by a more detailed investigation of soils and plant life.

When agency appraisers are dealing with wetland in an acquisition the wetland area will have been defined by the Design Division. The appraiser's challenge is to find comparable sales that are also wetland. Because of the detailed investigation by specialists required to determine the presence of wetland as defined, and because this investigation is normally only done when construction or development is planned, the appraiser will not normally know whether a sale has wetland. The appraiser can, however, determine if some of the wetland-indicating conditions as stated above are present. If some or all of these conditions are present in a rural or low-density developed area it is likely that valid comparisons can be made between the subject and the comparable sales based upon the utility of the land. If the subject and sales are in an area where the highest and best uses are for development then the determination of wetland classification may be critical to the valuation process. A sale, for example, which is marshy land but not classified as wetland, may be developable at typical cost by filling while a similar tract, which is classified as wetland may not be developable or may be only at significantly increased cost due to requirements of Section 404 of the Clean Water Act.

======<big>136.8.6.3.1.20D.7 Fence</big>======

'''Permanent Fence:''' Fence should be described in sufficient detail to allow an estimate of its contributory value and/or to allow development of a cost estimate for replacement. The fencing cost estimate may be supported by a contractor's estimate or fencing cost schedule. Appraisers are encouraged to seek contractor’s estimates, especially on larger and complex fence situations.

The appraisal should include compensation for replacement of all fencing, by like kind at actual new cost, along the proposed boundary line, which is necessary for the subject property to attain its highest and best use or contributes to that use.

Compensation for fence that may not contribute to the fulfillment of the highest and best use may be considered. Fence may have interim use value, depreciated in place value, salvage value (value of salvage exceeds cost of removal), no value (removal cost equals salvage value) or negative value (removal cost exceeds salvage value). The analysis should be clear as to which valuation premise is being used.

Fence that is acquired as a result of widening should be considered as an improvement acquired and may be valued at its contributory value or replacement cost depending on whether it must be replaced. A requirement for fence where there was none before, due to a realignment or other reason, should be considered consequential damage and valued by the cost to cure.

The appraisal shall include compensation for appropriate costs of fencing the boundary line in all areas where the ownership was previously fenced, even if plans indicate the contractor will fence the boundary line. Appraiser shall include all normal costs as if the contractor was not fencing. This provision applies to permanent fence and temporary fence; as well as borrows and haul roads if the agency will acquire the borrow area.

'''Temporary Fence:''' Temporary fencing of easements should be included as cost to cure. Estimated costs of temporary fencing should be consistent with its temporary nature.

Temporary fencing of easements not provided by the contractor should be included as cost to cure. Estimated costs of temporary fencing should be consistent with its temporary nature.

Temporary fencing of easements is required when livestock containment is an issue, even if the plans indicate the contractor will provide such fence. For reasons of highway safety and potential liability claims, compensation should provide temporary fence in like kind to the existing fence, up to and including woven wire. The value of board or decorative fence would be compensated for in like kind for the permanent fence, but would not be appropriate compensation measure for temporary fence.

======<big>136.8.6.3.1.20D.8 Historic and Archaeological Considerations</big>======

Normally, properties with historic or archaeological significance will have been identified in the project design phase. If in the course of inspection or research the appraiser becomes aware of new facts indicating that a subject may be a historically or archaeologically significant site these facts should be reported to the District Right of Way Manager for communication to other divisions with responsibility for dealing with them. Archaeological sites will likely be explored and artifacts removed before any effects by the project, and will normally not be considered in any appraisal of the property. Once a determination has been made to acquire a historic building for a project, it should be dealt with as a typical appraisal problem by taking into account all factors that affect value. Historic characteristics of a building may have positive, negative or no impact on value depending primarily upon market reaction to laws regulating the building's use and maintenance, and should be dealt with as part of the appraisal problem.

======<big>136.8.6.3.1.20D.9 Manufactured Homes</big>======

In general, manufactured/mobile homes shall be considered realty if owned by the fee holder and assessed as realty. They shall be considered personalty if the tenant owns the mobile home but not the land on which the mobile home is sitting. For additional definition of mobile home see [[236.8 Relocation Assistance Program#(cc) Mobile home|EPG 236.8.1.3 Mobile home]] and [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR 24.2(a) 17].

If personalty, the manufactured/mobile homes shall be noted in the appraisal report but not valued. Personalty will be covered under relocation. Refer to [[236.8 Relocation Assistance Program|EPG 236.8 Relocation Assistance Program]].

======<big>136.8.6.3.1.20D.10 Moving Improvements as a Measure of Damage</big>======

Use of the estimated cost to move a building improvement as a measure of proximity or other consequential damage must be supported by contractor estimates and analysis of market data to show feasibility. The value of the improvement if moved must be significantly greater than the after value in-place plus the cost to move. The use of this method is limited to those situations in which moving an improvement appears to be an action that a typical prospective buyer might consider. When this method of analysis is chosen both a sales comparison and cost approach should be done and the added value and extended economic life due to new components such as foundation, plumbing, wiring, etc. must be recognized in the after value conclusion.

======<big>136.8.6.3.1.20D.11 On-premise Signs</big>======

If a partial acquisition requires removal of on premise signs, including logo or trademark signs, such signs are to be handled under [[236.8 Relocation Assistance Program|EPG 236.8 Relocation Assistance Program]].

If a business operation will be totally acquired, all on premise signs are to be valued as real estate and offered back to the owner at salvage value. An exception would be made, however, for those situations in which the business operation is to relocate to another location and wants to utilize an existing sign. In such cases a sign may be handled under EPG 236.8 Relocation Assistance Program.

======<big>136.8.6.3.1.20D.12 Personalty and Fixtures</big>======

The appraisal report should identify the items considered in the appraisal to be real property, as well as those identified as personal property. See [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR 24.103(a)(1)] and USPAP Standard Rule 1-2 e iii. This requirement may be met by identifying fixtures included in the realty value. Identify fixtures or personalty that might be considered a fixture, which the owner desires to retain, and exclude those elements from the realty value. Examples include freestanding appliances, restaurant equipment, industrial machines, etc. To avoid duplication of payments in the relocation program, the appraiser may need to coordinate with the relocation specialist and legal counsel to ensure proper allocation of complex fixture and personalty items.

LP tanks owned by the fee holder are to be considered realty and included in the value estimate, unless the owner desires to have the fixture moved under the relocation program. Leased or tenant owned LP tanks are to be considered personal property and not valued.

Satellite dishes including all in-ground components are to be considered as personal property and not valued.

======<big>136.8.6.3.1.20D.13 Project Influence</big>======

Per [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR Section 24.103(b)], "The appraiser shall disregard any decrease or increase in the fair market value of the real property caused by the project for which the property is to be acquired or by the likelihood that the property would be acquired for the project, other than that due to physical deterioration within the reasonable control of the owner."

======<big>136.8.6.3.1.20D.14 Special Benefits</big>======

Special Benefits are those benefits accruing to the land adjacent to the public improvements, which do not accrue to the public at large.

Special benefits reflected in an appraisal must be supported with concurrence from the agency’s counsel by letter retained in the appraisal work file.

======<big>136.8.6.3.1.20D.15 Blank</big>======

======<big>136.8.6.3.1.20D.16 Units of Comparison</big>======

In markets where analysis by front foot indicators is considered appropriate, value indications by area (square foot or acre) shall also be included in comparative data and analyses.

======<big>136.8.6.3.1.20D.17 Uniform Standards of Professional Appraisal Practice</big>======

'''USPAP Compliance Statement:''' See page four of the USPAP Compliance Statement to be used in Standard, URAR, and Value Finding formats. See [[#136.8.6.3.4 Uniform Residential Approval Report (URAR) and Addendum|EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum]] for the USPAP Compliance Statement to be used with Waiver Valuations.

Uniform Standards of Professional Appraisal Practice (USPAP) provide the common basis for all appraisal practice and reflects the current standards of the appraisal profession. Supplemental standards applicable to assignments prepared for specific purposes may be issued by government agencies that establish public policy. This article represents MoDOT’s supplemental standards.

USPAP addresses the ethical and performance obligations of appraisers through definitions, rules and standards. The definitions establish the application of certain terminology. The Ethics Rule sets forth the requirements for integrity, impartiality, objectivity, independent judgment and ethical conduct. The Competency Rule presents pre-assignment and assignment conditions for knowledge and experience. The Jurisdictional Exception Rule preserves the balance of USPAP if a portion is contrary to law or public policy of a jurisdiction. The Supplemental Standards rule provides the means for government agencies that establish public policy to augment USPAP. The Standards establish the requirements for appraisal, appraisal review and the manner in which each is communicated. In performing assignments for the agency , appraisers are bound by these USPAP standards and rules.

USPAP Standards Rule 1-4, when applicable: In developing a real property appraisal, an appraiser must collect, verify, and analyze all information necessary for credible assignment results the agency has determined, through the Scope of Assignment, the formats and approaches to value which are applicable, that is, the approaches which are necessary to produce a credible appraisal for valuing property or property rights to be acquired for agency’s purposes or for disposal of this property or property rights.

As an agency of the government of the state of Missouri with the power to make administrative rules with the force of law, MoDOT’s policy in this matter falls under the Jurisdictional Exception and explanation by the appraiser that the approaches to value are those required by the Scope of Assignment is adequate explanation and support for the exclusion of any of the usual valuation approaches.

It is not the purpose of the agency or MoDOT to circumvent USPAP in utilizing abbreviated report formats or requiring less than three approaches to value. Rather, the purpose of this procedure is to keep the authority for making the decision on which approaches to value shall be done on an administrative level. The appraiser has the responsibility to request a change in the Scope of Assignment if field inspection reveals that the appraisal problem is substantially different than described in the Scope of Assignment and the approaches called for do not adequately deal with the problem.

Through the Scope of Assignment process, the agency and the appraiser have determined that the appraisal process to be performed will provide a credible report. The review process finally assures that a credible report has been accomplished for the intended use.

Not all specific requirements of USPAP are applicable to every assignment. Typical practice for a given assignment is measured by the expectations of parties who are regularly intended users for similar assignments, participants in the market of appraisal services, and what an appraiser’s peers’ actions would be in performing the same or a similar assignment.

'''Jurisdictional Exception:''' Section A of the Uniform Appraisal Standards for Federal Land Acquisitions (UASFLA) notes that the Standards conform to Uniform Standards of Professional Appraisal Practice (USPAP), but that, in certain instances, it has been necessary to invoke USPAP’s Jurisdictional Exception Rule to conform the UASFLA to federal law relating to the valuation of real estate for government acquisition purposes. The following identifies the areas of the UASFLA that deviate from USPAP under the Jurisdictional Exception Rule.

USPAP’s Jurisdictional Exception Rule provides that “if any part of USPAP standards is contrary to the law or public policy of any jurisdiction, only that part shall be void and of no force or effect in that jurisdiction.” By way of explanation, the comment section of USPAP’s Jurisdictional Exception Rule further provides: “By logical extension, there can be no violation of USPAP by an appraiser disregarding, with proper disclosure, only the part or parts of USPAP that are void and of no force and effect in a particular assignment by operation of legal authority.” The comment also states, however, that “[i]t is misleading for an appraiser to disregard a part or parts of USPAP as void and of no force and effect in a particular assignment without identifying in the appraiser’s report the part or parts disregarded and the legal authority justifying this action.”

The conflicts between the UASFLA and USPAP that require invocation of USPAP’s Jurisdictional Exception Rule are minimal. Invocation of the Jurisdictional Rule should never be invoked lightly, or without reference to the overriding federal policy, rule, or regulation, which requires it. USPAP is not a particularly restrictive document, but it and the UASFLA require full and prominent disclosure to avoid misleading intended users (or even casual readers) of the appraisal report.

While the UASFLA standards are not themselves law, they are based on federal case law, legislation, and administrative rules. Also, the UASFLA standards have been specifically incorporated by reference into a number of statutes and regulations, in particular the regulations that implement the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970. It is clear that the deviations between the UASFLA and USPAP noted below fall under USPAP’s Jurisdictional Exception Rule; the legal authority justifying these exceptions consists of the UASFLA and the federal case law, legislation, and federal regulations upon which the UASFLA are based.

:'''* Linking Estimate of Value to Specific Exposure Time'''

:Section A-9 of the UASFLA provides that the appraiser shall not link an estimate of market value for federal land acquisition purposes to a specific exposure time. This is contrary to USPAP Standards Rule 1-2 and Standards Rule 2-2, and is considered a jurisdictional exception. The legal basis and reasoning for this jurisdictional exception may be found in Section B-2 of the UASFLA.

:'''* Consideration of Land Use Regulations and Anticipated Public Projects'''

:Section A-12 of the UASFLA provides that the appraiser disregard any changes in a property’s neighborhood brought about by the government’s project. Section A-13h of the UASFLA further instructs appraisers that they must disregard recent rezoning (or the probability of rezoning) of the property under appraisal if such action was the result of the government’s project. Section B-10 of the UASFLA, “Enhancement or Diminution in Value Due to the Project,” explains the legal basis for these instructions. These instructions are contrary to USPAP Standards Rule 1-3(a), which requires appraisers to identify and analyze the effect on use and value of existing land use regulations and probable modifica-tions thereof, and to Standards Rule 1-4(f), which requires appraisers to analyze the effect on value of anticipated public improvements located on or off site. Therefore, the instructions to appraisers in the UASFLA in this regard are considered jurisdictional exceptions.

:'''* Review Functions'''

:Section C-5 of the UASFLA notes that 49 C.F.R. 24.104 requires the reviewer to determine whether the appraisal under review constitutes an adequate basis for the establishment of an offer of just compensation. To do that, it may be necessary for the reviewer to consider information that was not available to the appraiser at the time the appraisal report was prepared. Standards Rule 3-1(c) of USPAP prohibits the reviewer from using information not available to the appraiser in development of an opinion as to the quality of the appraisal report under review. Review appraisers are cautioned that some may construe their consideration of such information in conducting their review and developing recommendations to management as contrary to Standards Rule 3-1(c). Therefore, review appraisers may wish to invoke USPAP’s Jurisdictional Exception Rule in this regard, depending upon the specific circumstances of the review.

:As noted in Section C-1 of the UASFLA, administrative reviews are not subject to USPAP and do not meet the requirements of 49 C.F.R. 24.104. In addition, Draft Appraisal Reports are not subject to USPAP, even though they may be reviewed for general conformance therewith, as well as conformance with the UASFLA. However, a technical review report covering a draft appraisal report does fall under the purview of USPAP and the UASFLA. However, the review appraiser typically does not approve, recommend for approval, disapprove, accept, or reject a draft appraisal report. Draft appraisal reports, for purposes of the UASFLA, are written appraisal reports, or parts thereof, which are not signed by the appraiser and do not include a signed appraiser’s certificate, or a signed letter of transmittal.

:'''* Conduct of Preliminary Value Estimates and Appraisals for Federal Land Exchanges'''

:As noted in Section D-7 of the UASFLA, a preliminary value estimate prepared under 43 C.F.R. 2201.1(b) is not considered an ''appraisal'' even though it may be prepared by a qualified appraiser. Therefore, the preparations of such preliminary value estimates are a jurisdictional exception to USPAP.

:'''* Specific Legislation and Regulations'''

:Each land acquisition agency has its own policies, rules, and regulations relating to its land acquisition activities. While all of these rules and regulations work from a base of 49 C.F.R. Pt. 24, as do the UASFLA, specific agency program activities sometimes make it necessary to adopt rules and regulations which are, or may be construed to be, contrary to USPAP.

===136.8.6.3.2 Value Finding Appraisal Format===

The instructions for the Standard Appraisal Format, [[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format]], are the source for general appraisal guidance on all the formats. The following instructions are specific to the Value Finding Appraisal Format.

Use of the [https://epg.modot.org/forms/RW/LPA%20Links/Value%20Finding%20Appraisal%20Format%20Form%20136.8.33.docx Value Finding Appraisal Format, Form 136.8.33] is allowed when:

:* the acquisition is simple

:* fair market value can adequately be estimated by the sales comparison approach with only minor adjustments

:* damage to the remainder can be measured by the cost to cure or is consequential damage not exceeding $10,000 per element of damage

:* damages due to simple strip permanent or temporary easements and cost to cure items when valued by a reliable cost manual or contractors’ estimate are not subject to the $10,000 damage limit in the value finding format

:* the highest and best use is the present use and is not materially affected by the acquisition. Change in highest and best use resulting from a nominal uneconomic remnant is allowed in this format.

Use of the Value Finding Appraisal Format, Form 136.8.33 is not allowed:

:* when there is consequential damage exceeding $10,000 to a structural improvement. See [[#136.8.6.3.1.20D.4 Damages|EPG 136.8.6.3.1.20D.4 Damages]].

:* when residences are to be acquired, unless authorized by a policy waiver from the Right of Way Section of Design.

====Instructions For Preparing Value Finding Appraisal Format====

The appraiser shall adhere to the following format, and shall include paragraph headings and numbers as shown. The appraisal shall be typewritten on 8 1/2" x 11" paper with the pages numbered sequentially.

These format instructions set out appraisal requirements of the Missouri Department of Transportation (MoDOT) and the Federal Highway Administration (FHWA). It is inevitable that appraisers will occasionally encounter situations that are not specifically addressed herein. In all cases the appraiser is responsible for a credible, adequately documented appraisal. Reasonableness and typical professional appraisal practices are the standard.

There are a number of ownership items and appraisal problems frequently encountered in appraising for property acquisition, on which policies have been established by case law, management decision and precedent. These policies apply to all appraisal formats and are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

<center>LOCAL PUBLIC AGENCY

VALUE FINDING APPRAISAL FORMAT

REAL ESTATE</center>

See [[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format]] for the standard identification block.

=====1. Owner and Tenant-owner=====

See [[#136.8.6.3.1.1 Owner and Tenant Owner|EPG 136.8.6.3.1.1 Owner and Tenant Owner]] for instructions for Owner and Tenant-owner.

=====2. Purpose of Appraisal=====

See [[#136.8.6.3.1.2 Purpose of Appraisal|EPG 136.8.6.3.1.2 Purpose of Appraisal]] for instruction for Purpose of Appraisal, and all standard language for this paragraph.

=====3. Interest Appraised=====

See [[#136.8.6.3.1.3 Interest Appraised|EPG 136.8.6.3.1.3 Interest Appraised]] for instructions for Interest Appraised.

=====4. Scope of Work=====

See [[#136.8.6.3.1.4 Scope of Work|EPG 136.8.6.3.1.4 Scope of Work]] for instructions for Scope of Work.

The Scope of Work for a Value Finding Appraisal Format is the same as that of a Standard Appraisal Format. However, due to the simplicity of the impact on the appraised property as determined in the Scope of Assignment, the required reporting level is reduced in the Value Finding report.

=====5. Identification of the Property=====

See [[#136.8.6.3.1.5 Identification of the Property|EPG 136.8.6.3.1.5 Identification of the Property]] for instructions for Identification of the Property.

=====6. History of the Property=====

See [[#136.8.6.3.1.6 History of the Property|EPG 136.8.6.3.1.6 History of the Property]] for instructions for History of the Property.

=====7. Description of Realty Before Acquisition=====

See [[#136.8.6.3.1.7 Description of Property Before Acquisition|EPG 136.8.6.3.1.7 Description of Property Before Acquisition]] for instructions for Description of Property Before Acquisition.

'''A. Zoning'''

:* Code

:* Category

:* Compliance

'''B. Land'''

For the Value Finding format, the land description should concentrate on areas in the acquisition and areas affected by the acquisition. Unaffected areas may require little or no description.

:* Access Before Acquisition

:* Utilities In Use Before Acquisition

:* Utilities Available Before Acquisition

'''C. Fee Owned Improvements, Fixtures and Personalty'''

See [[#136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty]] for instructions for Fee Owned Improvements, Fixtures and Personalty. If unaffected by the acquisition, improvements shall be inspected to the extent that they can be adequately described. The appraiser may estimate the contributory value of unaffected improvements without support.

This format shall not be used when there is consequential damage exceeding $10,000 to a structural improvement. If there will be consequential damage to a structural improvement, include a detailed description of the affected improvement in this paragraph and explain damage applied in [[#9. Description of the Acquisition and Effects on the Remainder|Description of the Acquisition and Effects on the Remainder]].

:* Fixtures and Personalty. See [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] and 49 CFR Subpart B 24.103 (a).

'''D. Tenant Owned Improvements, Fixtures and Personalty'''

See [[#136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty]] for instructions for Tenant Owned Improvements, Fixtures and Personalty. See also [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] and 49 CFR Subpart B 24.103 (a).

'''E. Other Appraisal Considerations'''

Methods and directions for addressing other property elements are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

=====8. Highest and Best Use=====

For a Value Finding appraisal, a statement of the highest and best use conclusion is sufficient. A concluded highest and best use in conflict with existing zoning must be explained. The Value Finding Appraisal Format requires that the highest and best use of an improved property be the current use and that the highest and best use is not affected by the acquisition.

For additional information on highest and best use, see [[#136.8.6.3.1.8 Highest and Best Use Analysis Before Acquisition|EPG 136.8.6.3.1.8 Highest and Best Use Analysis Before Acquisition]].

=====9. Description of the Acquisition and Effects on the Remainder=====

For a Value Finding appraisal, include the area of new acquisition and/or easements, and briefly describe their location, configuration and relation to improvements or other important characteristics of the property. See [[#136.8.6.3.1.7B Land|EPG 136.8.6.3.1.7B Land]] and [[#136.8.6.3.1.11 Description of Property After Acquisition|EPG 136.8.6.3.1.11 Description of Property After Acquisition]] for instructions on Utilities and Access.

:* Access After Acquisition:

:* Impact on Utilities:

:* Utilities In Use After Acquisition:

:* Utilities Available After Acquisition:

'''Other Appraisal Considerations'''

Methods and directions for addressing other property elements are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

=====10. Analysis and Supporting Data for Compensable Losses=====

'''A. Analysis of Overall Land Value'''

In a Value Finding appraisal, a minimum of one unimproved sale comparable to the subject as if the subject was unimproved, shall be considered when arriving at an overall unit value, unless a different requirement of sale date is specified in the Scope of Assignment. See [[#136.8.6.3.5 Instructions for Preparing Sale Forms|EPG 136.8.6.3.5 Instructions for Preparing Sale Forms]] for requirements of comparable sale and [[#136.8.6.3.1.9A Sales Comparison Approach Before Acquisition|EPG 136.8.6.3.1.9A Sales Comparison Approach Before Acquisition]] for the application of comparable sales in the valuation. All significant differences between the sale and subject must be identified and the effect on market value analyzed and explained.

In a Value Finding appraisal, total difference of up to 30% may be adjusted in a lump sum, with explanation. When a sale sufficiently comparable to meet this requirement is not available the appraiser may use the most comparable sale(s) available and show individual adjustments together with market data or in-depth explanation of the appraiser's rationale to support the adjustments and value conclusion. A brief explanation should be given if in the appraiser's judgment no adjustment to the sale(s) is necessary.

::Conclusion-Overall Unit Value of Land: $ ________________

'''B. Analysis of Value of Land Acquired (if different from overall value)'''

In a Value Finding appraisal, if the unit value of the area acquired is different from the overall unit value of the entirety it must be supported by a sale comparable to the acquisition and explanation must be given why the estimated unit value of the acquisition area is different. The same procedure for adjustments as outlined above applies to the sale(s) used to analyze the unit value of the acquisition.

::Conclusion-Unit Value of Land Acquired: $ _____________

'''C. Analysis of Value of Improvements, Fixtures and Personalty in the Acquisition'''

In a Value Finding appraisal, the appraiser may estimate the contributory value of any acquired improvement having a value of $10,000 or less. Improvements with a value over $10,000 may be valued by The Cost Less Depreciation approach with cost sources, calculations and depreciation rates shown, or by a method set out in the Scope of Assignment, or [[#136.8.6.3.1.9B Cost Approach Before Acquisition|EPG 136.8.6.3.1.9B Cost Approach Before Acquisition]].

Depreciation may be estimated by observed condition or age life methods. Market data supporting improvement value and/or depreciation estimates may be included.

Value of each improvement, its ownership and the total value of improvements acquired shall be shown. Also see [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

::Conclusion-Estimated Value of Improvements Fixtures and Personalty Acquired: $___________

'''D. Analysis of Damage to the Remainder'''

In the Value Finding format, rationale for conclusion of damage to remainder due to easements or other damage shall be explained. Description of temporary and permanent easements should include the use and anticipated duration of that use.

Losses to remainder value may result from limitation of direct access, proximity of the proposed boundary line to improvements, severance, reduction in size of remainder, configuration of remainder, change in grade, and other effects of acquisition. Losses of this nature may be estimated by the appraiser without the benefit of sales data or other supporting evidence provided an estimate for any one given loss does not exceed $10,000, but in all cases rationale must be reasonable and fully explained. Consequential damage due to more than one of the above factors may suggest that the standard appraisal format should be used.

Cost to cure items may include wells and water systems, septic or sewer systems, waterways, terraces, fencing for proposed boundary lines along relocated highways, etc. Costs for such items shall be based on contractor estimates or other appropriate cost sources. Value of each cost to cure item and the total shall be shown. The costs of cost to cure elements, documented in the same manner that would be applied in a Standard Format, are not included in this limitation of damages in this Value Finding format.

The estimated cost to move a building improvement shall not be used as a measure of consequential damage in the Value Finding format, unless authorized in the Scope of Assignment. See [[#136.8.6.3.1.20D.10 Moving Improvements as a Measure of Damage|EPG 136.8.6.3.1.20D.10 Moving Improvements as a Measure of Damage]].

::Conclusion-Estimated Damage to Remainder: $___________

'''E. Other Appraisal Considerations'''

Methods and directions for addressing other property elements are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

=====11. Estimate of Total Just Compensation=====

The Before Value Estimate shall include the value of land and all improvements including outdoor advertising structures. Contributory values of unaffected improvements may be estimated.

:Total Before Value Estimate: $ ________________

:After Value Estimate: $ ________________

:Indicated Just Compensation Due to Acquisition: $ ________________

=====12. Allocation of Just Compensation=====

The appraiser shall offer an opinion of reasonable allocation of the estimate of just compensation between realty acquired and damages, if any, to the remainder. This policy shall apply to the interests of both fee holders and tenants who own improvements.

'''A. Allocation of Fee Holder’s Interest'''

:1. Land Acquired: $ ________________

:2. Improvements, Fixtures and Personalty: $ ________________

:Improvements or structures within the new acquisition and/or easement areas shall be identified, with a separate value shown for each. Fence acquired in a strip acquisition shall be included as an improvement acquired.

:3. Total Land and Improvements Fixtures and Personalty: $ __________

:4. Damages to the Remainder: $ __________

Damages to the remainder including permanent and temporary easements shall be identified and individually valued and their values combined to a total. Losses caused by temporary borrow pits must be set apart from other damages. Fencing required as a cost to cure due to road realignment, temporary fencing, etc., shall be included as a damage to the remainder.

:5. Total Just Compensation Due Fee Holder: $ __________

'''B. Allocation of the Tenant Owner’s Interest'''

:1. Tenant Owned Improvements Fixtures and Personalty:

::_________________ $ ________________
::_________________ $ ________________

Identify each tenant owned improvement within the new acquisition and/or easement area and estimate its value. Use the greater of its contributory value or value for removal (salvage value).

:2. Damage to Tenant Owned Improvements Fixtures and Personalty:

::_________________ $ ________________
::_________________ $ ________________

Identify and show a value loss, if any, for each tenant owned improvement lying outside the acquired area.

:3. Leasehold Interest: $ __________

Calculate value of leasehold Interest, if any, should the lease be extinguished or rendered valueless by the acquisition.

:4. Total Just Compensation Due Tenant-Owner: $ __________

=====13. Uneconomic Remnant=====

See [[#136.8.6.3.1.17 Uneconomic Remnant|EPG 136.8.6.3.1.17 Uneconomic Remnant]] for instructions on Uneconomic Remnant.

Area __________________ @ $ ____________ = $ ________________

=====14. Salvage Value=====

See [[#136.8.6.3.1.18 Salvage Value|EPG 136.8.6.3.1.18 Salvage Value]] for instructions on Salvage Value.

Improvement _________________ Salvage Value $_________________

Improvement _________________ Salvage Value $_________________

:Total Salvage Value $_________________

=====15. Required Attachments=====

See [[#136.8.6.3.1.19 Required Attachments|EPG 136.8.6.3.1.19 Required Attachments]].

===136.8.6.3.3 Waiver Valuation===

The purpose of the appraisal waiver provision is to provide a technique to avoid the costs and time delay associated with appraisal requirements for low-value, non-complex acquisitions. The intent is that non-appraisers and appraisers in training may make waiver valuations. The preparer of the Scope of Assignment makes a determination to use the waiver valuation.

Waiver valuations are not appraisals as defined by the Uniform Act and [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?sid=636c029cc9dc07b1b1485f4378da31ee&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl 49 CFR 24 102 (c)], therefore appraisal performance requirements or standards, regardless of their source, are not required for waiver valuations. Since waiver valuations are not appraisals, neither is there a requirement for an appraisal review. The definition of "appraisal" in the Uniform Act and appraisal waiver provisions of the Uniform Act and 49 CFR are federal law and public policy and should be considered as such when determining the impact of appraisal requirements levied by others, including USPAP.

Use of the Waiver Valuation is allowed when the acquisition is simple and $10,000 or less. Fence re-establishment costs, whether improvement acquired or allocated to damages, may be excluded from this limit. No other cost to cure elements may be excluded from the limit.

Limitations to the intended use of the Waiver Valuation include:

:* land value is easily determined,

:* only nominal structural improvements are acquired,

:* only nominal access rights are acquired

:* other than fence, costs to cure cannot make the total compensation exceed $10,000

:* there are no apparent damages to the remainder – other than simple easements, access rights of nominal impact and creation of nominal uneconomic remnants

An agency official must establish just compensation to offer the property owner which is accomplished by the valuer’s signature and co-signature by a designated agency official.

The same person may perform both the value estimate and negotiation functions. Although the Right of Way representative must contact the owner, an invitation to accompany the representative during the property inspection for valuation purposes is not required.

This article provides guidance and format for a Payment Estimate waiver valuation. Other waiver valuation formats may be developed by Districts to accommodate management style and project type. Development of alternative waiver valuation formats other than the Payment Estimate requires the approval of Right of Way.

'''Payment Estimate Instructions'''

Use of the Payment Estimate, [https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx Form 136.8.34], is allowed when the acquisition is simple and the value of the acquisition is $10,000 or less. Fence re-establishment costs, may be excluded from this limit. No other cost to cure elements may be excluded from the $10,000 limit. The same person may perform both the value estimation and negotiation functions if the value estimate is less than $10,000.

The following sample format will be adequate for most applications, but may be expanded to include space for uneconomic remnants, etc. when required.

'''Use of Nominal Equal Payments to Assign Just Compensation with the Waiver Valuation'''

Districts may establish categories of extremely simple and nominal acquisitions, like temporary driveway connection easements, and assign nominal equal compensation for those categories. The compensation must be greater than the conclusion of a valuation assignment or other calculation of the compensation, if one were done. These nominal equal payments may be included in Waiver Valuations for parcels with additional types of acquisitions or may be established as the Just Compensation if it is the only acquisition on given parcels.

<center>LOCAL PUBLIC AGENCY
PAYMENT ESTIMATE - WAIVER VALUATION</center>

See [[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format]] for the standard identification block.

=====1. Owner and Tenant Owner=====

Identify owner and tenant owner by address, phone number, etc.

For a Waiver Valuation, the property owner and tenant owner must be contacted and the contact documented in the valuer’s work file. Personal contact is preferred, however, when time or other limitations make this impractical, contact by telephone or mail is permitted. The valuer should inform the property owner and tenant owner as to the nature of the acquisition and that a written offer showing the amount of damages will be delivered by Agency Right of Way personnel or by mail.

In the Waiver Valuation, an invitation to accompany the Right of Way representative during the property inspection is not required. A copy of the agency’s right of way brochure should be provided the property owner by the person making the initial contact. If the contact is by telephone, the brochure should be mailed.

=====2. Identification of the Property=====

See [[#136.8.6.3.1.5 Identification of the Property|EPG 136.8.6.3.1.5 Identification of the Property]] for instructions on Identification of the Property.

=====3. Description of Acquisition=====

Briefly describe the acquisition. In the waiver valuation, affects on the remainder are limited to easements and nominal damage elements.

=====4. Basis for Value=====

Valuer shall cite one or more vacant land sales. Explanation of values of easements, nominal improvement, costs to cure, etc. should be addressed here.

=====5. Summary=====

::Value of Land Acquired: $ _______________

::Value of improvements, fixtures or personalty to be acquired:

:::Fee owner (Salvage Value $_________) $ _______________

:::Tenant owner (Salvage Value $______) $ _______________

::Damages to the Remainder:

:::Permanent Easement:

:::_____________(area) @ $ _______ = $ _______________

:::Temporary Easement:

:::_____________(area) @ $ _______ = $ _______________

:::Other Damages: ___________________ $ _______________

:::Sub-total: $10,000 limit $________________

:::Fencing: _________l.f. @ $______ /(l.f.) $ _______________

::::: _________l.f. @ $______ /(l.f.) $ _______________

:::Total Fencing: $ _______________

:::Total Just Compensation $ _______________

:::Uneconomic Remnant $ _______________

The assignment of value of a nominal uneconomic remnant created by an acquisition that fits the criteria and limitations of a Waiver Valuation may be assigned in this format.

=====6. USPAP Compliance Statement=====

The valuer shall include in the waiver valuation report the following statement.

:'''USPAP Compliance Statement:''' This waiver valuation was prepared according to the agreement/assignment from the agency. The intended use of the waiver valuation is for eminent domain related acquisition and the agency is the only intended user (except as indicated above). The agency bears responsibility for agreement/assignment requirements that meet its needs and therefore are not misleading. In combination with the Scope of Assignment and administrative approval function, all waiver valuation reports assigned by the agency identify the problem to be solved, determine the scope of work necessary to solve the problem and correctly complete research and analysis necessary to produce a credible waiver valuation and are therefore in compliance with USPAP Standard 1. In that the agency is the only intended user of the report and others may only be provided copies for informational purposes, the agency has determined that reports prepared in conformance with these procedures fulfill the agency’s needs.

Prepared by: ________________________________

Approved for Just Compensation by: ____________________________

The preparer and a designated agency official are required to sign the report constituting approval of just compensation by an agency official.

'''Required Attachments:'''
:Site Plan
:Photograph of Acquisition Area
:Comparable Sale or Other Value Support

'''Optional Attachments:'''
:Cover letters
:Tables of Contents
:Qualifications
:Engagement Letter or Notice to Proceed

===136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum===

The instructions for the Standard Appraisal Format, [[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format]], are the source for general appraisal guidance on all the formats. The following instructions are specific to the URAR Appraisal Format.

Use of the [https://epg.modot.org/forms/RW/LPA%20Links/Uniform%20Residential%20Appraisal%20Report%20Form%20136.8.32.docx URAR, Form 136.8.32], must be authorized by the approved Scope of Assignment and will be primarily intended for valuations for the acquisition of single-family residentially improved tracts that are total acquisitions or where the only remainder is a nominal uneconomic remnant. Applicability is restricted to situations in which the residential improvements clearly represent highest and best use.

The appraiser shall adhere to the following instructions. The appraisal may be on a preprinted or computer-generated URAR form of a version currently used in appraisal practice. ''Harrison's Illustrated Guide to the Uniform Residential Appraisal Report'' may be used as an instruction for proper completion of the URAR, for items not specified in these instructions.

There are a number of ownership items and appraisal problems frequently encountered in valuing acquisitions for transportation purposes, on which policies have been established by case law, management decision and precedent. These policies apply to all appraisal formats and are set out in [[#136.8.6.3.1.20D Other Appraisal Considerations|EPG 136.8.6.3.1.20D Other Appraisal Considerations]].

<center>LOCAL PUBLIC AGENCY

UNIFORM RESIDENTIAL APPRAISAL REPORT AND ADDENDUM</center>

See [[#136.8.6.3.1 Standard Appraisal Format|EPG 136.8.6.3.1 Standard Appraisal Format]] for the standard identification block.

=====1. Owner and Tenant Owner=====

Identify owner and tenant owner by address, phone number, etc.

=====2. Purpose of Appraisal=====

See [[#136.8.6.3.1.2 Purpose of Appraisal|EPG 136.8.6.3.1.2 Purpose of Appraisal]] for instructions on Purpose of Appraisal.

=====3. Interest Appraised=====

See [[#136.8.6.3.1.3 Interest Appraised|EPG 136.8.6.3.1.3 Interest Appraised]] for instructions for Interest Appraised.

=====4. Scope of Work=====

See [[#136.8.6.3.1.4 Scope of Work|EPG 136.8.6.3.1.4 Scope of Work]] for instructions for Scope of Work.

The Scope of Work for a URAR Appraisal Format is the same as that of a Standard Appraisal Format. However, due to the standardization and familiarity of the appraiser and the owner with appraisal of single-family homes, the required reporting level is reduced in the URAR report.

=====5. Identification of the Property=====

See [[#136.8.6.3.1.5 Identification of the Property|EPG 136.8.6.3.1.5 Identification of the Property]] for instructions for Identification of the Property.

=====6. History of the Property=====

See [[#136.8.6.3.1.6 History of the Property|EPG 136.8.6.3.1.6 History of the Property]] for instructions on History of the Property.

=====7. Description of Property Before Acquisition=====

See [[#136.8.6.3.1.7 Description of Property Before Acquisition|EPG 136.8.6.3.1.7 Description of Property Before Acquisition]] for description of property before acquisition. For the URAR, only those elements that are not identified on the URAR valuation form need to be addressed here.

'''A. Zoning'''

:* Code

:* Category

:* Compliance

:* None

'''B. Land'''

See [[#136.8.6.3.1.7B Land|EPG 136.8.6.3.1.7B Land]] for instructions on land description.

:* Access Before Acquisition:

:* Utilities In Use Before Acquisition:

:* Utilities Available Before Acquisition:

'''C. Fee Owned Improvements, Fixtures and Personalty'''

See [[#136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty]], [[#136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty]] and [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] for instructions on Fee Owned Improvements, Fixtures and Personalty.

'''D. Tenant Owned Improvements, Fixtures and Personalty'''

See [[#136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7C Fee Owned Improvements, Fixtures and Personalty]], [[#136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty|EPG 136.8.6.3.1.7D Tenant Owned Improvements, Fixtures and Personalty]] and [[#136.8.6.3.1.20D.12 Personalty and Fixtures|EPG 136.8.6.3.1.20D.12 Personalty and Fixtures]] for instructions on Tenant Owned Improvements, Fixtures and Personalty.

A sign, billboard or other property owned by others, which the Fee Holder does not have a right or obligation to remove, must be identified and valued separately. See [[#136.8.6.3.1.20D.2 Billboard Valuation|EPG 136.8.6.3.1.20D.2 Billboard Valuation]].

'''E. Other Appraisal Considerations'''

See [[#136.8.6.3.1.7E Other Appraisal Considerations|EPG 136.8.6.3.1.7E Other Appraisal Considerations]] and [[#136.8.6.3.1.11 Description of Property After Acquisition|EPG 136.8.6.3.1.11 Description of Property After Acquisition]] for instructions on Other Appraisal Considerations.

=====8. Estimate of Total Just Compensation=====

For the URAR format, attach a narrative explanation of the comparison of each comparable sale with the appraised property, and the adjustments implemented for each significant element of difference affecting value. An explanation shall be offered for each individual adjustment. Differences may be measured by either dollars or percentage.

:Estimated Value Before Acquisition: $______________

:Estimated Value After Acquisition: $______________

:Indicated Just Compensation Due to Acquisition: $______________

=====9. Allocation of Just Compensation=====

:A. Fee Holder's Interest:

::1. Land Acquired: $______________

::2. Improvements, Fixtures and Personalty: $______________

::3. Total Land and Improvements, Fixtures and Personalty: $______________

::4. Damages to the Remainder: $______________

::5. Total Just Compensation Due Fee Holder: $______________

:B. Tenant Owner's Interest:

::1. Tenant Owned Improvements, Fixtures and Personalty: $______________

::2. Damage to Tenant Owned Improvements, Fixtures and Personalty: $______________

::3. Leasehold Interest: $______________

::4. Total Just Compensation Due Tenant Owner: $______________

=====10. Uneconomic Remnant=====

See [[#136.8.6.3.1.17 Uneconomic Remnant|EPG 136.8.6.3.1.17 Uneconomic Remnant]] for instructions on Uneconomic Remnant.

:Area ________________________ @ $__________________ = $_____________

=====11. Salvage Value=====

See [[#136.8.6.3.1.18 Salvage Value|EPG 136.8.6.3.1.18 Salvage Value]] for instructions on Salvage Value.

:Improvement ______________________ Salvage Value $______________

:Improvement ______________________ Salvage Value $______________

::Total Salvage Value $______________

'''Required Attachments'''

:* URAR Form
:* Contingent and Limiting Conditions, [https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx Assumptions and Limiting Conditions Form 136.8.6]
:* Certificate of Appraiser, [https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser Form 136.8.7]
:* Site Plan
:* Photographs
:* Floor Plans of Acquired Residential Units and Structures with Internal Walls
:* Comparable Sales and Map
:* URAR Form

'''Optional Attachments'''

:*Cover letters
:*Tables of Contents
:*Appraiser Qualifications
:*Engagement Letter or Notice to Proceed
:*Legal Instructions, if any shall be retained in the appraiser’s work file and not attached to valuation reports.

===136.8.6.3.5 Instructions for Preparing Sale Forms===

Appraisers shall incorporate within the appraisal reports adequate sales and other supporting data to relay the necessary comparative information, by attachment of the sale data sheets, [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale (Form 136.8.16)] and [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale (Form 136.8.23)].

The purpose of the sale forms is to provide sufficiently detailed information about transactions and the properties involved to allow the appraiser to make comparisons and value judgments, and to allow a reader to follow the reasoning and validate the comparisons. The forms provide blanks to be completed with information that tends to be common to all sales, but seldom are the completed blanks sufficient to furnish all information that should be included. Judgment from the appraiser is required even in this. Those significant characteristics of the sale property, and important details of the transactions should be included whether or not a specific blank is provided for the information.

Use of sales that have improvements located on them as vacant land sales, when it has been confirmed that those improvements did not contribute to value, is acceptable provided that during the course of time that the sale is being relied upon, those improvements have not been rehabilitated for renewed use. Once it becomes apparent that an improvement, formerly concluded to have no contributory value, has been put back into productive use, a sale written to the contrary has lost much of its credibility and is not to be used as a comparable for land valuation.

The [https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser Form 136.8.7] indicates that an appraiser has inspected all sales considered in the valuation process; therefore, subsequent inspections by other appraisers need not be identified on the forms. It is recommended that for future court testimony, that each appraiser makes a personal record of the sale inspections in regard to each property appraised.

====136.8.6.3.5.1 [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx Nonresidential Sale Form 136.8.16]====

Sale Form 136.8.16 is for reporting sales of all vacant or improved properties other than improved single-family residential properties, or where residential improvements do not represent the highest and best use.

'''Completion of The Sale Form Entries'''

'''Selling Price:''' This entry should reflect the total selling price of the property, including land and all improvements, if any. If the price was confirmed in another manner or if other information about the sale price was revealed, a full explanation should be included elsewhere on the form.

'''Unit Price:''' Indicate the entire selling price including all land and/or land and improvements, divided by the site area, gross living area above ground level (for residential improvements), or gross building area of the main improvement, or explain if the amount was calculated in another method.

On the Nonresidential Sale Form 136.8.16, indicate whether the price was confirmed as a price per unit or a total price.

'''Type of Transaction:''' Entries in this field should describe the relationship of the buyer and seller. Any entry other than "Open Market" must be fully explained.

'''Financing:''' If financed by a lender with a conventional loan, the word Conventional will satisfy this requirement. If seller-financed or if there is concessional financing of any kind, the rate and terms should be included. If other than Conventional, the form must report the type of instrument and terms known, and show calculations for the cash equivalent sale price, with indicated adjustment shown in the Financing Concession field of the Property Description Section.

Cash Equivalency must be calculated and used in direct comparison with subjects. Situations that may require cash equivalency adjustments include: mortgage assumptions at favorable rates, mortgage buy-downs, installment sale contracts, wraparound loans, points paid by seller, seller-financed loans, etc.

'''Site Dimensions:''' In regularly shaped parcels, the dimensions can be expressed as "width X depth". When appropriate, the average width by the average depth is acceptable. A line drawing of the perimeter of the property may be necessary to fully communicate an understanding of the property layout.

'''Site Area:'''

'''Building Area:'''

'''Zoning:''' The code and category of zoning as of the date of sale should be stated (for example, C-2 Commercial District). If the property is nonconforming with the zoning, this should be explained in the text of the sale form. If closing of the sale was contingent upon a different zoning being granted, this entry should reflect the contingent zoning and the body of the sale should include an explanation of the circumstances surrounding the zoning change. Special zoning provisions or restrictions should be noted, such as minimum lot size or number of developed units allowed.

'''Zoning Compliance:''' Either state yes, or explain noncompliance.

'''Highest and Best Use:''' The following standardized entries should be used: Single-family Residential; Multi-family Residential; Commercial; Industrial or Agricultural. Standardization of broad categories of use under these headings facilitates data base entry and search functions. Frequently additional explanation of highest and best use in the text of the sale will be warranted.

'''Utilities In Use (At Time Of Sale):''' State what utilities are on site. "All available" or "All in place" are not acceptable entries. The use of initials, W, E, G, S as abbreviations for publicly provided water, electricity, natural gas, and sanitary sewer is suggested. Use of Deep Well, Shallow Well, and Septic is suggested for privately provided utilities that are in use on the property.

'''Utilities Available (At Time Of Sale):''' If a utility is not on the property but is close, or is available but not connected, state what is actually on the property as of the date of sale and explain in the depth that the circumstances demand.

'''Access (At Time of Sale):''' Report legal and physical points of access and entrances. Legal access represents a deeded or permitted access point to a property. Physical access merely reflects the presence of existing entrances, which may or may not be legal.

'''Identification of the Realty:''' Location information should be adequate to assist the reader in driving to the property

The real estate involved in the sale can be identified by an abbreviated property description, address, map reference, copy of a survey or map, property sketch and/or photographs or the like. Lengthy property descriptions should not be reiterated within the sale form, but rather copies of the title report or last deed of record should be reviewed by the appraiser and retained in the appraiser’s work file and or district sales data files.

A property description does not need to repeat the actual description on the deed, but must provide enough data to allow the reader to regenerate the perimeter of the property. If subdivision land, provide a cut or tracing of the subdivision plat or a drawing to allow subsequent users of the form to locate the lot.

Inclusion of a copy of the transfer document (e.g., deed, contract) in the report is neither required nor desirable, unless there is something in the document that is unusual or particularly revealing.

'''Sale Verification:''' All comparable sales used shall be confirmed by the buyer, seller, broker or other person having knowledge of the price, terms, and conditions of sale. This form and its contents may be used by various appraisers, without further verification subsequent to its original verification, providing the appraiser using the form also inspects the sale premises. Subsequent users of the sale assume responsibility for the correctness of information presented on the Sale Form. Telephone numbers of verifying parties are very desirable. Signature of verifying appraiser is not required.

If confidential data is included with a sale confirmation, that sale information must be handled in a manner that the confidentiality is not violated.

In this section of the sale forms, include name of verifying appraiser and confirming party, company (if Realtor, lender, etc.) and position in company (broker, loan officer, agent etc.) If confirmation is by other than the buyer, seller, lender or real estate agent, identify relationship to the transaction. Values reported as a public record (example: Certification of Value in Metropolitan St. Louis and Jackson County) and MLS information are not acceptable without further verification.

It is the intention of this requirement that enough information be provided that the verification can be repeated for purposes of court testimony or review. For trial purposes, a party to the transaction could be interpreted differently. In this case, consult with legal staff for specific requirements. Any person testifying about the facts of the sale may be required to personally verify those facts.

'''Map Number:''' Map identification numbers in common local use may be entered as appropriate.

'''Property Description:''' On the Nonresidential Sale Form 136.8.16, indicate by subparagraphs description of land, description and type of improvements, if any, and any other data pertinent to analysis. Attach additional sheets if necessary.

Physical characteristics should be adequately explained to make comparison with those characteristics of subject properties being appraised. For analysis and valuation of properties subject to partial acquisitions, it is particularly important to note unusual features in sales, like building setback, frontage, depth, shape, access, entrances, etc.

====136.8.6.3.5.2 [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx Residential Sale Form 136.8.23]====

Sale Form 136.8.6.3.5B is used for reporting sales of improved single- family residential property, and the entry fields correspond with the URAR form as much as possible.

'''Property Description:''' On Form 136.8.6.3.5.B, the RESIDENTIAL SALE FORM, the physical items of this section of the form are arranged in the order of the URAR form. Physical characteristics should be adequately explained to make comparison with those characteristics of subject properties being appraised.

'''Quality of Location:''' This entry should reflect the quality of location in factual terms. (Typical street, Dead-end road, Gravel road, Corner, etc.) Subjective terms (good, poor) might be used in addition to the factual data.

'''Site/View:''' The appraiser should indicate such site factors as size, shape, topography, drainage, encroachments, easements, view, landscaping, driveway, flood hazard, or any detrimental or unusually positive site conditions. For analysis and valuation of properties subject to partial acquisitions, it is particularly important to note unusual features in sales, like building setback, frontage, depth, shape, access and entrances.

'''Design (Style):''' Indicate the style of construction (ranch, bungalow, etc.). Also indicate such aspects as appeal of exterior design, interior attractiveness, special features, and any other characteristics that would make the property attractive or unattractive to purchasers and otherwise enhance or detract from its overall marketability. During the confirmation the appraiser should attempt to ascertain the above items.

'''Quality of Construction:''' An overall quality rating should consider the quality of materials and workmanship used in all components of the building.

'''Age:''' Indicate the estimated or actual age of the dwelling, at the time of sale. If a dwelling has been substantially modernized or upgraded, the effective age may also be indicated. Effective age estimation will require a comment describing the basis for assignment and the degree of modernization.

'''Condition:''' Indicate "good", "average", "fair" or "poor". For purposes of comparison with subjects, items of curable and incurable deterioration are the sensitive elements in this consideration.

'''Basement/Finish:''' The appraiser should report basement improvements such as finished rooms and recreation rooms found in the sale. If there is no basement or only a partial basement, this should be indicated.

'''Functional Utility:''' This entry relates to the efficiency of a building's use and reflects such factors as layout, room size, and general livability. Trends in single-family home construction sometimes determine whether residences have such items as porches, balconies, fireplaces, separate dining rooms, large kitchens, entry halls, and family rooms. Standards for dwellings also vary widely with regard to income level of prospective tenants and location. When judging the functional utility of residential buildings, the appraiser should attempt to interpret the reaction of typical purchasers in the specific market area.

'''Heating / Cooling:'''

'''Energy Efficient Items:'''

'''Garage / Carport:'''

'''Porch / Patio / Deck:'''

'''Other - kitchen equipment and remodeling:''' All kitchen equipment must be itemized.

====136.8.6.3.5.3 [https://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx Comparable Lease Form 136.8.9]====

Form 136.8.9 is provided for the reporting of comparable leases.

====136.8.6.3.5.4 Optional Sale Forms From Fee Appraisers====

To accommodate the efficient use of various fee appraisers’ sale databases, sale write-ups of other formats can be accepted. It is up to the agency official or other reviewer to accept, reject or request supplemental information regarding other sale forms.

===136.8.6.3.6 Access Rights Valuation===

Appraisals of access rights will be made in conformity with the appropriate state laws, regulations and policies and procedures for acquisition and disposal of property set out in this article. Refer to [http://www.moga.mo.gov/const/A04029.HTM Article IV, Section 29 of the Missouri Constitution]. For more information regarding access, see [[:Category:940 Access Management|EPG 940 Access Management]].

The Scope of Assignment will identify the anticipated minimum requirements for the appraisal format to be prepared, based on the anticipated value or complexity of the access rights to be valued.

===136.8.6.3.7 Other Agency Valuations===

The Department of the Interior, the Missouri Department of Natural Resources, and some other agencies adhere to the ''Uniform Appraisal Standards for Federal Land Acquisitions'' (UASFLA) while MoDOT instructions, approved by the Federal Highway Administration (FHWA), use the UASFLA as a guide. The Scope of Assignment preparer or the appraiser will need to determine the other agency’s requirements.

The following instructions outline the items different from, or in excess of the MoDOT's instructions, which are required when doing appraisals for these or other agencies. This is only a general outline. Appraisals will be reviewed in the typical process using [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx Form 136.8.5] and [https://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx Form 136.8.2].

See the [http://www.usdoj.gov/enrd/land-ack/yb2001.pdf FHWA website] for current requirements and guidance.

===136.8.6.3.8 Airport Valuation===

Appraisals for airport projects and contracting to perform such services are under the specific guidelines of the [http://www.faa.gov/airports/aip/ FAA Order 5100.37B ''Land Acquisition and Relocation Assistance For Airport Projects''].

These instructions are addressed to those staff and fee appraisers preparing and reviewing appraisals of partial and total acquisitions for airport development and expansion. Since the Appraisal portion of [[:Category:236 Right of Way|MoDOT’s Right of Way policy]] was primarily developed for acquisition of rights of way for highway projects, the terminology relates to highways. The same general appraisal principles apply to appraisals for airport projects, with the exceptions summarized here. The specific appraisal requirements are addressed in Chapter 2 of advisory circulars/150/5100-17. See [http://www.faa.gov/ http://www.faa.gov/].

====136.8.6.3.8.1 Formats Used====

All Missouri Department of Transportation (MoDOT) valuation formats including Waiver Valuation may be used in valuation for airport acquisition. The same measures of complexity as discussed in [[#136.8.6.2 Scope of Assignment|EPG 136.8.6.2 Scope of Assignment]], will be applied to determine the appraisal format used. An official of the airport acquiring agency will have determined the complexity of appraisal problems prior to contracting, or assigning an appraisal and will indicate in the contract, or instructions, what formats are to be applied to the individual tract appraisals.

[https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx Assumptions and Limiting Conditions Form 136.8.6] and [https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx Certificate of Appraiser Form 136.8.7] may be used in valuation for airport acquisition.

====136.8.6.3.8.2 Summary of Additional Airport Appraisal Requirements====

The appraiser or waiver valuation preparer must be familiar with the additional valuation requirements specific to airport acquisition, which include but are not limited to:

:* The property owner shall be invited to accompany the appraiser or Waiver Valuation preparer.

:* There is no provision for separation of function for the same individual to prepare a Waiver Valuation and negotiation to acquire the property.

:* There are non-compensable land costs that may be allowable for compensation under state law, that are non-compensable in acquisition for airports.

:* There are specific instructions in the appraisal of avigation easements and noise avigation easements.

====136.8.6.3.8.3 MoDOT Right of Way Section's Involvement in Scope of Assignment, Administrative Review and Administrative Settlement Review====

To assure quality appraisals, waiver valuations and appraisal reviews, the MoDOT Right of Way Section of Design will support the Administrator of Aviation, Multimodal Operations Division with scope of assignment considerations and administrative review. When the airport sponsor has obtained a valuation and appraisal review for airport acquisition, it shall be delivered to the Administrator of Aviation and routed to Right of Way Section for an administrative review. An administrative review is, at a minimum, a desk check of factual data and information presented in the valuation report, a determination that the report fulfills the requirements of this article, that the report addresses the special valuation considerations for valuation for airport purposes and provides a quality report with appropriate conclusions.

==136.8.6.4 LPA Appraisal Review and Approval of Just Compensation==

===136.8.6.4.1 Purpose===

Appraisal review is the act or process of developing and communicating an opinion about the quality of all or part of a completed work performed by another appraiser in a real property appraisal assignment. In performing an appraisal review assignment, an appraiser acting as a reviewer must develop and report a credible opinion as to the quality of another appraiser’s work and must clearly disclose the scope of work performed in the review assignment.

The purpose of this article is to establish procedures and guidelines for the review of appraisal reports and approval of just compensation. The reviewer is responsible to assure that appraisal reports comply with instructions for preparing appraisals as set out in this article, which incorporates requirements of Federal Highway Administration (FHWA), 23 CFR and 49 CFR, and USPAP, and that they conform to Scope of Assignment requirements and recommendations.

Occasionally reports are to be written and reviewed in conformance to other standards such as [http://www.justice.gov/enrd/land-ack/Uniform-Appraisal-Standards.pdf Uniform Appraisal Standards for Federal Land Acquisition (UASFLA)] or Land Acquisition and Relocation Assistance for Airport Projects (see [http://www.faa.gov/regulations_policies/advisory_circulars/index.cfm/go/document.information/documentID/23049 http://www.faa.gov/regulations_policies/advisory_circulars/index.cfm/go/document.information/documentID/23049]). In these instances the reviewer is responsible to obtain the appropriate documents and follow their requirements in the review process.

===136.8.6.4.2 Assignment of Appraisal Review===

Fee review appraisers are pre-qualified as reviewers on MoDOT’s Roster of Approved Contract Appraisers. Fee review appraisers recommend just compensation, which must be approved by an agency official.

===136.8.6.4.3 Review and Approval of Appraisal Reports and Waiver Valuations===

Review and approval of appraisals will be accomplished on [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx Appraisal Review and Approval of Just Compensation, Form 136.8.5], which accommodates the approval of just compensation by an agency official.

Although not an appraisal and therefore not technically reviewed, a Waiver Valuation prepared by agency staff or fee appraisers, may be cosigned by an agency official to accomplish approval of just compensation.

The reviewer is responsible to assure compliance with the Scope of Assignment and contract/agreement requirements. The review will verify that all appraisals are complete and correct regarding format utilized, design plans, mathematics, and [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3 Valuation Formats and Instructions]]. Appraisals must also be examined to determine consistency with other appraisals on the project, must utilize the proper number of appropriate sales, and contain appropriate exhibits.

In addition to above, the reviewer has the following responsibilities:

'''A.''' Field inspect each appraised parcel as well as each comparable sale used by the appraiser during the valuation process, when the acquisition and appraisal is of a complicated nature as to require an examination in the field to fully understand the appraisal problem.

On limited occasions a desk review of appraisals may be permissible. The reviewer must disclose on Form 136.8.5 if only a desk review is done.

'''B.''' Examine each appraisal report to determine that it:

:1. Is compiled in accordance with the Department's appraisal specifications, [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3 Valuation Formats and Instructions]], or other manuals that may apply. (Example: Federal Aviation Administration or Uniform Appraisal Standards for Federal Land Acquisition. See [[#136.8.6.3.7 Other Agency Valuations|EPG 136.8.6.3.7]] and [[#136.8.6.3.8 Airport Valuation|EPG 136.8.6.3.8]].

:2. Is compiled in accordance with accepted appraisal principles and techniques with regard to valuation of real property.

:3. Contains or makes reference to information necessary to explain, substantiate, and thereby document conclusions, estimates of value, or just compensation.

:4. Offers evidence to support adjustments of comparable sales and depreciation rates, when applicable, or as may be specified within the Scope of Assignment.

:5. Addresses all compensable items, damages, and special benefits, if any, and does not include compensation for items non-compensable under Missouri law.

'''C.''' When reviewing multiple appraisals on the same project or in the same area, be attentive to inconsistencies in analyses and conclusions which result in widely varying estimates of just compensation for similar acquisitions and/or damages, including unit values, percentage rates for easements, etc.

'''D.''' Request and obtain corrections, revisions, additions and/or clarifications to appraisal reports which do not substantially meet requirements set forth in EPG 136.8.6.3. Such corrections or revisions shall be attached to and become part of the appraisal report. Requests of an uncomplicated nature may be addressed directly to a staff or fee appraiser. Requests of a complex nature will be made in writing.

'''E.''' Complete all applicable portions of Form 136.8.5, allocating compensation between appropriate elements and parties, date and sign the document, thereby establishing and/or approving an amount, in dollars, which in the opinion of the reviewer represents the estimate of value or just compensation.

Such opinion will be supported by approval of the appraisal as submitted or as revised to include corrections, revisions, additions and/or clarifications requested and made part of the appraisal report. If reviewer approves a different value, support may come from data furnished in the appraisal report or be developed by the reviewer.

Approval of Just Compensation on Form 136.8.5 may be subject to the future receipt of additions and clarification, which will be attached and made part of the appraisal report when received. Completion of the form should indicate what corrections; revisions additions and/or clarifications are being requested.

'''F.''' If the reviewer is unable to achieve resolution of the errors or deficiencies found in an appraisal report, the Agency may authorize an additional appraisal of the parcel in question.

'''G.''' The reviewer shall prepare one fully executed copy of Form 136.8.5.

'''H.''' Add addenda to previously submitted reports, maintain a log of appraisal and review activity, and answer correspondence.

===136.8.6.4.4 Adjustment of Value or Just Compensation===

In some instances it is necessary to effect changes in previously approved values or just compensation. Occasionally, such revisions are so insignificant it isn't justified to assign an appraiser to realign previously approved appraisals with current conditions. Under such circumstances, the reviewer may adjust the approved offer for needed revisions by completing [https://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx Adjustment of Value or Just Compensation, Form 136.8.2]. Such changes generally necessitate a revised written offer to the owner.

It is the intention of this document to provide means of correcting minor differences between previously approved amounts and prevailing conditions. Any revisions proposed by the use of Form 136.8.2 shall be of such nature that justification or support therefore may be abstracted from a previously approved appraisal reports. If there is any impact on highest and best use or any other appraisal consideration, the problem should not be handled by a Form 136.8.2.

===136.8.6.4.5 Review of Specialty Appraisal Reports for Equipment or Specialty Items===

The review of separate valuations of machinery, equipment, trade fixtures, or other specialty items, carries the following responsibilities:

1. Field inspect appraised items and then examine each appraisal report to determine that it contains:

:* statement of purpose of report.

:* definition of value(s) reported, i.e., in-place value, salvage value, etc.

:* identification of property and its ownership of record.

:* statement of appropriate contingent and limiting conditions, if any.

:* identification of the value problem.

:* an estimate of values.

:* accepted principles and techniques for the valuation of the subject of the report.

:* consideration of compensable items and that report does not include compensation for noncompensable losses.

:* data and analysis to explain, substantiate, and thereby document estimate of values.

:* date of inspection and effective date of value.

:* route, county, project number, job number, parcel number, certification, signature and date of signature of Specialty Appraiser.

:* photographs and any other necessary descriptive material.

2. Request and obtain corrections or revisions of specialty appraisal reports which do not substantially meet above criteria.

=136.8.7 Acquisition=

==136.8.7.1 Negotiations to Acquire Real Property==

===136.8.7.1.1 Contact With Owners and Their Representatives===

Acquisition of real property and property rights is an extremely sensitive area of activities since it involves direct personal contacts with the public. The negotiator shall make a reasonable effort to personally contact each resident property owner or the owner's designated representative. The negotiator should strive to attain rapport with the property owner, inspire confidence in the acquisition process and the fairness of the offer being made.

The property owner should be provided with an explanation of the acquisition process that may be supplemented by the [[media:236 RW Leaflet.doc|LPA Right of Way Acquisition Brochure]]. A full explanation of the project should be given and how it will affect the owner's property.

If no personal contact has been accomplished, certified mail of offer letters is recommended prior to condemnation.

===136.8.7.1.2 Negotiator's Report===

A record of negotiations for each parcel shall be maintained by the negotiator and become a permanent part of the parcel file. The [https://epg.modot.org/forms/RW/LPA%20Links/Negotiator's%20Report%20Form%20136.8.15.docx Negotiator's Report (Form 136.8.15)] and the [https://epg.modot.org/forms/RW/LPA%20Links/Parcel%20File%20Checklist%20Form%20136.8.17.docx Parcel File Checklist (Form 136.8.17)] assist the negotiator in documenting the completion of requirements prescribed by the Uniform Act. '''''

A detailed record of each contact with the owner or representative shall be completed, signed and dated by the negotiator, within a reasonable time after the contact.

The information for each contact should include as a minimum the date and place of each contact, parties contacted, monetary amount of offer made, counteroffers, reasons settlement could not be reached, an explanation of the acquisition and any other pertinent data. Each contact report should be signed and dated by the negotiator preparing the report.

When negotiations are unsuccessful and the negotiators consider further attempts to negotiate to be futile, they should record their recommendations for action considered appropriate.

===136.8.7.1.3 Prompt Written Offers to Owners and Tenant Owners===

If donations are not possible, the LPA must make a prompt written offer to an owner, based on the full amount of just compensation indicated on the approved appraisal. If the estimated compensation for the rights to be acquired from the parcel is no more than $10,000.00, a [https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx Waiver Valuation - Payment Estimate, Form 136.8.34], may be used instead of an appraisal. For additional land and easement valuation procedures, please see [[#136.8.6.3 Valuation Formats and Instructions|EPG 136.8.6.3 Valuation Formats and Instructions]].

Prompt offers dispel owner dissatisfaction and encourage confidence in the agency. Also, a delayed offer may not reflect current market conditions and cause need for revaluation. A written offer is also required in the case of a tenant that owns any of the buildings, structures or other improvements affected by the acquisition.

The written offer to the property owners and tenant owners shall include, at a minimum, the following:

:* The amount established as just compensation. In the case of a partial acquisition, the compensation for the real property to be acquired and for damages to remaining real property shall be separately stated.

:* A description, location, identification and the interest in the real property being acquired. Attaching a copy of the proposed acquisition deed and providing a plan sheet satisfies this requirement.

:* Identification of buildings, structures and other improvements (including removable buildings, equipment and trade fixtures) considered to be part of the real property to be acquired.

:* Where appropriate, the statement shall identify any separately held ownership interest in the property, (example: a tenant-owned improvement) and indicate that such interest is not covered by the offer.

:* A [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Pyment%20Estimate%20Form%20136.8.26.docx sample offer letter for use when just compensation is determined by a Payment Estimate] (Waiver Valuation) is Form 136.8.26. A [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Value%20Finding%20or%20Standard%20Formt%20Appraisal%20Form%20136.8.27.docx sample offer letter for use when just compensation has been determined by a Value Finding or Standard Format appraisal] is Form 136.8.27.

===136.8.7.1.4 Owner's Consideration of Offer===

The owner should be given a reasonable time to consider the offer and to present information which is believed to be relevant in determining the value of the property along with suggested modification in the proposed terms and conditions of the purchase. The acquiring agency must consider the owner's counter offer and suggestions, even though there is no obligation to accept the same.

Occasionally, additional information may dictate a need for a revision to the offer. If an owner volunteers information, the acquiring agency must give that information appropriate consideration. Any revision should be documented providing an explanation of the reasons. A revised written offer, approved by the proper agency official, should be made promptly to the property owner.

===136.8.7.1.5 Payment Before Possession===

No owner shall be required to surrender possession of real property before the acquiring agency pays the agreed purchase price, or deposits the amount of a Commissioner's award with the court for the benefit of the owner.

===136.8.7.1.6 90-Day Notice to Vacate===

No person lawfully occupying real property shall be required to move or remove personal property from a dwelling, business or farm operation without at least 90 days' written notice from the acquiring agency before the date by which such move is required.

A 90-day Notice to Vacate shall not be given before the notice of relocation eligibility. A notice to vacate is required in all cases in which an acquired structure is occupied, or personal property must be removed.

In cases of displacement of an individual, family, or business, the Missouri Department of Transportation will offer guidance regarding relocation assistance, upon request from the Local Public Agency (LPA). Other notices to vacate, depending on the various circumstances encountered, are available in the [[236.8 Relocation Assistance Program|EPG 236.8 Relocation Assistance Program]].

For more information on MoDOT policy regarding the relocation assistance program, please see EPG 236.8 Relocation Assistance Program.

===136.8.7.1.7 Uneconomic Remnant===

When a partial acquisition leaves the owner with a remainder that has little or no utility or value to them, an uneconomic remnant may have been created. The agency shall make the determination if there is an uneconomic remnant. This is usually decided upon in the appraisal or appraisal review process, but may result from declarations and opinions of the owner.

The agency shall make an offer to purchase the uneconomic remnant. To accommodate potential condemnation, the offer to acquire a remnant should not be included in the offer to acquire the needed land or right of way, but rather be made as an entirely separate offer. The owner may decline to sell the remnant. Federal funds may participate in the costs of acquiring uneconomic remnants. However, uneconomic remnants cannot be acquired by condemnation. Condemnation petitions should not include the area considered an uneconomic remnant.

If the remnant is not included as part of the regular right of way and the remnant is sold by the agency, credit to federal funds is required if they were utilized in the acquisition. The credit to federal funds would be at the same pro-rata as federal funds participated in the cost of the acquisition. The amount credited should be the result of a disposal by public sale or negotiations based upon appraised fair market value. When a credit to federal funds is required, the cost of disposition may be deducted from the sales price. When an uneconomic remnant is not incorporated within the approved right of way limits, no FHWA approval is required to dispose of it.

The necessary record keeping, and future refund, can be avoided by acquiring uneconomic remnants without federal funds.

===136.8.7.1.8 Owner Retention of Improvements===

The owner of improvements located on the land being acquired as right of way may be offered the option of retaining those improvements at a salvage value determined by the acquiring agency. Salvage values are generally best determined in the valuation process. Salvage Value is the amount the item would command if sold in place with the buyer being responsible for removal from the property. The acquiring agency is not required to offer owner retention in every instance.

When the owner elects to retain an improvement, the just compensation paid the owner should be reduced by the salvage value of the retained improvement. Reduction of the salvage value to accomplish a settlement, must be approved by an LPA official, and adequately documented in the [https://epg.modot.org/forms/RW/LPA%20Links/Administrative%20Settlement%20Justification%20Form%20136.8.3.docx administrative settlement justification letter].

When improvements are retained, it is considered a good business practice to hold sufficient funds, to ensure proper removal of the improvement and clean up of the premises.

===136.8.7.1.9 Coercive Action===

All negotiations shall be conducted in such a manner as to eliminate any coercion of an owner into reaching agreement. Condemnation shall not be used as a threat. The property owner shall be given a reasonable amount of time to consider the offer and to obtain professional advice or assistance if they so desire. The agency shall not advance the time of condemnation, or defer negotiations or condemnation or the deposit of funds with the court, in order to induce an agreement on the price to be paid for the property.

===136.8.7.1.10 Separation of Functions===

'''1. Appraisal/Negotiation'''

Negotiations shall be conducted by someone other than the appraiser or reviewing appraiser of the real property to be acquired, except that the acquiring agency may permit the same person to value and negotiate an acquisition where the value is based on a [https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx Waiver Valuation - Payment Estimate, Form 136.8.34], or is less than $10,000. However, the valuation prepared on a Payment Estimate must be reviewed and an amount approved by another designated agency official before the initiation of negotiations.

'''2. Delivery Of Payments'''

'''By Agency Staff:''' Any full-time agency employee may deliver payment checks for acquisition of right of way interests. If personally delivered, the responsible agency employee shall obtain the signature of the recipient acknowledging receipt of the payment. Payments mailed to owners shall be by certified mail with return receipt requested.

'''By Escrow Agents:''' Payments to escrow agents may be delivered by any person or by certified mail with return receipt requested. Owners shall be notified in writing of the date their payment is delivered to escrow agent.

===136.8.7.1.11 Incidental Expense Reimbursement===

The owners of property acquired for a project will be reimbursed for the following expenses they necessarily incurred for the transfer of the property.

:*'''Property Transfer Costs''': Recording fees, transfer taxes and similar expenses incidental to conveying the property. These expenses are normally paid direct by the local agency.

:*'''Proration of Taxes''': Owners will be reimbursed for a pro rata portion of the state, county and city real estate taxes paid for the current taxable year on property purchased by the agency. The pro rata portion of taxes will cover the full number of months remaining in the calendar year after payment is received by the owner for the property. Claims for reimbursement must be made within six months after the city or county tax delinquent date. Delinquent tax payments are not reimbursable. The owner is responsible for submission of paid tax receipts and request for payment to the agency for reimbursement. Unless the owner waives this requirement, it must be given to the owner.

:*'''Mortgage Penalties''': Owners will be reimbursed for actual penalty costs for prepayment of a pre-existing mortgage entered into in good faith and filed of record. These costs will be reimbursed when the property is acquired in its entirety or the acquisition is of such magnitude that the remainder will not provide collateral for the mortgage and/or the mortgagee legally requires penalty costs for prepayment of the mortgage. The owner is responsible for submission of paid receipts of penalty costs and request for reimbursement to the agency.

:*'''Appeal for Expense Eligibility''': Property owners may file a written appeal with the agency if they believe that the agency has failed to properly consider their application for reimbursement of expenses incidental to the transfer of title. This appeal may include their eligibility for, or the amount of a payment. The time limit for filing an appeal is 60 days after they receive written notification of the agency's determination on their claim.

==136.8.7.2 Donation of Right of Way==

===136.8.7.2.1 Donations - Waiver of Appraisal===

The use of donations may be used to acquire property and property rights without the use of a detailed appraisal, however some documentation is necessary.

In some instances property owners affected by small, uncomplicated acquisitions of right of way and/or easements may be willing to donate their property that is needed for the project, especially when the project improvements provide a benefit to the property and community.

Donations are acceptable; however, the owner must be fully informed of the right under law to payment of just compensation as determined by an appraisal. An owner can waive the right to an appraisal, and make a donation. To assure full understanding by the owner, a [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Donation%20Letter%20and%20Waiver%20of%20Appraisal%20Form%20136.8.25.docx Donation - Waiver of Appraisal Letter] must be signed and dated by the owner.

When non-complex property or property rights are donated, a proper Local Public Agency (LPA) authority may waive acquisition of additional property interests (like partial mortgage releases, easement owners, tenant interests, etc.), but a memo outlining the waiver to acquire additional property interests should be included in the file.

The Uniform Act forbids an acquiring agency from taking any coercive action in order to compel owners to agree on a price for their property. As such, in most cases it would be inappropriate for a LPA at the time of initiation of negotiations to inform the property owners that the needed right of way would have to be donated to the acquiring agency in order for the roadway project to be completed. The only acceptable circumstance would be in the case when the project would be terminated unless all owners agreed to donate.

===136.8.7.2.2 Donations of Property as Credit To LPAs Matching Share (Soft Match)===

The value of donated property can be used as a credit to the local agency's matching share of project costs. Those agencies wishing to utilize this provision should read and comply with [https://epg.modot.org/forms/RW/LPA%20Links/Privately%20Donated%20Land%20as%20Credit%20to%20Matching%20Share%20of%20Project%20Costs%20Form%20136.8.19.docx Form 136.8.19]. The MoDOT district Right of Way offices will be able to provide assistance and guidance in obtaining this credit.

If such crediting is used, a valuation of the donated property must be done. MoDOT must concur in that valuation prior to Plans, Specifications and Estimates Approval (PS&E), to assure the credit.

It is extremely important that the estimated value of the donation be included in the overall project costs (for eventual right of way phase obligation) when the original application is made for project funding. If this is not done at that time, the credit for the donation will not be available and those funds must come from the construction costs obligated. This will effectively wipe out any credit sought for the donation, and render that donation useless.

===136.8.7.2.3 Donation in Exchange for Construction Features===

A local agency may accept an owner's offer to donate in exchange for construction features that will benefit the owner. The LPA should make an economic determination that the cost of the services rendered can reasonably be balanced against the value of the required acquisition. In this case the owner should sign a [https://epg.modot.org/forms/RW/LPA%20Links/Donation%20in%20Exchange%20for%20Construction%20Features%20Letter%20Form%20136.8.10.docx Donation In Exchange] letter, and complete the donation of necessary right of way in exchange for the specified construction features to be rendered.

==136.8.7.3 Dedications==

A local agency may accept a parcel of land through dedication if the dedication is done pursuant to a local planning and zoning process or at the request of the property owner for use concessions. This is not considered an acquisition requiring just compensation. However, the LPA must still obtain a conveyance document (such as a deed) from the property owner, along with a donation letter.

Dedications are not considered donations for purposes of donation credit (soft match). Any dedication undertaken to circumvent federal requirements is unacceptable.

==136.8.7.4 Assessments==

LPAs may not take any coercive action in acquiring property for a project. Assessments against individual properties of a project are unacceptable. However, assessments to recapture funds expended for a public improvement are acceptable if levied against all properties within an established taxing area or district.

==136.8.7.5 Administrative Settlements==

'''Purpose:''' Administrative settlements are made for the purpose of concluding negotiations for amounts considered reasonable, prudent and in the public interest, after reasonable efforts to negotiate agreements at the approved offers have failed.
Administrative settlements are not to be used for the purpose of correcting errors or omissions in an appraisal. Correcting the appraisal and making a revised offer is the method used to correct such errors and omissions.

'''Definition:''' An administrative settlement is any settlement agreement authorized by appropriate LPA personnel, for a monetary consideration that differs from the approved estimate of just compensation. All settlements above or below the approved just compensation, or that include other valuable consideration, require written justification ([https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Administrative%20Settlement%20Justification%20Letter%20Form%207.3%203%201.pdf Administrative Settlement Justification Letter, Form 7-3.3.1]).

===136.8.7.5.1 Making Administrative Settlements===

Having determined that it is in the public interest to make an administrative settlement, the LPA establishes an equitable amount for the settlement. The amount and other terms of the settlement are then relayed to the owner either verbally or in writing. Should the owner accept the proposal, the necessary conveyance documents are executed, showing the final settlement amount.

===136.8.7.5.2 Administrative Settlement Justification Letter===

At the conclusion of an administrative settlement, the LPA shall prepare a letter of justification ([https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Administrative%20Settlement%20Justification%20Letter%20Form%207.3%203%201.pdf Administrative Settlement Justification Letter, Form 7-3.3.1]) that sets out the terms of the settlement and the factors upon which it was based. A copy of this letter is to be sent to the MoDOT district Right of Way offices when the project is submitted for clearance.

Administrative settlement justification is not to be based on perceived inadequacies of the appraisal process. If the appraisal, on which the offer was based, is subsequently believed to be deficient, a new or revised appraisal should be secured.

===136.8.7.5.3 Administrative Settlements Considerations===

After a diligent effort has been made to consummate settlements for the approved amounts of just compensation, the appropriate LPA personnel should review each parcel not acquired by negotiation for the approved just compensation amount, and determine whether to make administrative settlements, pursue mediation, or acquire by condemnation.

The appropriate LPA personnel should review all pertinent information relevant to consideration of a settlement, such as:
:* Approved appraisal reflects current market conditions
:* Consideration in the appraisal of subjective elements of damage
:* Other appraisals of subject
:* The Negotiator's Report regarding damage factors claimed by the owner
:* Counteroffers made by the owner
:* The range of probable testimony
:* Recent jury verdicts for similar type properties
:* Estimated court costs
:* Opinion of legal counsel regarding probable result of proceeding with condemnation.
:'''Note:''' Administrative settlements are not to be used to correct errors or omissions of the appraisal. Correcting the appraisal and making a revised offer is the method used to correct such errors and omissions.

Any relevant considerations used to reach the settlement agreement, such as those illustrated in the examples above, should be included in the text of the Administrative Settlement Justification Letter.

==136.8.7.6 Negotiator Qualifications==

It is recommended that LPA staff negotiators carry the following qualifications, which is equivalent to the MoDOT Right of Way Specialist:

:"Knowledge of business and real estate as might be acquired through experience or graduation from an accredited four year college or university with a bachelor degree in real estate, finance, economics, business administration, public administration, or related area."

=136.8.8 Acquisition Through Eminent Domain=

==136.8.8.1 General==

The basic principles governing the exercise of the power of eminent domain are established by state law and are described in [[236.10 Right Of Way Condemnation#236.10.7 Eminent Domain Guidelines|EPG 236.10.7 Eminent Domain Guidelines]]. If negotiations are not successful, the acquisition case is turned over to the agency's legal representative to secure the property through condemnation action, or a legal settlement. It is strongly recommended that any time property must be acquired by condemnation action, the local public agency (LPA) should contact the local MoDOT district office for assistance.

The [https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Schedule%20Form%20136.8.2.2.docx Right of Way Acquisition Schedule] submitted by the LPA at the time acquisition authority was requested includes a section for filing the condemnation petition. In order to ensure that LPA projects continue to make reasonable progress, the LPA is expected to initiate condemnation proceedings as outlined in the Right of Way Acquisition Schedule. Should the LPA choose not to initiate condemnation proceedings, the LPA will be expected to cancel the project and reimburse MoDOT for all previous expenses.

After property has been placed in condemnation and the commissioners have made their report, the acquiring LPA should make a determination as to whether the case should be tried by a jury or disposed of by settlement. In either case, however, if the LPA intends to claim federal participation in the payment of any excess over and above the original approved offer, the file must be adequately documented to justify the action taken.

The attorney handling the case for the LPA should become familiar with Title 49 of the Code of Federal Regulations, Part 24, and Subpart D of Part 712 of Title 23 of the Code of Federal Regulations. In the state of Missouri, in addition to the Uniform Act, the Eminent Domain Law; RSMo 523, describes procedures for governmental agencies in condemnation cases. Missouri’s LPA officials are strongly encouraged to rely on their Legal Counsel for interpretation of this statute. For a summary of the changes made to RSMo 523 as a result of the 2006 eminent domain reform legislation known as HB 1944, please refer to [https://epg.modot.org/forms/RW/LPA%20Links/Summary%20of%20HB%201944%20Form%20136.8.30.docx Form 136.8.30].

The [https://epg.modot.org/forms/RW/LPA%20Links/60%20Day%20Notice%20of%20Owners%20Rights%20Form%20136.8.35.docx 60-Day Notice of Owners Rights, (Form 136.8.35)] prescribed by RSMo 523 and the [https://epg.modot.org/forms/RW/LPA%20Links/Final%20Vacancy%20Notice%20for%20Relocation%20Form%20136.8.11.docx Final Vacancy Notice for Relocation (Form 136.8.11)] are provided for the LPA.

==136.8.8.2 Documentation of Legal Actions==

The agency shall provide to the MoDOT District Right of Way office proper documentation for not filing exceptions to commissioners award, justification to dispose of a condemnation case by settlement, or a trial report in the case of jury trial. This documentation is to be furnished to MoDOT Regional Counsel for review and approval action. District Counsel shall contact the appropriate representative of the local agency for corrective action if necessary

==136.8.8.3 Use of a Fee Attorney or Special Counsel==

Use of a Fee Attorney is permissible if:

:* The fee for the services is reasonable
:* The fee is not on a percentage basis.

Contact the local MoDOT district right of way office when the LPA anticipates using outside counsels.

==136.8.8.4 Federal Participation in Costs of Staff Attorneys==

Federal participation shall not be allowed in payment to city or county attorneys for work performed in connection with the acquisition of rights of way when they are obligated to perform such work without additional compensation. In those cases when the normal duties of attorneys do not include the acquisition of property for right of way purposes, federal funds may participate in payments for services performed.

==136.8.8.5 Preparation of Justification for Legal Settlements==

A legal settlement is any acquisition settlement made by the responsible agency's legal representative after condemnation is filed. The legal settlement is the attempt to reach a settlement after all reasonable efforts by the negotiator have failed, including attempts at an administrative settlement.

If federal funds are to participate in right of way acquisition, including the settlement costs, and the agency determines that it is in the best interest to dispose of the condemnation case by legal settlement, the legal representative handling the case must prepare a [https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Justification%20for%20Settlement%20Form%20136.8.12.docx Justification for Settlement statement, Form 136.8.12], and provide this statement to the MoDOT district Right of Way office.

If an A-date authorizing federal funds participation in right of way has not previously been authorized, an Acquisition Authority (A-date) must be obtained prior to completion of the settlement and prior to request for federal participation in the cost of the acquisition settlement.

The LPA shall identify the agency's legal representative responsible for making the settlement. If this representative is not a direct employee of the agency, the LPA shall concur in the settlement. This includes stipulated settlements approved by the court in which the condemnation action has been filed.

:* Justifications for settlement should contain as a minimum; the following information: (LPA may prepare an office memo to the file with all of this information or the Form 136.8.12 may be utilized.)

:* A description of the property as to dimensions, terrain, use, access to public roads and other facilities, severance by public roads and water courses, improvements, and any other features which would have a bearing upon the value of the property.

:* The effect which the acquisition has on the property, such as severance, limitation of access, removal of fencing and other improvements, and blocking of existing public roads which provide access to the property.

:* The date of acquisition.

:* The amount of the commissioners' award.

:* All appraisals which have been obtained for the determination of damages with the dates of appraisals.

:* The approved offer and the date the amount of the offer was established.

:* Any comments which are contained in the reviewing appraiser's report, or in the negotiator's records, which might have a bearing on a determination for settlement.

:* Any legal deficiencies noted in any of the appraisals or in the reviewing appraiser's determination.

:* Any changes which have occurred in the property between the date of any of the appraisals and the date of acquisition, such as rezoning or change in improvements.

:* Substantial differences in appraisals or between the appraisals and the approved offer should be correlated.

:* A discussion of problems to be anticipated in a trial of the case, both legal problems and evidentiary problems which could affect the outcome of trial. This might include problems relating to comparable sales, highest and best use of the property, rezoning, drainage problems, extent and effect of severance, encroachment damage, the admissibility of evidence, valuation of landscaping, depreciation of improvements (especially functional obsolescence), special benefits, etc.

:* A discussion as to the effectiveness, if known, of the witnesses.

:* A discussion of recent trial results in the county.

:* Costs of trial may be considered along with other matters in the justification, but may not be used as the sole basis for settlement.

:* In making a determination as to whether to recommend settlement of a case, all pertinent information and facts which would be admissible in a trial of the case should be discussed, with a discussion as to the effect which such evidence would probably have in the outcome of the trial. Where additional sales have occurred in the area which the attorney feels would be admissible in evidence and would have a bearing on the outcome of the trial, the attorney should discuss the sales as to their admissibility in the trial and the effect that their admission into evidence might have on the outcome of the trial.

:* The acquiring agency's legal counsel should be involved from the early stages of the project delivery. During the planning and design stages, the legal counsel may be able to detect complex title or valuation pitfalls which can be avoided or minimized during the appraisal process. Counsel should be called upon for advice on such matters as the law on benefits, before/after value appraisals, and compensibility of particular items. Counsel should be given an opportunity to offer advice prior to the determination to condemn.

==136.8.8.6 Trial Reports==

Federal funds may participate in amounts greater than the amount established as just compensation if there is supporting documentation in the LPA project file. A trial report, [https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Trial%20Report%20136.8.13.docx Form 136.8.13, Legal Trial Report], signed by the trial attorney, should contain the following information:

:* A description of the property as to size, shape, terrain, improvements, access to roads and other facilities, severance by roads and other facilities, and any other matter which has a bearing on the value or use of the property.

:* Date of acquisition.

:* A description of the acquisition and its effect on the remaining property.

:* The date and amount of the originally approved offer and the appraisal upon which the offer was based.

:* The date and length of the trial.

:* The evidence presented on behalf of the defendant. This should include not only the testimony as to damages, but also other matters presented by the defendant which bear upon the before and after values of the property.

:* Evidence presented by the plaintiff. This should include not only a statement as to the amount of damages to which the witnesses testified, but other matters presented into evidence by witnesses which would have a bearing on the value of the property, such as highest and best use, zoning, comparable sales, nature of special benefits.

:* The reason for any substantial variance between the original approved offer and plaintiffs testimony.

:* Differences arising between the parties in trial, not only as to amounts of damages to which the witnesses testified, but a discussion as to the reasons for the differences in the amounts and differences between the parties as to other features of the property, such as physical features, zoning, probability of rezoning, highest and best use, and the extent which the highest and best use has been affected by the acquisition.

:* Any differences arising between the parties as to questions of law, especially as to the admissibility of evidence, objections made by either party, and the rulings of the court upon those objections.

:* A discussion of any possible error committed by the trial court in ruling on objections with a recommendation as to whether the verdict is substantially in excess of the plaintiff's testimony and there is error in the case but the attorney's recommendation is that no post trial action be taken, a full discussion of the reasons for such recommendation should be made.

:* If post trial action is taken or anticipated, and later it is decided not to appeal, a supplemental report is to be prepared and placed in the file, setting out reasons for no further action.

=136.8.9 Relocation Assistance=

If land needed for a project is occupied by people, business or merely personal property, it may be necessary to displace the occupants. These occupants may be individuals, families, businesses, farms or even non-profit organizations.

The term "displaced person" is defined in the Uniform Act as: "...any person who moves from the real property or moves his or her personal property from the real property as a direct result of an agency's written notice of intent to acquire-relocation, the initiation of negotiations for, or the acquisition of such real property in whole or in part for a project."

Occupants who qualify as displaced persons are eligible for relocation assistance advisory services, and are entitled to payment of their actual moving and related expenses, as the agency determined to be reasonable and necessary. In addition, residential displacees who meet minimum occupancy requirements may qualify for replacement housing or rental subsidy payments to offset increased costs of securing replacement dwellings.

The Uniform Act and Federal Highway Administration regulations prescribe certain benefits and protections for persons displaced by projects which are funded, at least in part, with federal money. The provisions of the Uniform Act concerning relocation are found in 49 CFR, Part 23, Titles I, II, III. As stated in the law, the purpose of the Uniform Act is to assure fair and equitable treatment of displaced persons so that such displaced persons do not suffer disproportionate injury from projects designed to benefit the public as a whole.

Relocation requirements are lengthy and detailed; therefore, whenever the local agency anticipates that displacements will occur, the appropriate MoDOT district Right of Way office should be contacted for assistance in conducting its relocation program. For more information, refer to [[236.8 Relocation Assistance Program|EPG 236.8 Relocation Assistance Program]].

=136.8.10 Right of Way Clearance Certification=

==136.8.10.1 General==

Prior to authorization to advertise the physical construction for bids, the Local Public Agency (LPA) shall submit a [https://epg.modot.org/forms/RW/LPA%20Links/Clearance%20Certification%20Statement%20Form%20136.8.8.docx Clearance Certification Statement (Form 136.8.8)] to the local MoDOT district office.

The Right Of Way Clearance Certification Statement is required for all federally assisted projects (federal funds participation in either right of way or construction), but only if any right of way acquisition was necessary. The statement identifies the acquisition status of necessary right of way for the purpose of advancing a project to construction. It also addresses the status of any relocation activities necessary on the project.

The agency shall submit a clearance certification to the local MoDOT district office on the agency's letterhead signed by appropriate official or officials.

When LPA Right of Way Projects affect a MoDOT Route, there may be new right of way or easements coming into the State’s highway system. Information regarding the acquisition of such parcels must also be added to the clearance certification letter. In turn, the MoDOT district office will advise Right of Way Central Office in its right of way clearance cover letter. District Right of Way shall open a file record in the Right of Way Parcel Acquisition Database and document the acquisition data of the acquired property.

All jobs certified clear more than one year prior to construction letting must have an updated clearance certification issued to verify that the right of way is still clear and that there are no encumbrances of any kind and there are no rental agreements, extensions of possession or leases in effect.

Right of Way staff are required to enter the Right of Way Clearance Letter, and any working Right of Way Documents into the LPA SMS (State Management System Application).

===Five-Year Rule===

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 receive federal funds.

If the project sponsor does not need to acquire property rights, and / or holds fee title or adequate easements on property necessary for the project; the sponsor will be in one of two categories depending on the date when that latest parcel on the project was acquired:

1. The last parcel acquired was more than five (5) years prior to the first obligation of federal funds for the current project, or

2. One or all of the parcels were acquired within the last five (5) years prior to federal funds obligation.

In the case of number 1, 

The sponsor must certify by signed letter to the DDL stating the following (example):
:The City/County of ________ hereby certifies there is no new right of way necessary for the federally funded project known as _____ (give the Project Number here)_____. Furthermore, the last recorded acquisition of right of way or permanent easements within the limits of this project occurred more than 5 years prior to the initial obligation of federal funds.

:Our records indicate the City/County of _______ acquired the most recent land, right of way, or easements on which, this project is to be constructed, on _____(month) _____(day)_____(year).
:[as close to the date of record you have]

In the case of number 2, 

The sponsor must submit all the parcel files and normal right of way clearance certification. The district RW Representative will review the acquisition of the RW and Easements for compliance with the Uniform Act and once this is accomplished, notify the District Design Liaison or district planning specialist that RW is clear. The district right of way staff shall follow the standard procedure for submittal to RW Central Office for final review and approval.

==136.8.10.2 When Should Clearance Certification Be Submitted==

Clearance certification should be submitted when all right of way has been acquired and legal and physical possession of all parcels has been obtained and relocation assistance has been made available on occupied units.

==136.8.10.3 Contents of Clearance Certification==

Each certification must contain the following.

===136.8.10.3.1 Heading===

The heading of your certification letter should contain the following:

:* date and type of environmental clearance
:* clearance certification entire project, portion of project, or conditional clearance
:* city and or county
:* road or project number
:* federal project number
:* termini of the entire right of way project
:* the termini by stationing of that portion of the project being cleared if it is a partial clearance certification
:* construction job number and termini

===136.8.10.3.2 Accurate Statements===

Make certain that all the statements under each heading are accurate, correctly reflecting the acquisition type involved in the project. Use either number 1, number 2 or number 3, below. This will indicate to the reviewer whether or not the project involved relocation assistance and, if it was only personal property moved or people/business were displaced.

'''1. Right of Way Required - No Personal Property Moved - No Relocation Assistance Required'''

:a. We certify that all necessary right of way, easements and access rights have been acquired in accordance with the Titles 49 and 23 CFR.

:b. Legal and physical possession of all parcels has been obtained.

:c. The steps relative to relocation advisory assistance and payments were not required.

'''2. Right of Way Required - Personal Property Moved - No Occupied Improvements Required'''

:a. We certify that all necessary right of way, easements and access rights have been acquired in accordance with Titles 49 and 23 CFR.

:b. Legal and physical possession of all parcels has been obtained.

:c. Steps relative to relocation advisory assistance and payments as required by 49 CFR, Part 24 have been taken (personal property moved only).

'''3. Right of Way Required - Personal Property Moved - Occupied Improvements Acquired'''

:a. We certify that all necessary right of way, easements and access rights have been acquired in accordance with Titles 49 and 23 CFR.

:b. Legal and physical possession of all parcels has been obtained.

:c. Steps relative to relocation advisory assistance and payments as required by 49 CFR, Part 24 have been taken.

:d. All individuals and families have been relocated to or offered equivalent decent, safe and sanitary housing in accordance with 49 CFR, Part 24.

===136.8.10.3.3 Required data to be submitted with clearance certification===

When a right of way project is certified clear, attach to the certification:

:* Total number of parcels on project that required the acquisition of right of way, easements and/or access rights.
:* Total number of donations. (List the parcel number, date received, and grantor's name.)
:* List any parcels that were voided and not appraised within the numeric beginning and ending parcel numbers as indicated on the right of way plans.
:* List any parcel that was appraised and subsequently voided and not acquired.
:* Total number of parcels that were deleted from the project, if any.
:* Total number of parcels that were acquired by condemnation.
:* Total number of parcels that were acquired by MoDOT personnel.
:* Total number of parcels that were acquired by Local Public Agency personnel.
:* Total number of parcels that were acquired by Acquisition Agent(s) on the MoDOT Roster.
:* Total amount of money spent in Right of Way Acquisition. (Cost of land and improvements only.)

===136.8.10.3.4 Partial Right of Way Clearance Certification===

When phase construction is involved on a particular project and it is necessary to clear only a portion of an entire right of way project, all other requirements for the issuance of a clearance certification are applicable.

In order to advance portions of a total project to construction, it will be necessary to complete a right of way clearance certification statement for each construction project. A clearance statement is identified as a partial right of way clearance certification when legal and physical possession of additional right of way which was identified within the original right of way project termini, and needed in connection with future construction projects, has not yet been obtained.

The classification as a partial certification is necessary as it relates to the original right of way project number under which the LPA was authorized to acquire the necessary right of way. In these cases, the partial right of way clearance certification represents a full clearance certification for the construction project to be advertised and awarded. This only applies to projects which have one federal project number and have intentionally been split into two or more projects to be let separately.

::For example; STP-9999(605) Phase 1 and STP-9999(605) Phase 2.

===136.8.10.3.5 Conditional Right of Way Clearance Certification===

A Conditional Right Of Way Clearance Certification Statement is required when the agency's administration staff has determined it necessary to advance a construction project to letting prior to obtaining legal and physical possession of all the needed right of way. The LPA may request construction authorization of this type only in very unusual circumstances. This exception must never become the rule.

Each situation is different. MoDOT district personnel are available for direct assistance to insure compliance with 49 CFR, and expedient clearance of the Right of Way for certification.

Clearance certifications which show exceptions must be followed by a final clearance from the MoDOT District at such time as the exceptions have been satisfied.

Any job certified clear more than one year prior to letting must be verified to determine that the job is still clear and that there are no rental agreements or leases in existence.

=136.8.11 Right of Way Services Through Contract=

==136.8.11.1 Need==

The Local Public Agency (LPA) must inform MoDOT prior to commencement of any right of way activities, whether they are adequately staffed to perform the necessary functions or if it will be necessary to utilize fee services for any of the appraisals, appraisal reviews, negotiations, or relocation services required for a project.

For more detailed information about contracting for services beyond what is provided in the following subarticles, please refer to the following links:

: [https://epg.modot.org/index.php?title=236.3_Administration#236.3.12_Contracting_with_MoDOT_and_E-Verify_Requirements EPG 236.3.12 Contracting with MoDOT and E-Verify Requirements]

: [https://epg.modot.org/index.php?title=236.4_Description_Writing_and_Titles#236.4.4.7_Procedure_for_Obtaining_Title_Services EPG 236.4.4.7 Procedures for Obtaining Title Services]

: [https://epg.modot.org/index.php?title=236.6_Appraisal_and_Appraisal_Review#236.6.5.1_Qualifications_for_Realty_Appraisers EPG 236.6.5.1 Contracting with Fee Appraisers]

: [https://epg.modot.org/index.php?title=236.7_Negotiation#236.7.8_Contract_Negotiation EPG 236.7.8 Contract Negotiations]

: [https://epg.modot.org/index.php?title=236.11_Mediation#236.11.2_Contracting_for_Mediation_Service EPG 236.11.2 Contracting for Mediation Service]

: [https://epg.modot.org/index.php?title=236.11_Mediation#236.11.3_Mediation_Contracts EPG 236.11.3 Mediation Contracts]

==136.8.11.2 General Requirements for Contracts==

The following information relates to all services provided under contract including, but not limited to, title services, appraisal services, negotiation services, relocation services and mediation services.

Business entities and employers are prohibited from knowingly employing, hiring or continuing to employ illegal aliens to perform work in Missouri. Participation in the federal work authorization program E-Verify, which enables employers to electronically verify employment eligibility, is required for all public employers and business entities receiving '''a state contract''' or grant '''in excess of $5,000''' or a state-administered tax credit, tax abatement, or loan from the state. Participation in a federal work authorization program is an affirmative defense to an allegation that a business entity knowingly hired an illegal alien. For more detailed information related to E-Verify requirements please see [https://epg.modot.org/index.php?title=236.3_Administration#236.3.12_Contracting_with_MoDOT_and_E-Verify_Requirements EPG 236.3.12].

Contracts, agreements or assignment letters for contract services shall contain as a minimum the following provisions and clauses:

:* Date of agreement.

:* The complete name and address of each party to the agreement whether individual, partnership, firm or corporation. If a corporation is one of the parties, identify the state in which it is incorporated. Where a contract is with a partnership, firm or corporation, the agreement or supplement thereto shall identify the person who will perform the contract service and, if necessary, testify in a condemnation action.

:* Federal-aid project number and location.

:* Description of the work to be done in sufficient detail to show the nature and extent of the services contemplated.

:* The basis of payment for the services to be furnished.

:* Provisions that would permit the negotiation for mutual acceptance of major changes in the scope, character or estimated total cost of the work to be performed if such changes become necessary as the work progresses.

:* Provision that would permit termination of the agreement by the acquiring agency in case the contractor is not complying with the terms of the agreement, the progress or quality of work is unsatisfactory, or for other stated reasons. Provision covering the ownership of work completed or partially completed and basis of payment therefore in the event of termination of the agreement by the acquiring agency.

:* Provisions for a procedure to resolve any dispute concerning a question of fact in connection with the work not disposed of by agreement between the parties, conforming to the practice followed by the acquiring agency in resolving disputes in other contractual matters.

:* An expressed prohibition against the subletting or transfer of any of the work except as is otherwise provided for in the agreement.

:* The clauses set forth in the proposals regarding Civil Rights Assurances.

:* Properly executed signature and dates.

==136.8.11.3 Contract for Fee Appraiser==

===136.8.11.3.1 General Requirements===

1. The MoDOT district office may approve the use of a fee appraiser when it has been determined the local agency is not adequately staffed to perform this service.

2. Individuals proposed and used to establish estimates of just compensation shall be on the [https://epg.modot.org/index.php?title=236.6_Appraisal_and_Appraisal_Review#236.6.5.4_Roster_of_Approved_Contract_Appraisers Roster of Approved Contract Appraisers], which is updated annually. Refer to [[236.6 Appraisal and Appraisal Review#236.6.5.4 Roster of Approved Contract Appraisers|EPG 236.6.5.4 Roster of Approved Contract Appraisers]].

3. Appraisal work will be performed under the requirements set forth in [[#136.8.6 Appraisal and Appraisal Review|EPG 136.8.6 Appraisal and Appraisal Review]].

4. Fee personnel shall be retained directly by the acquiring agency and required, by written contract, to personally perform the services contracted for, except as hereinafter provided. When services of a highly specialized nature are required to assist in the preparation of the appraisal, the employment of specialists should be handled by the acquiring agency. However, in appropriate instances such employment may be accomplished by the contract appraiser responsible for the appraisal of the entire property. If the latter course is followed, the acquiring agency shall reserve to itself the approval of the selection of the specialist by the contract appraiser.

5. The basis of payment set forth in the agreement covering more than one parcel shall not be computed on an average rate per parcel. The agreement shall itemize the actual amount to be paid per parcel, or such itemization shall be by a separate statement.

6. Provision shall be made in the agreement for a per diem rate to be paid to the fee appraiser or specialist in the event court appearances or conferences preparatory thereto become necessary. This contingent cost shall be separate and apart from the fee or the overall limit specified in the agreement for completion of the services covered by the agreement.

7. There shall be no federal reimbursement for compensation paid by an acquiring agency for revision or correction of a report required by the appraiser's or specialist's failure to comply with contract specifications and standards in the agreement.

8. There shall be no federal participation in the appraisal or specialist fee or the amount paid for a parcel where the appraisal or specialist fee is determined as a percentage of the appraised value or assessed value.

9. The amount of the fee shall represent a fair payment for the services performed whether it be for the initial valuation, a new valuation occasioned by a change in the acquisition, or a subsequent updating requested by the acquiring agency. In the instance of a new valuation or updating, a flat percentage of the original fee is not acceptable as representative of fair payment. Experience of the acquiring agency and any other available guides should be considered in arriving at an equitable fee. A qualified individual from the acquiring agency's right of way organization should visit the project site to identify the valuation problem, determine the number and type of reports needed. The estimate shall be made prior to requesting a proposal from fee personnel and shall be retained in the acquiring agency's file. A predetermined schedule of fees for different types of properties may be utilized provided documentation to support such schedule(s) is available in the acquiring agency's files. In determining the basis of payment and the actual fees to be paid, consideration should be given to:

:* The complexity of the appraisal or other work to be undertaken and the skills necessary to provide such services.

:* The number of parcels included in the assignment.

:* The amount of information and data provided fee personnel by the acquiring agency, and the extent of information that must be developed independently.

:* The location and conditions pertinent to the project for which the fee service is to be provided.

:* The time allowed for performance of the assignment.

===136.8.11.3.2 Approval of Contract===

As outlined above, fee personnel shall be retained directly by the acquiring agency and required, by written contract, to personally perform the services contracted for, except as hereinafter provided. The applicable MoDOT district office shall monitor and when necessary provide guidance to the agency in its contracting practices to ensure that the (1) contract form substantially complies with requirements of this article, and (2) contract is with a qualified appraiser.

A sample contract for fee appraisal services is included as [https://epg.modot.org/forms/RW/LPA%20Links/Proposal%20for%20Appraisal%20Work%20Form%20136.8.21.docx Form 136.8.21]. Contact the local MoDOT district office for assistance, if necessary.

==136.8.11.4 Contract Fee Review Appraiser==

===136.8.11.4.1 General Requirements===

1. The MoDOT district office may approve the use of a fee review appraiser when it has been determined the local agency is not adequately staffed to perform this service.

2. Individuals proposed and used to approve just compensation shall be on the [https://epg.modot.org/index.php?title=236.6_Appraisal_and_Appraisal_Review#236.6.5.4_Roster_of_Approved_Contract_Appraisers Roster of Approved Contract Appraisers] which is updated annually. The Roster indicates individuals who are generally qualified to perform the review function. Other individuals on the Roster may be approved to review for individual projects.

3. Appraisal review work will be performed under the requirements set forth in [[#136.8.11 Right of Way Services Through Contract|EPG 136.8.11 Right of Way Services Through Contract]].

4. Amounts established by Contract Review Appraisers as the estimate of just compensation must be approved by an appropriate official of the responsible acquiring agency prior to the initiation of negotiation. This function cannot be delegated to contract review appraisers or consultants.

5. The employment of fee review appraisers shall be by written contract.

6. The amount of the fee set forth in the contract should be established on a per appraisal basis and shall not be computed on an average rate per appraisal nor determined as a percentage of the appraised, concluded or assessed value.

7. The appraisal review fee shall represent fair payment for the work performance whether it be for the initial estimate of just compensation (EJC) a new EJC occasioned by a change in the acquisition or a subsequent updating requested by the acquiring agency. A flat percentage of the original fee is not acceptable for a new EJC or updating. An estimated fee per appraisal should be developed by a qualified individual or from other available information before requesting a proposal(s) from qualified fee personnel. The estimated fees shall serve as a basis for negotiating the fee to be paid under the contract. Competitive solicitation of bids may also be used as an alternative procedure where there is a sufficient number of qualified fee personnel available to constitute a competitive environment.

8. Provision shall be made in the agreement for a per diem rate to be paid to the review appraiser in the event court appearances or conferences preparatory thereto become necessary. This contingent cost shall be separate and apart from the fee or the overall limit specified in the agreement for completion of the services covered by the agreement.

9. There shall be no federal reimbursement for compensation paid by an acquiring agency for revision or correction of a review report required by the reviewer's failure to comply with contract specifications and standards in the agreement.

===136.8.11.4.2 Approval of Contract===

As outlined above Fee personnel shall be retained directly by the acquiring agency and required, by written contract, to personally perform the services contracted for, except as hereinafter provided. The applicable MoDOT district office shall monitor and when necessary provide guidance to the agency in its contracting practices to ensure that the (1) contract form substantially complies with requirements of this article, and (2) contract is with a qualified appraiser capable of appraisal review.

A sample contract for contract fee review appraiser is included as [https://epg.modot.org/forms/RW/LPA%20Links/Review%20Appraiser%20Contract%20Form%20136.8.24.docx Form 136.8.24].

==136.8.11.5 Contract Fee Negotiator==

===136.8.11.5.1 General Requirements===

1. Employment of fee negotiators shall be only by written contract.

2. The amount of the fee shall be determined on a parcel basis, and shall not be determined as a percentage of fair market value. The fee shall represent a fair payment for the work performed.

3. Provision shall be made in the contract for a per diem rate to be paid to the negotiator in the event court appearances or conferences preparatory thereto become necessary. This contingent cost shall be separate and apart from the fee on the overall limit specified in the contract for completion of services covered by the contract.

4. Fees may be proposed on an hourly rate plus mileage, but a maximum project total must also be included in the proposal.

===136.8.11.5.2 Approval of Contract===

A sample contract for fee negotiator services is included as [https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Negotiator%20Services%20Agreement%20Form%20136.8.14.docx Form 136.8.14].

As outlined above Fee personnel shall be retained directly by the acquiring agency and required, by written contract, to personally perform the services contracted for, except as hereinafter provided. MoDOT ROW Central Office shall monitor and when necessary provide guidance to the agency in its contracting practices to ensure that the (1) contract form substantially complies with requirements of this article, (2) contract is with a qualified negotiator, and (3) qualified negotiator is on the approved LPA [https://www.modot.org/media/37645 negotiator roster].

Experience in eminent domain negotiations is preferred and strongly recommended. For a list of approved fee MoDOT negotiators see [[236.7 Negotiation|EPG 236.7 Negotiation]].

==136.8.11.6 Contract for Total Right of Way Services==

===136.8.11.6.1 General Requirements===

1. A local agency may elect to obtain fee services for total right of way services or combination of services from qualified contractors.

2. A determination shall be made by MoDOT ROW Central Office that the local agency is not staffed to perform the required services or has not completed the required [https://www.modot.org/lpa-basic-training-class-link LPA Basic Training].

3. The contractor is required to complete the [https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Application%20Employment%20Contract%20Negotiator%20Form%207.8.1.pdf Application for Employment as Contract Negotiation]The qualifications of contractors must be examined by MoDOT ROW Central Office to determine their capability to perform the services to be contracted and be added to the approved [https://www.modot.org/media/37645 LPA negotiator roster].

===136.8.11.6.2 Approval of Contract===

Contact the local MoDOT ROW Central Office for specific instructions.

The contract form for services being contracted shall incorporate all applicable requirements and contract provisions from this article.

==136.8.11.7 Contracting with Engineering Consultants for Right of Way Services==

===136.8.11.7.1 General Requirements===

1. A local agency may provide for right of way services through an engineering contract whereby the engineering firm is adequately staffed with qualified personnel to perform the various right of way functions. The engineering firm may also subcontract for all or part of the right of way functions from qualified sources.

2. The MoDOT district office shall first make a determination that the local agency is not staffed to perform the necessary right of way services. The MoDOT district office shall also determine if the engineering firm is adequately staffed with qualified personnel to perform right of way services or that proposed subcontractors performing these services are qualified.

===136.8.11.7.2 Contract and Subcontract Requirements===

Engineering consultant contracts and subcontractors providing for right of way services shall incorporate all applicable requirements and contract provisions from this article.

===136.8.11.7.3 Approval of Contracts===

As outlined above Fee personnel shall be retained directly by the acquiring agency and required, by written contract, to personally perform the services contracted for, except as hereinafter provided. The applicable MoDOT district office shall monitor and when necessary provide guidance to the agency in its contracting practices to ensure that the (1) contract form substantially complies with requirements of this article, and (2) contract is with a qualified engineering consultant.

=136.8.12 Property Management=

==136.8.12.1 General==

By definition, property management is managing and administering property acquired for construction project purposes so that the public interest is served. The Local Public Agencies (LPAs) are responsible for ensuring adequate control and effective administration of lands and improvements acquired for right of way purposes.

The LPA responsible for property management must handle such activities in a manner consistent with federal and state requirements. The LPAs program should be carried out in a manner that assures the maximum public benefit.

==136.8.12.2 Property Management During the Acquisition Phase==

Just as any privately operated management firm, the acquiring agency is responsible for the preservation of improvements and for the reasonable safety measures relative to the preservation of the acquired property and protection of lawful occupants when it has acquired ownership and possession of property.

Local Public Agencies must maintain an inventory of all improvements acquired, how these improvements are disposed of, an accounting of management expenses and rental receipts received and recovery payments for disposition of improvements and rodent control.

Income from rents received during the acquisition phase of the project, are credited against project costs.

==136.8.12.3 Post-Construction Property Management==

===136.8.12.3.1 Disposal of Property===

Disposal of right of way no longer required in a Federal-aid project after clearance certification requires specific MoDOT approval. Value is to be determined by the appraisal process. Disposition may be by public sale or negotiations depending on the situation. The net proceeds from any disposal must be used on projects eligible for funding under 23 USC.

If uneconomic remnants, were acquired with federal funds participation, the federal share must be refunded when the remnant is sold.

===136.8.12.3.2 Leasing===

'''1. Leasing of Airspace, Land or Right of Way'''

Property located within the right of way lines of a project is considered to be right of way airspace. Federal regulations require that the LPAs charge fair market value for the sale, use, lease, or lease renewals of right of way airspace that was acquired in whole or in part with federal assistance.

Regulations provide for use of airspace for non-highway purposes above, at, or below the highways established grade line. Airspace can be put to both public and private uses such as parks, parking etc. When an agency contemplates use of airspace they must consult with MoDOT district office for guidance. Specific approval from MoDOT is required and rates for leasing airspace are to be determined based upon fair market rental rates.

Net income from funds derived from leasing of airspace are to be used on future Federal-aid projects eligible for funding under 23 USC.

If right of way and/or uneconomic remnants were acquired with federal funds participation, the federal share must be refunded when the remnant is leased.

'''2. Leasing of Excess Right of Way '''

Acquired property located outside of the right of way limits and that is no longer needed in connection with maintaining an existing roadway or for construction of a future project is considered to be excess ROW. Federal regulations require that properties purchased with federal assistance, but not directly need for program purposes, be disposed of as soon as practical. Federal regulations require that the LPAs charge fair market value for the sale or lease of this property.

The LPA will need to obtain MoDOT approval to lease or sell right of way. The LPAs request to MoDOT must explain why the right of way is no longer needed, and include a plan which identifies the right of way to be disposed of, including access control, in relation to the construction features and remaining right of way.

It must be emphasized that the release of access control is a disposal of a property right and must be treated accordingly.

The fair market value is to be determined by the appraisal process. Disposition may be by public sale or negotiations depending on the situation. Net income from funds derived from leasing of airspace are to be used on future Federal-aid projects eligible for funding under 23 USC.

==136.8.12.4 Trail License Agreements==

The permit for work on the right of way that we assume with the programming agreement does not allow for continued use of the right of way. It generally expires at the end of the construction of the project. If there is any permanent structure or trail on the right of way, a Trail License Agreement should be in place. MoDOT needs an agreement in place to protect the Commission for the use that is occurring.

Trail License agreements, Airspace agreements, and Lease agreements put this protection in place by maintaining an insurance requirement. For more information you may view the MoDOT RW policy in [https://epg.modot.org/index.php?title=236.5_Property_Management#236.5.25_Leases_and_Airspace_License_Agreements EPG 236.5.25 Leases and Airspace License Agreements].

This also gives the Central Office Right of Way Section the opportunity to capture the information into their Realty Asset Inventory (RAI) database for maintenance of required inspections and or insurance.

Leases are structured for a five (5) year term (or less when appropriate). Trail License and Airspace agreements are generally structured to be in place for longer than the standard five (5) year Lease.

Trail agreements contain language to prohibit Commission owned property from being converted to 6f or 4f property. This restriction can aid MoDOT in avoiding difficulties later and ensure that state right of way is not considered parkland.

If the trail is going to be built on the interstate system, then FHWA must approve the plans.

Standard Liability insurance is currently set by statute. Please see your district representative for the current limits per individual and per occurrence. If there is a problem securing the current limits of insurance, please discuss it with the MoDOT district RW representative. MoDOT will review the location, risk and liability before signing the Trail License Agreement.

If the trail will be constructed above, below, or around a bridge or similar structure, MoDOT will do a risk evaluation called a Security Assessment Form. This will look at the proximity to vehicle traffic and the general public, and what inherent dangers there are in having the trail in this location.

[[Category:136 Local Public Agency (LPA) Policy|136.08]]

LPA:136.1 Introduction

2022-05-06T18:45:48Z

Bramar12: 5/6/22 updated email.

{|style="padding: 0.3em; margin-left:1px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|colspan="2"|<center>'''Figures'''</center>
|-
|[[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|Fig. 136.1, Project Flowchart for Local Federal-Aid Projects]]
|-
|[[media:136.1.10.1 LPA Planning Process Chart.pdf|Fig. 136.1.1, LPA Planning Process Chart]]
|-
|[[media:136.1.10.2 MoDOT Programming Process Chart.pdf|Fig. 136.1.2, MoDOT Programming Process Chart]]
|-
|[[media:136.1.10.3 Right of Way Process Chart.pdf|Fig. 136.1.3, Right of Way Process]]
|-
|[[media:136.1.10.4 Preliminary Plan Process Chart.pdf|Fig. 136.1.4, Preliminary Plans Process]]
|-
|[[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|Fig. 136.1.5, Final Plans Specifications & Estimate Process]]
|-
|[[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|Fig. 136.1.6, Letting Plans & Contract Proposal Process]]
|-
|[[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|Fig. 136.1.7, Construction Process]]
|-
|[[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|Fig. 136.1.8, LPA MoDOT Agreement Process Chart]]
|-
|[[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|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)

[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).

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 [[#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.

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.

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 [[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:

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, [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.

====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. A certified person in responsible charge must complete training as detailed in [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training]].

====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 [https://epg.modot.org/index.php?title=Category:753_Bridge_Inspection_Rating 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 [[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).

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.

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 [[#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.

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.

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 ([[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]].

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 [[136.8 Local Public Agency Land Acquisition|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 [[136.3 Federal Aid Basics|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 [[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.

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 [[136.11 Local Public Agency Construction|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==

{|style="padding: 0.3em; margin-left:15px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#ffddcc" width="720px" align="center"
|-
|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, 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]]
|-
|[[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]]
|-
|[[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]]
|-
|[[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]]
|-
|[[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"
|-
|[[#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]]
|-
|[[#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]]
|-
|[[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]]
|-
|[[#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]]
|-
|[[#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"
|-
|[[#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"
|-
|<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>
|}]]

====136.1.4.3 Right of Way Process Chart====
[[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>]]

====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>]]

====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>]]

====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>]]

====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>]]

====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>]]

====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>]]

==136.1.5 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.
{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="210px" align="right"
|-
|[[136.13 LPA Policy Changes|'''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.

[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.

===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 LPACOgroup@modot.mo.gov.

===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 [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.

==136.1.6 Contact Information==

A [https://www.modot.org/about-lpacontact-us 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.

[[Category:136 Local Public Agency (LPA) Policy|136.01]]

LPA:136.3 Federal Aid Basics

2022-05-05T21:03:37Z

Bramar12:

{|style="padding: 0.3em; margin-left:1px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|colspan="2"|<center>'''Figures'''</center>
|-
|[[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]]
|-
|[[media:136.3.4.pdf|Fig. 136.3.4, Non-State Bridge Soft Match Credit Program Documentation Checklist]]
|-
|[[media:136.3.16.doc|Fig. 136.3.16, Sample Ordinance]]
|-
|[[media:136.3.17 May 2012.doc|Fig. 136.3.17, Work by Local Forces Proposal]]
|-
|[[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]
|-
|[[media:Fig.136.3.19 Sept 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]]
|-
|[[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]]
|-
|[[media:Fig.136.3.24 2021.docx|Fig. 136.3.24, TEAP Program Application]]
|-
|[[media:Fig.136.3.25.xls|Fig. 136.3.25, TEAP Consultant MOU]]
|-
|[[media:Fig.136.3.26.xls|Fig. 136.3.26, TEAP Project Invoice Form]]
|-
|[[media:Fig.136.3.27.pdf|Fig. 136.3.27, Example of a Soft Match Credit Transfer Request]]
|-
|<center>'''"How To" PowerPoint Tutorial'''</center>
|-
|[[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=overview Federal-Aid Program Overview]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=finance Finance]
|}

==136.3.1 Introduction==

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

We encourage you to refer to the [https://www.modot.org/about-lpacontact-us LPA Contacts] to find the appropriate representative to assist you with this process.

==136.3.2 Federal Aid for Local Public Agencies ==

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

==136.3.3 Finding Appropriate Funds==

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

==136.3.4 Project Selection and Programming==

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

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

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

==136.3.5 STIP/TIP==

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

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

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

==136.3.6 Obligation of Funds==

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

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

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

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

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

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

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

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

==136.3.7 Reasonable Progress Policy==

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

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

===136.3.7.1 Procedures===
The time frames shown represent maximum expected times for implementation approvals and concurrences; schedules will vary depending on project type. Actual progress towards implementation will be measured against the schedule submitted by the LPA.
<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center" width=770
|+
! style="background:#BEBEBE" colspan="4" |Project Development/Implementation Schedule
|-
! style="background:#BEBEBE" colspan="2" |Phase !! style="background:#BEBEBE"|Maximum Cumulative Time Frame !! style="background:#BEBEBE"|Funds Obligated?
|-
|1|| Allocation of Funds || 0 months || No
|-
|2|| Project Programming''' 1, 2'''|| 3 months|| No
|-
|3|| Engineering Services Contract Approval|| 6 months || Yes
|-
|4|| Preliminary and Right of Way Plans Submittal (if applicable)|| 12 months|| Yes
|-
|5||Plans, Specifications & Estimate (PS & E) Submittal|| 18 months|| No
|-
|6||Plans, Specifications & Estimate (PS & E) Approval|| 20 months|| Yes
|-
|7|| Construction Contract Award|| 23 months|| Modified
|-
|8|| Final Certification/Project Closeout''' 3'''|| Variable ||Modified (as needed)
|-
|colspan="4" align="left"|'''1''' The completion of the Project Programming phase is defined by submitting the approved project’s programming data form to MoDOT and the project receiving a federal project number from MoDOT.
|-
|colspan="4" align="left"|'''2''' The evaluation of environmental and cultural impacts on the project must begin immediately after Preliminary Engineering (PE) authorization. The LPA must submit [[media:136.6.4.doc|Fig. 136.6.4 LPA Request for Environmental Review (RER)]] to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects as discussed in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]].
|-
|colspan="4" align="left"|'''3''' The time lapse between construction contract award and project closeout will depend on project type. Final certifications as discussed in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] must be submitted to the appropriate [https://www.modot.org/contact-modot-lpa MoDOT district representative] 60 days after final inspection.
|}</center>

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

===136.3.7.2 Verification of Reasonable Progress===

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

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

===136.3.7.3 Progress Invoices===
The LPA must submit invoices for reimbursement of costs incurred as the work progresses. The invoices may not be submitted more than once every two weeks. Progress invoices must be submitted monthly. The final invoice must be submitted within 30 days of final acceptance. The LPA may use either of the following alternate methods of seeking progress payments:

:1. the LPA pays the contractor/consultant for work performed and then submits a progress invoice for reimbursement; or

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

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

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

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

Consultant services invoices ([[media:136.4.10 2013.xlsx|Fig 136.4.10]]) must be used when submitting for reimbursement from MoDOT. This can be supplemented with [[media:136.3.18 2014.xls|Fig. 136.3.18]] but is not required. For construction invoices ([[media:Fig. 136.11.14.pdf|Fig. 136.11.14]] and [[media:Fig. 136.11.15.pdf|Fig. 136.11.15]]) can be used as an example invoice. A form resembling Fig 136.3.18 must accompany the construction invoice when submitting construction invoices. Items not applicable to the project may be omitted. Special items peculiar to that project should be added. See [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]] for more information on consultant invoicing and [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] for more information on construction invoicing.

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

===136.3.7.4 Prompt Payment Policy===
The Prompt Payment policy ensures that LPAs make progress payments to vendors (consultants, contractors, etc.) in a timely manner as work progresses. The policy has two objectives: (1) ensure that vendors are paid within at least two months of the date on the vendor invoice; (2) ensure the LPA has adequate financial procedures in place to pay vendors in a timely manner.

====136.3.7.4.1 State Law====
The State of Missouri, in [https://revisor.mo.gov/main/OneSection.aspx?section=34.057 section 34.057 RsMO], requires public owners of public works contracts to make progress payments to the contractor on at least a monthly basis as the work progresses, or, on a lump sum basis according to the terms of the lump sum contract. The payment will be based upon monthly estimates prepared by the contractor and approved by the project architect or engineer. ''This requirement applies to ALL projects in Missouri whether it contains federal funds or not.'' This law also discusses retainage of up to five percent of the total contract, but retainage is not allowed to be automatically applied on federal aid projects without a specific project reason per [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.2.1 Retainage (RsMO 34.057)|EPG 136.9.4.1.2.1 Retainage]]. Keep in mind that federal laws supersede state laws if the project has federal funding.

====136.3.7.4.2 Verification of Prompt Payment====
The LPA must submit invoices for reimbursement of costs incurred as the work progresses per [[#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]]. The invoices may not be submitted more than once every two weeks.

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

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

===136.3.7.5 Policy Enforcement===
If a project falls six months behind schedule at any point in its development, without a written explanation provided by the LPA and approved by MoDOT, the LPA and/or MPO will be contacted by MoDOT requesting information as to the cause of the delays. A letter will notify the LPA of the schedule lapse and the possible implications of further delays. The LPA and/or MPO will be required to reply in writing within 30 days of the letter date as to the project status and provide a revised timeline for the project. The LPA will be allowed to reschedule a project one time after MoDOT has programmed a project. Any shifts in subsequent phases of a project caused by that rescheduling (if identified at the time of the rescheduling) will not be considered a separate change.

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

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

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

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

==136.3.8 Programs==
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be approved and programmed. Programming of all projects will be initiated by the LPA by submitting a location map, [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1 Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

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

Warrants for traffic signals, if applicable, shall be checked by the LPA at the time program information is submitted. Installation of signals should not be programmed if current traffic conditions do not warrant as required by the [http://mutcd.fhwa.dot.gov/ ''Manual on Uniform Traffic Control Devices (MUTCD)'']. All traffic signals must follow MUTCD guidelines and meet standards set by the 1990 Americans with Disabilities Act (ADA). See ADA Check list [[media:136.9.4 2015.doc|Fig. 136.9.4]].

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

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

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

The LPA must submit an [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review] (RER) to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects. The RER form is used to determine the NEPA classification for the project and if any further environmental documentation is required. If the project does not qualify for a categorical exclusion (CE) classification, additional environmental documentation will be required (refer to [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]]).

Preliminary engineering authorization will enable the LPA to receive reimbursement for charges incurred for preliminary engineering and miscellaneous right of way charges, such as title search and preliminary right of way estimates necessary to determine a proper location and design. Approvals for right of way acquisition must be acquired separately from the preliminary engineering authorization. Right of way acquisition should be in accordance with [[LPA:136.6 Environmental and Cultural Requirements|EPG 136.8 Local Public Agency Land Acquisition]].

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

===136.3.8.1 Highway Bridge Program (HBP)===

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

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

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

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

The funds will be administered according to the following:

:1. The current transportation bill requires at least 15% of the state's total bridge appropriation in fiscal year 2009 be allocated for use on off-system bridges (BRO). The Missouri Highways and Transportation Commission approves the amount of funds allocated to this program. Off-system bridges are bridges located on roads functionally classified as a local road or street and rural minor collectors.

:2. BRO funds allocated to the counties are based on the ratio of the replacement cost of the square footage of deficient bridge deck in the county to the replacement cost of the square footage of deficient bridge deck in all counties of the state. A compilation of [https://www.modot.org/media/31264 MoDOT BRO & Soft Match Credit Balances] by county is available.

:3. BRO funds may be programmed by counties for future projects. If the county does not have a sufficient balance of off-system bridge funds, they may borrow up to three years of future allocations for preliminary engineering or one year of future allocation for construction costs.

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

:1. Emergency Project - When a bridge has fallen down or washed out and is essential for travel in the area, MoDOT will consider allowing the county to exceed its amount of available funds by more than the guidelines.

:2. County Receives Small Allocation - Some counties do not receive enough allocation to reasonably finance a bridge project. Some allowance may be made for these counties to exceed the guidelines.

====136.3.8.1.1 Project Eligibility and Selection====
Project selection is the prerogative of the LPA. MoDOT personnel will be available to advise and assist in project estimating and selection, if desired. LPAs located within an MPO boundary are required to submit their project selection to the MPO for review and approval. The following listing includes the type of eligible bridge projects that may be selected by the LPA:

:1. Replacement or full rehabilitation of eligible structures from the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list].

:2. Seismic retrofitting of deficient as well as non-deficient bridges is [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible for funding]. The design of seismic improvements or retrofits shall follow applicable AASHTO and current [http://www.fhwa.dot.gov/ FHWA] publication guidelines. The reasonable costs of associated structural repairs, which are considered necessary or economically prudent for properly accomplishing the seismic retrofit are also considered eligible.

:3. Projects involving the application of paint overcoat systems, or the complete blast cleaning and repainting of the structural steel are considered eligible. The reasonable costs of structural repairs considered necessary or economically prudent to properly accomplish the repainting or overcoat project are considered to be participating.

:4. Installation of scour countermeasures to protect an existing bridge is eligible.

:5. Preventive maintenance activities may be eligible for funding if the LPA has in place a systematic process such as a Bridge Management System which demonstrates the cost effectiveness of extending the service life of their bridges. This systematic process must previously have been reviewed and approved by FHWA. Preventive maintenance activities include those that preserve bridge components and extend the useful service life of the bridge. These activities would typically be performed on a bridge in good condition in order to keep it in good condition. Increasing the capacity of a structure is not considered a preventive maintenance activity. Although not all-inclusive, below are the two basic types of preventive maintenance and examples of acceptable activities:

::a. Systematic Servicing Bridges on a Scheduled Basis: Generally includes cleaning decks; beam seats, beam caps and salt splash zones; cleaning drainage systems; cleaning expansion joints; cleaning and lubricating expansion bearing assemblies; sealing concrete decks or substructure elements.

::b. As Needed Preventive Maintenance: Generally includes resealing expansion joints; spot painting of steel members; minor structural repairs, removing debris from channel; replace wearing surface; extending or enlarging deck drains. To be eligible for preventive maintenance funding, the LPA must establish a preventive maintenance plan and obtain approval from MoDOT.

:6. Projects involving the application of calcium magnesium acetate, sodium acetate/format, or other environmentally acceptable, minimally corrosive anti-icing and de-icing compositions to a bridge are considered eligible for structures on the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list].

:The bridge to be replaced or rehabilitated must be on the eligible bridge list for funding. The eligible bridge list is compiled from the most recent submittal of Missouri’s National Bridge Inventory data to FHWA and determined by ratings whether the bridge is considered eligible for replacement (full funding) or only rehabilitation (partial funding); based on the existing inventory and inspection data. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed the new replacement structure will provide a better value than the rehabilitation of the existing structure. The proposed rehabilitation work should eliminate the items that caused the bridge to be identified as deficient unless the proposed deficient item may remain based on MoDOT’s approval. Refer to [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]] for additional information.

:New guidance on the eligibility of low water crossings will be coming soon.

:For bridge rehabilitation and replacement projects, the bridge site will not be eligible for selection to use HBP funding if the structure was replaced or had a major rehabilitation within 10 years of the planned new construction date. The FHWA 10-year rule applies regardless of the source of funds (local, state, federal, etc.) that were used to replace or reconstruct the bridge.

====136.3.8.1.2 Project Programming====
Once a bridge has been selected for programming, the LPA should contact their MoDOT Representative to initiate project programming by completing a [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1 Programming Data Form]]. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form. This form, with a letter signed by the LPA's officials requesting the project to be programmed, will initiate a series of checks by MoDOT to review eligibility.

To receive federal funding, proposed design improvements listed on the Programming Data form or TIP application must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

===136.3.8.2 Surface Transportation Block Grant (STBG)===

'''Background and Funding'''

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

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

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

====136.3.8.2.1 STBG Eligible Activities, Set Asides and Sub-Allocations====
Funds are traditionally authorized by Congress for several years under a single transportation bill, but are apportioned annually for a single year to the state. In Kansas City, Springfield and St. Louis, the distribution of funds is determined by the TMA through coordination with the LPAs within the TMA boundary.

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

The funds are administered according to the following:

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

====136.3.8.2.2 Project Eligibility and Selection====
For projects involving roadway improvements eligible for selection under the STBG program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Off-System Bridge funding.

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

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

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

:1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list] for HBP funding.

:2. Seismic Retrofitting as described in [[#136.3.8.1 Highway Bridge Program (HBP)|EPG 136.3.8.1 Highway Bridge Program (HBP)]].

:3. Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (HBP).

:4. Complete upgrade of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]]. Project must address safety of both bridge railing and related approach roadway guardrail features.

:5. Projects to correct identified operational and/or condition problems with any existing bridge.

:6. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).

:7. New bridge construction required for construction of new approved corridors of federal-aid system routes.

:8. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.

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

:10. The construction of bicycle trails and pedestrian walkways on the highway right of way is eligible for federal participation, either as an integral part of a construction project or as an independent project and is not subject to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification] requirements. For further information, refer to [[:Category:641 Bicycle Facilities|EPG 641 Bicycle Facilities]] and [[:Category:642 Pedestrian Facilities|EPG 642 Pedestrian Facilities]].

For additional guidance on eligible activities for STBG funds, refer to [http://www.fhwa.dot.gov/Fastact/factsheets/stbgfs.cfm FHWA's Fact Sheet].

===136.3.8.3 Transportation Alternatives Program (TAP)===

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

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

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

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

====136.3.8.3.1 Project Eligibility and Selection====
For purposes of MoDOT administered TAP funds, which includes all rural and urbanized areas with a population less than 200,000; whether proposed as an independent project or as an element of a larger transportation project, the TAP project must be limited to a logical unit of work and be constructible as an independent project. Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. MoDOT administered TAP funds may be used for the following:

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

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

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

====136.3.8.3.2 Project Programming====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs that are in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

===136.3.8.4 Bridge Engineering Assistance Program (BEAP)===
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|If you have any questions or comments regarding EPG 136.3.8.4 BEAP, please contact '''David Koenig''' at 573-526-0556 or by e-mail at David.Koenig@modot.mo.gov; or '''Jamey Laughlin''' at 573-526-5167 or by e-mail at James.Laughlin@modot.mo.gov; or '''Gabe Wolken''' at 573-526-4804 or by email at Gabriel.Wolken@modot.mo.gov.
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The Bridge Engineering Assistance Program (BEAP) allows local public agencies to receive engineering assistance for bridges when they do not have their own engineering staff.

====136.3.8.4.1 Purpose====
The hydraulic and structural adequacy of bridges on the local road system is a major concern to the local public agencies of Missouri. Local public agencies should conduct effective bridge evaluations to determine priorities for maintenance, rehabilitation and replacements. Many of these local public agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct effective bridge evaluations or determine bridge maintenance and repair priorities.

As a result, the [https://www.modot.org/missouri-highways-and-transportation-commission-0 Missouri Highways and Transportation Commission] has developed the BEAP program to provide Missouri’s local public agencies with the assistance necessary to complete bridge engineering studies.

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

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

====136.3.8.4.2 Personnel====
The structural and hydraulic engineering expertise necessary to provide this assistance to the local public agencies and their political subdivision will be provided from a pool of pre-qualified engineering consultants. The consultant firms selected for the pre-qualified pool will be required to use engineering personnel having a background that includes bridge inspection, bridge design experience, familiarity with developing bridge maintenance priorities and low cost bridge improvements. (See [[media:Fig.136.3.19 Sept 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]]).

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

====136.3.8.4.3 Administration====
The local implementation of this program is under the immediate direction of MoDOT's District Engineer, with coordination of the statewide consultant contract and technical policy interpretation being provided by the Bridge Division. The statewide contract is normally in effect for a three year period, after which time it may either be extended for an additional year or a new solicitation completed to develop a new list of pre-approved consultants

A local public agency experiencing a bridge problem and desiring to use the services of this program need merely inform the district personnel in that particular area and/or contact an approved consultant for assistance in developing a project to address these conditions. The district's authorized representative or the local public agency will discuss the bridge problem with the consultant so that they can prepare a fee estimate and submit the BEAP Project Tracking Form for further eligibility review by the district office and Bridge Division. (For an electronic copy of this form, see [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].)

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

====136.3.8.4.4 Funding and Authorized Costs====
The services of the program are generally provided free of direct costs to requesting, eligible local public agencies in Missouri through the cooperation of the Missouri Department of Transportation and the Federal Highway Administration. However, local public agencies are expected to provide active assistance to the consultant during the project. Eligibility is based on the local public agency not having personnel with sufficient engineering expertise to conduct effective bridge evaluations and develop immediate structural repair procedures and details.

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

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

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

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

====136.3.8.4.5 General Process for a BEAP Study====
The local public agency identifies a bridge problem that they desire to utilize the BEAP program for. The local public agency will either directly contact one of the consultants on the pre-approved listing to discuss the bridge problem or contact the district office for information and assistance on using this program. After being notified of the bridge problem, the consultant will fill out the BEAP Project Tracking Form and submit it electronically to the district office for review. The district office will review the proposed project and then forward it to Bridge Division for their review and approval of the study. After the notice to proceed is given, the consultant will perform the study in accordance with the information provided on the BEAP Project Tracking Form. The consultant shall submit a draft electronic copy of the report to the Bridge Division and district office for review and approval. The Bridge Division will review the report, consult with the district office as needed, and provide the consultant with feedback on any desired changes to the report. Once any changes/updates to the report have been completed, a finalized copy of the report shall be submitted to the local public agency, the district office and Bridge Division. The finalized copy of the report may be submitted electronically to all of the involved parties and shall be signed and sealed by a professional engineer registered in the state of Missouri.

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

====136.3.8.4.6 Local Public Agency Responsibilities====
The local public agency is responsible for identifying the bridge problem that they need assistance on and initiating the request for assistance either through the consultant or through the district office. When the BEAP study involves a structure not on the National Bridge Inventory, the local public agency shall provide the consultant with some general pictures of the structure along with a location of the structure to aid them in the development of their cost proposal. The local public agency should provide any assistance needed to the consultant during the BEAP study. Examples of the types of assistance include but are not necessarily limited to traffic control, site access, and trucks or equipment for load testing. After completion of the study, the local agency should perform the work as specified in the report and then notify the district office once this work is completed.

====136.3.8.4.7 Consultant Responsibilities====
The services made available under this program are intended for the review of existing bridges where definite needs exist. It is anticipated these reviews can be performed in 60 or fewer total person hours per bridge. Time spent developing the proposed BEAP study will not be eligible for reimbursement. The consultant is allowed to perform BEAP studies in any part of the state. If the consultant has multiple office locations, it is expected they would utilize personnel from the office closest to the bridge site so as to minimize the travel related costs for the study, including personnel time.

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

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

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

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

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

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

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

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

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

====136.3.8.4.8 MoDOT District Responsibilities ====
'''1.''' Advise the local public agencies within the district of the pre-qualified list of consultants and that they may select any of the firms on this list to perform the study.

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

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

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

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

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

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

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

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

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

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

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

====136.3.8.4.9 MoDOT Bridge Division Responsibilities====
'''1.''' Provide contract administration for the program.

'''2.''' Provide technical policy interpretation for the program.

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

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

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

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

===136.3.8.5 Traffic Engineering Assistance Program (TEAP)===

====136.3.8.5.1 Introduction====
The Traffic Engineering Assistance Program (TEAP) allows local public agencies (LPA) to receive engineering assistance for traffic related needs . LPAs facing a traffic safety or operational challenge can utilize the LPA On-Call Consultant List (see [[#136.3.8.5.7 Engineering Consultants|EPG 136.3.8.5.7 Engineering Consultants]]) to perform a traffic study. The [https://www.modot.org/lpa-call-list LPA On-Call Consultant List] is available. Typical studies may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies. The program is administered by MoDOT with funds coming from MoDOT and the LPA (see [[#136.3.8.5.5 Funding|EPG 136.3.8.5.5 Funding]]).

====136.3.8.5.2 Purpose====
The safe and efficient flow of traffic and the safety of pedestrians and bicyclists can be concerns to the local public agencies of Missouri. These public agencies should conduct accurate and timely traffic studies to determine effective countermeasures for these concerns. Many local agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct expert traffic engineering studies.

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

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

====136.3.8.5.3 Eligibility and Project Selection====
The services of this program are used for locations on public roads under the jurisdiction of LPAs but located off the state system. TEAP services are not intended to duplicate services already available to LPAs through MoDOT. If a local road adjoins the state system and is part of a TEAP application, the appropriate MoDOT District Traffic Engineer must grant approval of TEAP funds and ensure no duplication of funds. TEAP funds are not intended for design type projects but rather projects that are more geared towards an engineering study or analysis that may result in a design type project in the future. Examples of eligible projects may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies.

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

:*''' "Engineering Resources"''' refers to the local agency's own staffing resources. Agencies with little or no traffic engineering resources will be rated higher than agencies with their own traffic engineering resources.

:*''' "Safety"''' refers to the degree to which traffic safety is addressed via the project.

:*''' "Congestion"''' refers to the degree to which traffic congestion is addressed via the project.

:*''' "Innovation"''' refers to countermeasures being considered (roundabouts, flashing yellow arrow, j-turns, prismatic sheeting, etc.).

:*''' "Implementation"''' refers to the probability of the local agency following through with changes as a result of the project.

:*''' "Value"''' refers to the overall gain the project could offer compared to the total cost.

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

====136.3.8.5.4 TEAP Process and Timeline====
The general process for TEAP starts in the fall of each year with a call for projects. The LPA will produce a project application ([[media:Fig.136.3.24 2021.docx|Fig. 136.3.24, TEAP Program Application]]) and submit it to the appropriate MoDOT District Office. MoDOT will evaluate and score each application and make a final selection. MoDOT's review team will then notify the LPA the project has been selected and enter into a Programming Agreement with the LPA. The LPA is given authorization to select a consultant from the "Traffic Engineering & TEAP" category of the [https://www.modot.org/lpa-call-list LPA On-Call Consultant List]. The LPA must then execute an Engineering Services Contract (see Fig. 136.4.1 Engineering Services Contract) with the consultant and give the consultant a notice to proceed. The consultant will then begin work and finish the scope and all invoicing prior to the end of the particular federal fiscal year.
[[image:136.3.8.11.4.jpg|center|745px]]

====136.3.8.5.5 Funding====
Federal Highway Safety Funds (HSP), Technology Transfer (TT) Funds, and LPA Funds are used to fund the program. Payments to the consultant for the services of this program are generally provided at an 80/20 split. The HSP and TT Funds are administered by MoDOT and will provide 80% of the TEAP project cost, up to $12,000 per project. Funds from the LPA will be used for the remaining 20% of expenditures. However, if the total project cost is greater than $15,000, the LPA can pay more than 20% to complete the TEAP project if desired as shown in Example #1.

:'''Example #1: '''

::Total Project Cost: $20,000

::Federal Funds: $20,000 x .80 = $16,000 BUT the max is $12,000

::LPA: $20,000 x .20 = $4,000 (Plus the overage of $4,000 of the HSP/TT Funds) = $8,000

:'''Example #2: '''

::Total Project Cost: $5,000

::Federal Funds: $5,000 x .80 = $4,000

::LPA: $5,000 x .20 = $1,000

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

It is the responsibility of the LPA to invoice and secure payment for the TEAP project. Invoices for 80% of the project cost should be sent to MoDOT for payment by emailing LPASubmit@modot.mo.gov or mail a hard copy invoice to:
:Attn: MoDOT Design Division
:TEAP
:105 W Capitol Ave
:Jefferson City MO 65102.

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

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

====136.3.8.5.6 Administration====
The direction of this program will be under the jurisdiction of MoDOT’s Local Program Administrator. Questions can be directed to MoDOT district staff or MoDOT Local Program staff. [http://www.modot.org/business/lpa/contacts.htm MoDOT’s Local Program website] outlines all contact information.

====136.3.8.5.7 Engineering Consultants====
An LPA must choose a consultant from the [https://www.modot.org/lpa-call-list LPA On-Call Consultant List] – Traffic Category, to perform TEAP engineering services. The consulting firms selected from the list will be required to use engineering personnel having a background in traffic engineering with actual traffic engineering field experience on state, county or city roadway projects.

====136.3.8.5.8 Responsibilities====
=====136.3.8.5.8.1 LPA Responsibilities=====
:: Identify need
:: Initiate request for TEAP assistance
:: Choose a prequalified consultant from the Traffic Category in the LPA On-call Consultant List
:: Provide assistance to consultant during the course of the project (examples are traffic control, traffic counts, assisting in any physical measurements needed.)

=====136.3.8.5.8.2 Consultant Responsibilities=====
Below is a list of available consultant scopes of work. This list is not intended as a complete list and is only a suggested list of what studies a traffic engineering consultant may be called upon to perform.

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

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

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

===136.3.8.6 Eastern Federal Lands Access Program (FLAP)===
The [https://flh.fhwa.dot.gov/programs/flap/ Federal Lands Access Program] was established to improve transportation facilities that provide access to, are adjacent to, or are located within Federal lands. The Access Program supplements state and local resources for public roads, transit systems, and other transportation facilities, with an emphasis on high-use recreation sites and economic generators. Eligible project activities include: capital improvements, enhancements, surface preservation, transit, planning, research and safety.

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

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

===136.3.8.7 Transportation Investment Generating Economic Recovery (TIGER)===
The Transportation Investment Generating Economic Recovery, or TIGER Discretionary Grant program, provides a unique opportunity for the DOT to invest in road, rail, transit and port projects that promise to achieve national objectives. A minimum of 20 percent of funds go to projects in rural areas.

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

===136.3.8.8 Congestion Mitigation and Air Quality (CMAQ)===
====136.3.8.8.1 Background and Funding====
The CMAQ Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) to assist cities in attaining federal air quality guidelines. Funds are distributed to states based on weighted non-attainment and maintenance area population. Legislation authorizes the expenditure of CMAQ funds on projects with a documented emissions reduction associated with them and are available for use only in non-attainment and maintenance areas, or as determined by federal law for ozone and particulate matter pollution. In Missouri, the CMAQ Program is limited to the Kansas City and St. Louis metropolitan areas. Typical activities include revisions and installation of traffic signals, signal timing optimizations, developing transportation management systems, public transportation facilities, and activities to encourage car pooling and van pooling.

====136.3.8.8.2 Project Eligibility and Selection====
Projects eligible for selection using CMAQ funds must indicate the project will have a demonstrated effect on reducing emissions.

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

For additional guidance on eligible activities for CMAQ funds, refer to [http://www.fhwa.dot.gov/map21/factsheets/stp.cfm FHWA's MAP-21 Fact Sheet].

====136.3.8.8.3 Project Programming ====
=====136.3.8.8.3.1 Roadway Type Projects=====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

=====136.3.8.8.3.2 Non-Infrastructure Projects=====
Prior to the purchase of any item or charging any work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting a copy of the TIP application to MoDOT.

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

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

===136.3.8.9 Multimodal Programs===
The MoDOT [http://www.modot.org/Multimodal/index.htm Multimodal Operations] is responsible for supporting alternative transportation programs within the state. These programs aim to advance the strategic planning and implementation for aviation, rail, transit, waterways and freight development.

====136.3.8.9.1 Aviation====
MoDOT administers federal and state funding for airport maintenance and capital improvements. Financial assistance is available through state and federal programs. Visit [https://www.modot.org/aviation-general-information MoDOT Aviation] for additional information about aviation programs.

====136.3.8.9.2 Freight====
MoDOT’s Freight Enhancement Program is focused on improving and maintaining the high priority freight assets and corridors that are critical to the movement of freight into, out of, and through Missouri. To learn more, visit [https://www.modot.org/freight-general-information Missouri’s Freight program] online.

====136.3.8.9.3 Rail====
The Railroad Section of the Multimodal Division partners with Amtrak and works to improve railroad safety. They oversee public highway-railroad crossings, and inspection of railroad infrastructure as it relates to track , grade crossing signals and operating practices of each railroad. To learn more about the railroad program at MoDOT, contact [https://www.modot.org/railroads-general-information Multimodal Rail Division].

====136.3.8.9.4 Transit====
MoDOT’s Transit Section provides financial and technical assistance to public transit and specialized mobility providers statewide. There are state and federal funding programs available for transit agencies. For a full list of funding opportunities, visit [https://www.modot.org/transit-general-information MoDOT’s Transit website].

====136.3.8.9.5 Waterways====
MoDOT’s Waterways Section assists authorized cities and counties in forming port authorities to foster local economic development. MoDOT assists in the development of port authorities through the distribution of capital and administrative funding while championing the efficiencies of waterborne transportation to industry and the general public. To learn more, visit [https://www.modot.org/waterways-general-information MoDOT’s Waterways website].

====136.3.8.9.6 Bike-Pedestrian====
The Missouri Highways and Transportation Commission approved the creation of the Bicycle and Pedestrian Advisory Committee in 1998. The committee members represent constituencies from across Missouri, including various divisions and districts of MoDOT, other state agencies, Metropolitan Planning Organizations (MPO), local governments and bicycle and pedestrian advocacy groups. There are numerous funding opportunities through Surface Transportation Block Grant (STBG) for bike and pedestrian accommodations either as independent projects or as part of a larger traditional roadway improvement. See [[#136.3.8.1 Highway Bridge Program (HBP)|EPG 136.3.8.1 Highway Bridge Program]] for additional information about funding opportunities.

===136.3.8.10 Scenic Byways===

====136.3.8.10.1 Background and Funding====
The National Scenic Byways Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). Funds were distributed to states based on competitive applications. Scenic Byways funds were available for projects on routes designated as state scenic byways.

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

====136.3.8.10.2 Project Eligibility and Selection====
Typical project activities include, but are not limited to, safety improvements; construction of facilities for use of pedestrians and bicyclists, such as rest areas, turnouts, overlooks and interpretive facilities; access improvements to recreational areas; protection of historical and cultural resources; tourist information and marketing plans. For additional information on the Scenic Byway program, please visit https://www.modot.org/scenic-byways. Table 136.3.8.8.2 lists the approved Missouri Scenic Byways.

<center>'''Table 136.3.8.10.2 Approved Missouri Scenic Byways '''

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! width="400" style="background:#BEBEBE"|Name of Scenic Byway
|-
|align="left"|[http://www.byways.org/explore/byways/2178/ Cliff Drive]
|-
|align="left"|[http://byways.org/explore/byways/2588 Crowley's Ridge Parkway]
|-
|align="left"|[http://byways.org/explore/byways/71755 Historic Route 66 Byway]
|-
|align="left"|[http://byways.org/explore/byways/2279 Little Dixie Highway of the Great River Road]
|-
|align="left"|[http://www.byways.org/explore/byways/64976/ Old Trails Road]
|-
|align="left"|[http://www.byways.org/explore/byways/73303/ Ozark Mountain High Road]
|-
|align="left"|[http://www.byways.org/explore/byways/64978/ Ozark Mountain Parkway]
|-
|align="left"|[http://www.byways.org/explore/byways/73302/ Sho-Me Santa Fe Trail]
|-
|align="left"|[http://www.byways.org/explore/byways/73301/ Spirit of Kansas City]
|-
|align="left"|[http://www.byways.org/explore/byways/73304/ Stars and Stripes Historical/Cultural Byway]
|}
</center>

====136.3.8.10.3 Project Programming====
For information on the programming of a Scenic Byway project, please visit https://www.modot.org/scenic-byways.

===136.3.8.11 Earmarks/Discretionary (Federal Awards)===
====136.3.8.11.1 Background and Funding====
The current transportation act includes funding for Earmarks / Discretionary Programs. Some funds are subject to obligation limitation which limits the amount funds available for the project.

====136.3.8.11.2 Project Eligibility and Selection====
Funding is allocated by project annually via a competitive application process. Additional information can be found at http://www.fhwa.dot.gov/discretionary/.

====136.3.8.11.3 Project Programming====
For information on the programming of an Earmarks / Discretionary project, please contact your [http://contribute.modot.mo.gov/business/manuals/LPAcontacts.htm MoDOT district representative].

===136.3.8.12 Discontinued Programs ===
The list of programs that follows have been discontinued either by the direction of the Missouri Highways and Transportation Commission or because they are no longer available through the FAST Act Transportation Bill. Some of these programs have been consolidated into the Surface Transportation Block Grant (STBG). LPAs who are current recipients of these funds shall follow the guidelines as prescribed when the funds were awarded.

====136.3.8.12.1 Surface Transportation (STP) Small Urban ====
On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the Small Urban Surface Transportation Program (STP-SU). The STP-SU program has not been required by a federal transportation bill since 1991. The MHTC decided to discontinue funding of this program in fiscal year 2017.

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

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

=====136.3.8.12.1.1 Background and Funding=====
The STP-Urban Program has been authorized for all cities with a population of over 5,000 beginning with Fiscal Year 1974 till 2016 when the program was discontinued. The term "urbanized area" means an area so designated by the Bureau of Census having an urban cluster population of 50,000 or more with boundaries to be fixed by responsible state and local officials in cooperation with each other and subject to approval of the Federal Highway Administration (FHWA). Such boundaries shall as a minimum encompass the entire corporate limits of the urban area.

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

The funds will be administered according to the following:

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

=====136.3.8.12.1.2 Project Eligibility and Selection=====
For projects involving roadway improvements to be eligible for selection under the STP-Urban program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Highway Bridge Program (HBP) funding.

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

Prior to submitting the projects to MoDOT for programming, the LPA should submit a location sketch of the proposed project and ensure the route has the proper [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification]. For cities that are part of a MPO, the project must be on the TIP.

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

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

:1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from MoDOT's eligible list for HBP funding.
:2. Seismic Retrofitting as described in [[#136.3.8.1 Highway Bridge Program (BRO & BRM)|EPG 136.3.8.1 Highway Bridge Program (BRO & BRM)]]. Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (BRO & BRM).
:3. Complete upgrading of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in [[LPA:136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]]. Project must address safety of both bridge railing and related approach roadway guardrail features.
:4. Projects to correct identified operational and/or condition problems with any existing bridge are generally eligible.
:5. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).
:6. New bridge construction required for construction of new approved corridors of federal-aid system routes.
:7. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.

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

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

=====136.3.8.12.1.3 Project Programming=====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

====136.3.8.12.2 Highway Bridge Program On-System Bridge (BRM)====
On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the On-system Bridge Program (BRM). The BRM program is not required under the FAST Act and as a result the MHTC discontinued funding of this program in fiscal year 2017.

'''Large Urban Program'''

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

'''Small Urban Program'''

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

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

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

====136.3.8.12.3 Transportation Alternatives Program (TAP)====

=====136.3.8.12.3.1 Background and Funding=====
MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The TAP replaces the funding from pre-MAP-21 programs including Transportation Enhancements, Recreational Trails, Safe Routes to School, and Scenic Byways, wrapping them into a single funding source.

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

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

=====136.3.8.12.3.2 Project Eligibility and Selection=====
Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. Transportation alternatives funds may be used for the following:

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

In addition to defined Transportation Alternatives (as described above), the following projects or activities are eligible:
:* The recreational trails program.
:* The safe routes to school program.
:* Planning, designing or constructing boulevards and other roadways largely in the right-of-way of former Interstate System routes or other divided highways.

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

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

Eligible project sponsors are defined in [[LPA:136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]].

=====136.3.8.12.3.3 Project Programming=====
For information on the programming of a Transportation Alternatives project please refer to [https://www.fhwa.dot.gov/fastact/factsheets/transportationalternativesfs.cfm Transportation Alternatives Program (TAP) Guidance].

====136.3.8.12.4 Transportation Enhancement (TE)====
=====136.3.8.12.4.1 Background and Funding=====
The STP-Enhancement Program began in in 1992 with the passage of Intermodal Surface Transportation Efficiency Act (ISTEA) and was continued, with few adjustments, through SAFETEA-LU till 2012. The TE program offered states different options to enhance their transportation system. All levels of government had the opportunity to plan and develop intermodal transportation systems (various forms of transportation that are integrated and interconnected) tailored to their specific needs. Federal requirements concerning STP Enhancements are quite extensive. For information on the selection and programming of a Transportation Enhancement project, please contact your local MoDOT representative. At least 10% of the Surface Transportation Program funds were allocated towards transportation enhancement activities.

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

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

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

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

=====136.3.8.12.4.2 Project Eligibility and Selection=====
Enhancement projects are over and above what is considered routine construction or maintenance. Transportation enhancement funds may be used in the following categories:

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

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

====136.3.8.12.5 Safe Routes to School (SRTS)====
=====136.3.8.12.5.1 Background and Funding=====
The federal-aid Safe Routes to School Program (SRTS) was created by SAFETEA-LU. Funds were distributed to states based on total school enrollment in primary and middle schools (grades K-8). The funds were available for infrastructure and non-infrastructure projects that benefit elementary and middle school children.

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

=====136.3.8.12.5.2 Project Eligibility and Selection=====
Typical infrastructure project activities include but are not limited to construction or replacement of sidewalks and cross walks or traffic flow modifications. Non-infrastructure projects may be educational activities to teach community members the rules and regulations of biking or walking in or with traffic as well as local law enforcement monitoring around the school. For information on the eligibility and selection of a SRTS project, please contact your local MoDOT representative.

=====136.3.8.12.5.3 Project Programming=====
MoDOT is not programing designated SRTS funding at this time. SRTS activities have been consolidated into STBG under the FAST Act. For information on the programming of an SRTS project, please contact your local MoDOT representative.

==136.3.9 Local Match Guidelines==

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

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

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

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

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

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

==136.3.10 Bridge Soft Match Credit==

===136.3.10.1 Background===
Federal regulations originating in Section 123(e) of the 1987 Surface Transportation and Uniform Relocation Assistance Act (STURAA) provides that agencies (state, county, or city) may receive soft match credit for the cost of a locally funded bridge replacement or rehabilitation that would count toward the local match on federally funded bridge replacement projects. It is not the intent of the program to give credit for all bridge work that is done by the LPA, but only for the eligible replacement and rehabilitation work which is performed according to the appropriate guidelines.

The bridge being replaced or rehabilitated for which the agency desires credit must meet the contractual requirements of the LPA and the MoDOT intent of the [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]].

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

The design drawings shall be prepared under the direction of a registered professional engineer and be signed and sealed by that engineer. By signing and sealing the drawings, the engineer of record will be representing that the MoDOT intent of the HBP has been met in accordance with the criteria set forth in [[136.1 General#136.1.6.1 Highway Bridge Program|EPG 136.1.6.1 Highway Bridge Program]]. A registered professional engineer shall direct the construction inspection.

===136.3.10.2 Project Eligibility===
To be eligible for credit, the bridge that is being submitted must meet all of the requirements listed below.

:1. The bridge must have been on MoDOT’s list of [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm structures that were eligible for federal bridge funds] for the year that the bridge was built.

:2. The bridge must be on a route with a [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification] of rural local, urban local or rural minor collector.

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

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

===136.3.10.3 Eligible Costs for Bridge Soft Match Credit===
An agency may receive credit for no more than 80% of the eligible costs. The items that are eligible for receiving credit include preliminary engineering services, surveys, environmental and cultural documentation, subsurface investigations, right of way services, bridge construction, minimal road construction, construction engineering for inspection, and those portions of utility relocation costs for which the county is obligated.

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

:1. Community Development Block Grant Funds if authorized by the Department of Housing and Urban Development

:2. Local Public Works Funds authorized by the Economic Development Administration.

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

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

===136.3.10.4 Final Design===
On projects for which credit is desired, the engineer of record shall have the responsibility for the selection of the specific design parameters along with verifying that the MoDOT intent of the [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]] is being met as described and given in [[136.1 General|EPG 136.1 General]] and [[136.7 Design#136.7.2.2.5 Preliminary Design|EPG 136.7.2.2.5 Preliminary Design]].

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

:1. Applicable federal clearances and permits have been obtained as outlined in [[136.6 Environmental and Cultural Requirements#136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations|EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations]].

:2. Applicable state clearances and permits have been obtained as outlined in EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations.

:3. Coordination was done with local utilities when the project involved the disturbance or relocation of utilities.

:4. Coordination was done with railroads when the project involved structures over railroads.

:5. Coordination was done with local levee and drainage districts when the project involved the disturbance of drainage or flood control structures under the control of these local districts.

:6. New bridge cannot be scour critical.

The specifications and job special provisions for the project shall also be determined by the engineer based on specific site conditions and guidance given in [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

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

===136.3.10.5 Construction Letting===
The Federal Aid contract requirements of [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] are not required. When the LPA elects to build the project by contractor, then the State and Local requirements for competitive bidding shall be used.

===136.3.10.6 Construction===
The federal requirements for construction in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] may be waived. The construction inspection, testing and sampling shall be done under the direction of a registered professional engineer.

===136.3.10.7 Request for Credit Submittal===
Requests for Bridge Soft Match Credit on a bridge project are submitted after the bridge has been built and opened to traffic. Submittal at the PS&E stage of the project is not necessary. However, if the engineer of record or the LPA has specific eligibility questions regarding the project that they would like MoDOT to address before construction, then contact MoDOT’s Bridge Division. Specific questions should be provided by the engineer of record or the LPA on their cover letter with the submitted package.

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

====136.3.10.7.1 Information/Certifications on LPA Cover Letter====
:1. The cover letter should indicate the beginning date and the completion date for the construction on the credit project.

:2. The LPA shall certify that the project is non-controversial. For the purpose of the Bridge Soft Match Credit program, “non-controversial” will be defined as meaning that the project does not have a history of litigation, disputes, negative media reports or any other controversy.

:3. The LPA shall certify that the project has been built in accordance with the standards applicable to [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|the Highway Bridge Program (HBP)]], except as noted in [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]], and that the project was constructed substantially in conformity with the plans and specifications.

:4. The LPA or the engineer of record shall provide certification that the costs claimed for the project, provided as a deliverable in EPG 136.3.10.7.2, are the actual costs incurred for the project.

====136.3.10.7.2 Deliverables Provided by LPA====
:1. As built plans and specifications (size 11 in. x 17 in.), signed and sealed by the engineer of record and approved by the LPA. Refer to [[136.7 Design#136.7.2.2.6.2 Plan Information|EPG 136.7.2.2.6.2 Plan Information]] for specific requirements.

:2. Structural Inventory and Appraisal sheet (SI&A), completed for the project bridge and signed and sealed by the engineer of record. Refer to [[136.7 Design#136.7.2.2.6.3 Structure Inventory and Appraisal Sheet|EPG 136.7.2.2.6.3 Structure Inventory and Appraisal Sheet]] for specific requirements.

:3. Load rating calculations including a load rating summary sheet, signed and sealed by the engineer of record. Refer to [[136.7 Design#136.7.2.2.6.4 Load Ratings|EPG 136.7.2.2.6.4 Load Ratings]] for specific requirements.

:4. The LPA shall provide documentation of the eligible final costs for the credit project. When the quantities documented for costs do not match the list of quantities as compared to the engineer’s pre-construction itemized cost estimate, the LPA shall submit justification for the changes in the planned quantities. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to that which will not exceed the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed that the new replacement structure will provide a better value than the rehabilitation of the existing structure.

:5. Certification from the engineer of record that the applicable requirements as discussed in [[#136.3.10.4 Final Design|EPG 136.3.10.4 Final Design]] have been met. The engineer of record can satisfy this requirement by submitting a letter listing the applicable requirements from EPG 136.3.10.7 and indicating that the appropriate clearances and permits were obtained.

:6. Photographs of the as built bridge including, at a minimum, a view of the bridge along the roadway and a profile view of the bridge from the stream. Photographs of the bridge during construction are also encouraged, but are not required as part of the credit submittal.

====136.3.10.7.3 Information Provided by the District====

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

:1. A final “walk-through” inspection of the bridge has to be completed by someone in the district that has been Team Leader certified for nonstate bridge inspections as designated in [https://epg.modot.org/files/2/2d/Bridgesection_3.pdf EPG 753.3 Inspection and Reporting Aids (Section 3)]. This inspection has to include the items as listed below.

::a. Assignment of appraisal and condition ratings consistent with the normal inspection practice for nonstate bridges.

::b. Verification that the bridge is in "good" condition.

::c. Verification that the bridge was constructed in general conformance with the bridge plans, which basically includes verification of the bridge location, bridge type, bridge width, bridge length and the number of members.

:2. The inspector must submit a letter or some other appropriate form of documentation to the District person overseeing the credit project indicating that the inspection has been completed and the date that the inspection was completed. This letter should also indicate that the structure was found to be in “good” condition and that the structure was built in general conformance with the plans. A copy of the inspection report should be provided with the letter along with any photographs that were taken.

:3. Once all of the information has been received from the LPA and from the bridge inspector, the District should submit the Bridge Soft Match Credit package along with the documentation provided by the inspector to Bridge Division at the Central Office. This submittal package should include a cover letter recommending that credit be approved for this bridge project.

===136.3.10.8 Use of Bridge Soft Match Credit===
The eligible costs may apply as credit toward the 20% local match required on federal-aid bridge projects. This credit provision does not increase an agency's allocation of [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]] funds, but will permit usage of funds already allocated to an agency at a rate up to 100%.

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

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

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

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

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

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

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

:2. The request must be approved by Financial Services at the Central Office prior to using the soft match credit on a bridge project.

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

:1. Both LPAs must submit written requests to the local MoDOT district office on their LPA's letterhead

:2. and state the dollar amount of BRO funds and soft match credit to be transferred by each LPA. This letter must be signed by all of the county commissioners or the appropriate city officials. The MoDOT district office will forward this request to Financial Services at the Central Office for review and approval.

:3. The request must be approved by Financial Services at the Central Office prior to using the soft match credit and BRO funds on a bridge project.

:4. No transfer can result in an LPA having a negative balance of BRO funds.

==136.3.11 Other Federal Funding Used as Match==

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

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

<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! style="background:#BEBEBE" colspan="2"|Federal-to-Federal Matching Opportunities
|-
! style="background:#BEBEBE" |Source of Federal Funding !! style="background:#BEBEBE" |Eligible Categories of Highway Projects
|-
|Federal Land Management Agencies, including but not limited to: * U.S. Forest Service * Bureau of Indian Affairs * Bureau of Reclamation * Bureau of Land Management * National Park Service * Numerous military agencies (authorized at 23 U.S.C. 120(k))||Federal highway projects funded under the following program categories: * National Highway Performance Program * Surface Transportation Program * Congestion Mitigation and Air Quality Program * Transportation Alternatives Program
|-
|Federal Lands Highway Program (authorized at 23 U.S.C. 120(1))||Federal highway projects funded under the programs shown above and that serve or provide access to federal or Indian lands, except Scenic Byways
|-
|Federal programs with special legislative authorization to match other federal funds, including funds provided under: * State and Local Assistance Act * HUD Community Development Block Grants * Public Works Employment Act of 1976 * Delaware and Lehigh Navigation Canal National Heritage Corridor Act of 1988||Any Federal-aid highway project
|}
</center>

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

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

==136.3.12 Federal-aid Participation for Local Work==

===136.3.12.1 Introduction===
For some projects, due to their nature, size, or special considerations, it may be desirable for the LPA to use its own resources rather than a contractor or consultant. The federal requirement for use of local work varies depending on the type of service or work being provided by the LPA. EPG 136.3.12 includes guidelines and procedures to receive federal-aid reimbursement for the costs related to services or work completed by the LPA. [http://www.fhwa.dot.gov/legsregs/directives/orders/50601.htm Additional information on federal aid participation] is available.

===136.3.12.2 Funding Obligation===
Any participation of federal-aid for local work must be pre-approved. Any funds spent or work completed prior to obligation of funds, FHWA authorization, will not be reimbursable!

===136.3.12.3 Federal-aid Participation for In-House Services===
This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of project-related services performed by LPA staff. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

====136.3.12.3.1 Eligible Costs====
Federal funds may participate in the direct costs of salaries, wages, and related payroll expenses of LPA employees, but only for those costs incurred when the LPA’s employees are directly engaged in eligible activities. Related payroll costs include travel, transportation, leave, holidays, social security, retirement and other payroll benefits.

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

====136.3.12.3.2 Eligible Activities====
Only project-related activities that directly contribute to the planning, design, development, or implementation of the approved project scope are eligible for Federal participation. These include the following:

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

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

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

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

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

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

====136.3.12.3.3 Submittal Requirements====
An estimate of the in-house services costs must be submitted to MoDOT when requesting Federal-aid participation for in-house services. The following information shall be included in the estimate:

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

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

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

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

====136.3.12.3.4 Procedures====
The necessary procedures to request, review and approve in-house services costs are summarized below:

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

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

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

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

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

MoDOT reviews and processes the requests for reimbursement as appropriate.

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

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

===136.3.12.4 Federal-aid Participation for Construction by Local Agency Forces===
This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of construction performed by LPA forces. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

====136.3.12.4.1 Federal Law====
[https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1114 23 CFR 635.114(a)] requires Federal-aid projects to be constructed by contracts awarded on the basis of competitive bidding. However, in rare cases, this requirement may be waived if the LPA fails to receive competitive bids and finds it is more cost effective to use some other method, as provided for in 23 CFR 635, Subpart B. One such method is the use of LPA forces to perform the construction. The LPA’s finding of cost effectiveness shall be reviewed and approved by MoDOT and FHWA before construction by LPA forces can proceed.

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

* Completing the proposed construction work using LPA forces will be cost effective. (Refer to [https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1204 23 CFR 635.204].)

* There are special or unique circumstances that justify deviating from the competitive bidding process. (Refer to [https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1204 23 CFR 635.204].)

====136.3.12.4.2 Eligible Costs====
Subject to the approvals and procedures outlined in EPG 136.3.12.4, federal funds may participate in the direct costs of labor, equipment, materials, or supplies provided by LPA to complete the project construction, either in whole or in part. Labor costs include salaries, wages, and other related payroll expenses, such as leave, holidays, social security, retirement, and other payroll benefits.

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

====136.3.12.4.3 Eligible Activities====
For a project to be eligible for 100 percent construction by local forces the following criteria must be met:

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

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

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

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

====136.3.12.4.4 Submittal Requirements====
To receive federal-aid reimbursement for construction by LPA forces, the LPA must submit the following information to MoDOT to support its finding of cost effectiveness (see [[media:136.3.17 May 2012.doc|Fig. 136.3.17]]):

:An explanation, including supporting documentation, of the reasons or special circumstances that justify using LPA forces in lieu of traditional competitive bidding. Examples of supporting documentation may include things such as:

::a failed attempt to accomplish the proposed work by competitive bidding due to lack of bids or unreasonable bids; or

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

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

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

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

:1. Staff time (hours) for each different phase of the work. Staff time should be estimated separately for each employee or classification of employees.

:2. Wage rates for each employee or classification of employee including any payroll expenses that are part of the wage rate, such as IPERS, FICA, employee benefits, etc.

:3. Equipment type, hours of use, and unit costs (such as the rental rate per hour or per mile). Note: If an LPA must acquire or rent substantially more equipment than required for its normal operations, it may be difficult to justify the use of LPA forces.

:4. Costs of materials and supplies to be incorporated in the project. Include sources and suppliers, if known.

:5. Source documentation for the unit costs (labor, equipment, and materials) used to prepare the estimate.

:6. A cost estimate of the work that assumes the work will be competitively bid. This estimate is for comparison purposes with the estimate described in item no. 3, above. Source documentation for the unit costs should also be included with this estimate. Unit bid price information for similar work shall not be more than 1 year old and must be from within the same geographic bidding region. LPAs could also use appropriate bidding information for similar projects from adjacent counties that are not more than 1 year old to meet this periodic competitive bidding verification requirement.

:7. The amount of federal funds requested.

====136.3.12.4.5 Procedures====
The necessary procedures to request, review and approve Federal participation in construction by LPA forces are summarized below:

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

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

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

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

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

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

MoDOT reviews and processes the requests for reimbursement as appropriate.

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

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

==136.3.13 Agreements==

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

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

If the LPA elects to construct any portion of the project with its own forces, it will be necessary to include a provision in the agreement that requires the LPA to comply with Section II, Equal Opportunity and Section III, Nonsegregated Facilities, as set out in FHWA Form 1273. FHWA Form 1273 will be attached to all project agreements.
<div id="The MoDOT district representative"></div>
The [https://www.modot.org/contact-modot-lpa MoDOT district representative] will initiate preparation of the agreement. The district representative will consult with the LPA to pinpoint the various arrangements and details that will be covered. The agreement will first be presented to the LPA for signature. Once the agreement has been signed by the LPA, the LPA shall submit the signed agreement and any other required documents to MoDOT's district representative. Projects being constructed by cities must also return 1 copy of an enabling legislation at the time of the execution. After approval and signature by the Missouri Highway and Transportation Commission, a fully executed copy will be returned to the LPA.
{|style="padding: 0.3em; margin-right:15px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="570px" align="right"
|-
|align=center colspan="2"|'''Additional Information for MoDOT Employees'''
|-
|colspan="2" align=center|Refer to [[:Category:153 Agreements and Contracts|EPG 153 Agreements and Contracts]] and [[:Category:134 Engineering Professional Services#The district then follows the procedures below|EPG 134.2.4]] for current contracts.
|}
If a supplemental agreement is necessary, an ordinance may be required if the original ordinance makes references to specific project information such as but not limited to, amount of federal funds, project timeline or the original agreement. Please refer to [[media:136.3.16.doc|Fig. 136.3.16 Sample Ordinance]] for a sample ordinance. The LPA may elect to fill in the areas providing project descriptions in a general project descriptive manner to preclude the passage of another ordinance.

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

==136.3.14 Federal Funding Accountability and Transparency Act (FFATA)==

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

==136.3.15 Reimbursement and Auditing==

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

:1. Authorization and federal funding must be approved prior to incurring costs. This applies to all types of work, such as preliminary engineering or right of way. Preliminary engineering costs may be incurred only up to the construction contract award stage. Specific MoDOT concurrence in the awarding of any contract must be obtained before a notice to proceed is issued.

:2. All costs incurred by the LPA for both contract work and work performed by LPA personnel for whom reimbursement is sought must be supported by original source documents or documentation which provides adequate assurance that the quantities of completed work were determined accurately and on a uniform basis. Whenever the actual cost method of payment is used, reimbursement requests for costs incurred should be substantiated as follows:

::a. Labor costs are supported by the documentation described below in item 3.

::b. Material and equipment costs are supported by submitting a paid receipt from the vendor.

::c. Machinery rental costs are supported by submitting a paid receipt from the rental vendor.

::d. Rental fees for agency-owned equipment and machinery are supported with hourly documentation.

:The rental rates and operating costs shall be based on either the Dataquest (Dunn & Bradstreet) Rental Rate Blue Book or the current Federal Emergency Management Agency (FEMA) public assistance schedule of equipment rates. The blue book is a standard reference for rental rates on all classes of construction equipment. The FEMA equipment rates and the agency developed prepared rates are an acceptable alternative.

:3. Project-specific LPA costs (except for administration costs) are allowable to the extent that they are supported by original source documentation. Daily time records supported by a project number must be kept for audit. They shall include the daily breakdown of the employee's time. The hourly rates must be the rate the employee actually received, plus actual labor additives calculated on a percent of labor basis (Social Security, Workmen's Compensation, insurance, etc.). The cost of vehicle and other equipment usage may be claimed on an hourly or mileage basis to the extent that the cost can be supported.

:4. Incidental costs, arbitrary or otherwise unsupported costs or items not necessary to complete the project will not be reimbursed.

:5. Additional construction costs due to error on the part of the contractor are not eligible for federal participation. Also, additional inspection costs incurred as a result of contractor error are normally assessed against the contractor and are not eligible for federal reimbursement. The term "contractor" shall also include subcontractors, fabricators, and suppliers working on the project.

:6. A request must be submitted for additional federal funding if the construction change orders for the project exceed the construction contract. Federal funding for change orders is limited to the TIP amount for projects within an MPO, agreement amount for enhancement projects, and programmed amounts for BRM projects. Change orders for projects are limited to the LPA's federal allocation balance.

:7. Additional engineering and/or resulting construction costs due to design errors and omissions, resulting in a re-design, are not eligible for federal participation. Participation in added project costs resulting from re-design or plan changes can only be considered in cases where it can definitely be established that the changes were the result of unforeseen site conditions or other causes that would not reasonably be under the control of the LPA or its engineer.

===136.3.15.1 Final Invoices===
Two copies of the final invoice should be submitted after all work has been completed and accepted. The final invoice must be marked "Final Invoice" and be accompanied by a detailed itemization of total project costs. The final invoice should be submitted in the same manner as progress payment invoices. For detailed information on the procedures to be followed see [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

===136.3.15.2 Audit and Final Reimbursement===
The [http://www.fhwa.dot.gov/ FHWA] and MoDOT have the right to audit the LPA's records at any stage of completion. MoDOT will process invoices by requesting payment from the FHWA. The final invoice will require an audit or review of project records that will be conducted by MoDOT Audits and Investigations or Financial Services staff. Source documentation (timesheets, lodging receipts, etc.), accounting records, and project records (construction diary, etc.) must be retained for three years following the date on which the LPA receives reimbursement of their final invoice from MoDOT. Retention and access requirements
for records, from [https://www.gpo.gov/fdsys/pkg/CFR-2009-title49-vol1/pdf/CFR-2009-title49-vol1-sec18-42.pdf Title 49 CFR 18.42 - Federal Acquisition Regulations System], are available.

===136.3.15.3 OMB Audit===
If the city/county/grantee expend(s) $750,000 or more in a year in federal financial assistance it is required to have an independent annual audit conducted in accordance with 2 CFR Part 200. A copy of the audit report shall be submitted to MoDOT within the earlier of 30 days after receipt of the auditor's report(s), or 9 months after the end of the audit period. Subject to the requirements of 2 CFR Part 200, if the city/county/grantee expend(s) less than $750,000 a year, the city/county/grantee may be exempt from auditing requirements for that year but records must be available for review or audit by applicable state and federal authorities.

==136.3.16 Key Submittals/Requirements==
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Programming data form / TIP application|| Provide project information|| Verify eligibility||10 working days
|-
|Reasonable Progress||Ensure project development / implementation schedule is being met||Verify project development / implementation schedule is being met|| Ongoing
|-
|Force Account||Justify cost effectiveness and LPA’s ability to perform the task||Review and approve/deny||10 working days
|-
|Work By Local Forces||Justify cost effectiveness and LPA’s ability to perform the task||Review and approve/deny||10 working days
|-
|Donated Services||Document fair market value of donated materials, services and real property||Review and approve/deny|| 10 working days
|-
|Request for Bridge Soft Match Credit||Provide submittal package||Review and approve/deny|| 10 working days
|-
|Transfer Bridge Soft Match Credit||Request letter signed by all commissioners from transferring county||Review and approve/deny|| 10 working days
|-
|Transfer BRO and Bridge Soft Match Credit||Request letters signed by all commissioners from transferring and receiving counties||Review and approve/deny ||10 working days
|-
|Indirect Costs|| Provide cost allocation plan||Review and approve/deny|| 20 working days
|-
|Agreement||Execution by LPA governing body||Review and approve/deny for Execution by the commission||20 working days
|-
|FFATA||Provide federal awards information, Form-1590||Post federal awards information||10 working days
|-
|Reimbursement Request||Provide original source documents for costs incurred to date|| Review and approve/deny||20 working days
|-
|Final Invoice|| Submit within 30 days of final acceptance|| Review and approve/deny|| 20 working days
|}

==136.3.17 Emergency Relief==

===136.3.17.1 Federal Highway Administration (FHWA)===

[http://www.fhwa.dot.gov/programadmin/erelief.cfm Additional information on program guidelines] is available.

====136.3.17.1.1 Federal Highway Administration – Emergency Relief Program====

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

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

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

FHWA offers an emergency relief program for the repair or reconstruction of federal-aid highways and roads which have suffered serious damage as a result of natural disasters or catastrophic failures from an external cause. MoDOT administers the program for Missouri. [https://www.fhwa.dot.gov/programadmin/erelief.cfm Additional information about FHWA's Emergency Relief Program] is available.

:* [https://www.fhwa.dot.gov/federal-aidessentials/companionresources/96eroverview.pdf Program Overview and Eligibility]
:* [http://www.fhwa.dot.gov/reports/erm/er.pdf Emergency Relief Manual]
:* [http://www.fhwa.dot.gov/map21/qandas/qaer.cfm Emergency Relief Questions and Answers]
:* [https://www.fhwa.dot.gov/modiv/emergency_relief.cfm Missouri Division - FHWA Emergency Relief]

Identify Federal-aid roads using [https://datazoneapps.modot.mo.gov/bi/apps/maps/Home/Index/FedAidRoutes MoDOT’s interactive Federal-aid map]. Zoom in to the jurisdiction’s geographic area. The Federal-aid roads will be highlighted in color. The state system federal-aid roads are in blue. The off-system federal-aid roads, or LPA federal-aid roads, are in green. Federal-aid roads are based on the functional classification of each roadway, and include interstates, freeways, arterials, major collector and urban collector roads.

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

:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=96 Emergency Relief Program Overview and Eligibility]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=97 Initial Steps for Requesting]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=98 Steps for Receiving Reimbursement of Emergency Relief Expenses]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=99 Emergency Versus Permanent Repairs]

====136.3.17.1.2 FHWA ER Project Procedures====

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

'''Emergency Repairs'''

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

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

'''Permanent Repairs'''

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

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

===136.3.17.2 Federal Emergency Management Agency (FEMA)===

[http://www.fema.gov/ Additional information on program guidelines] is available.

====FEMA Public Assistance Grant Program====

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

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

:* [https://www.fema.gov/public-assistance-local-state-tribal-and-non-profit Public Assistance: Local, State, Tribal and Private Non-Profit]
:* [https://www.fema.gov/public-assistance-policy-and-guidance Public Assistance: Policy and Guidance]
:* [https://www.fema.gov/media-library-data/1525468328389-4a038bbef9081cd7dfe7538e7751aa9c/PAPPG_3.1_508_FINAL_5-4-2018.pdf 2018 Public Assistance Program and Policy Guide].

'''Contact MoDOT'''

::Chris Engelbrecht, Emergency Management Liaison

::Missouri Department of Transportation

::P.O. Box 270

::Jefferson City, MO 65102

::christopher.engelbrecht@modot.mo.gov

::(573) 526-4842 office

::Julie Stotlemeyer, Assistant State Design Engineer – LPA

::Design Division

::Missouri Department of Transportation

::P.O. Box 270

::Jefferson City, MO 65102

::julie.stotlemeyer@modot.mo.gov

::(573) 526-6997 office

===136.3.17.3 State Emergency Management Agency (SEMA)===

[http://sema.dps.mo.gov/ Additional information on program guidelines] is available.

[[Category:136 Local Public Agency (LPA) Policy|136.03]]

LPA:136.3 Federal Aid Basics

2022-05-05T20:57:58Z

Bramar12: updated web address address for contact list in 136.3.2 5/5/22

{|style="padding: 0.3em; margin-left:1px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|colspan="2"|<center>'''Figures'''</center>
|-
|[[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]]
|-
|[[media:136.3.4.pdf|Fig. 136.3.4, Non-State Bridge Soft Match Credit Program Documentation Checklist]]
|-
|[[media:136.3.16.doc|Fig. 136.3.16, Sample Ordinance]]
|-
|[[media:136.3.17 May 2012.doc|Fig. 136.3.17, Work by Local Forces Proposal]]
|-
|[[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]
|-
|[[media:Fig.136.3.19 Sept 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]]
|-
|[[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]]
|-
|[[media:Fig.136.3.24 2021.docx|Fig. 136.3.24, TEAP Program Application]]
|-
|[[media:Fig.136.3.25.xls|Fig. 136.3.25, TEAP Consultant MOU]]
|-
|[[media:Fig.136.3.26.xls|Fig. 136.3.26, TEAP Project Invoice Form]]
|-
|[[media:Fig.136.3.27.pdf|Fig. 136.3.27, Example of a Soft Match Credit Transfer Request]]
|-
|<center>'''"How To" PowerPoint Tutorial'''</center>
|-
|[[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=overview Federal-Aid Program Overview]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=finance Finance]
|}

==136.3.1 Introduction==

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

We encourage you to refer to the [https://www.modot.org/about-lpacontact-us] to find the appropriate representative to assist you with this process.

==136.3.2 Federal Aid for Local Public Agencies ==

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

==136.3.3 Finding Appropriate Funds==

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

==136.3.4 Project Selection and Programming==

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

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

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

==136.3.5 STIP/TIP==

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

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

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

==136.3.6 Obligation of Funds==

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

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

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

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

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

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

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

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

==136.3.7 Reasonable Progress Policy==

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

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

===136.3.7.1 Procedures===
The time frames shown represent maximum expected times for implementation approvals and concurrences; schedules will vary depending on project type. Actual progress towards implementation will be measured against the schedule submitted by the LPA.
<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center" width=770
|+
! style="background:#BEBEBE" colspan="4" |Project Development/Implementation Schedule
|-
! style="background:#BEBEBE" colspan="2" |Phase !! style="background:#BEBEBE"|Maximum Cumulative Time Frame !! style="background:#BEBEBE"|Funds Obligated?
|-
|1|| Allocation of Funds || 0 months || No
|-
|2|| Project Programming''' 1, 2'''|| 3 months|| No
|-
|3|| Engineering Services Contract Approval|| 6 months || Yes
|-
|4|| Preliminary and Right of Way Plans Submittal (if applicable)|| 12 months|| Yes
|-
|5||Plans, Specifications & Estimate (PS & E) Submittal|| 18 months|| No
|-
|6||Plans, Specifications & Estimate (PS & E) Approval|| 20 months|| Yes
|-
|7|| Construction Contract Award|| 23 months|| Modified
|-
|8|| Final Certification/Project Closeout''' 3'''|| Variable ||Modified (as needed)
|-
|colspan="4" align="left"|'''1''' The completion of the Project Programming phase is defined by submitting the approved project’s programming data form to MoDOT and the project receiving a federal project number from MoDOT.
|-
|colspan="4" align="left"|'''2''' The evaluation of environmental and cultural impacts on the project must begin immediately after Preliminary Engineering (PE) authorization. The LPA must submit [[media:136.6.4.doc|Fig. 136.6.4 LPA Request for Environmental Review (RER)]] to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects as discussed in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]].
|-
|colspan="4" align="left"|'''3''' The time lapse between construction contract award and project closeout will depend on project type. Final certifications as discussed in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] must be submitted to the appropriate [https://www.modot.org/contact-modot-lpa MoDOT district representative] 60 days after final inspection.
|}</center>

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

===136.3.7.2 Verification of Reasonable Progress===

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

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

===136.3.7.3 Progress Invoices===
The LPA must submit invoices for reimbursement of costs incurred as the work progresses. The invoices may not be submitted more than once every two weeks. Progress invoices must be submitted monthly. The final invoice must be submitted within 30 days of final acceptance. The LPA may use either of the following alternate methods of seeking progress payments:

:1. the LPA pays the contractor/consultant for work performed and then submits a progress invoice for reimbursement; or

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

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

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

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

Consultant services invoices ([[media:136.4.10 2013.xlsx|Fig 136.4.10]]) must be used when submitting for reimbursement from MoDOT. This can be supplemented with [[media:136.3.18 2014.xls|Fig. 136.3.18]] but is not required. For construction invoices ([[media:Fig. 136.11.14.pdf|Fig. 136.11.14]] and [[media:Fig. 136.11.15.pdf|Fig. 136.11.15]]) can be used as an example invoice. A form resembling Fig 136.3.18 must accompany the construction invoice when submitting construction invoices. Items not applicable to the project may be omitted. Special items peculiar to that project should be added. See [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]] for more information on consultant invoicing and [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] for more information on construction invoicing.

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

===136.3.7.4 Prompt Payment Policy===
The Prompt Payment policy ensures that LPAs make progress payments to vendors (consultants, contractors, etc.) in a timely manner as work progresses. The policy has two objectives: (1) ensure that vendors are paid within at least two months of the date on the vendor invoice; (2) ensure the LPA has adequate financial procedures in place to pay vendors in a timely manner.

====136.3.7.4.1 State Law====
The State of Missouri, in [https://revisor.mo.gov/main/OneSection.aspx?section=34.057 section 34.057 RsMO], requires public owners of public works contracts to make progress payments to the contractor on at least a monthly basis as the work progresses, or, on a lump sum basis according to the terms of the lump sum contract. The payment will be based upon monthly estimates prepared by the contractor and approved by the project architect or engineer. ''This requirement applies to ALL projects in Missouri whether it contains federal funds or not.'' This law also discusses retainage of up to five percent of the total contract, but retainage is not allowed to be automatically applied on federal aid projects without a specific project reason per [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.2.1 Retainage (RsMO 34.057)|EPG 136.9.4.1.2.1 Retainage]]. Keep in mind that federal laws supersede state laws if the project has federal funding.

====136.3.7.4.2 Verification of Prompt Payment====
The LPA must submit invoices for reimbursement of costs incurred as the work progresses per [[#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]]. The invoices may not be submitted more than once every two weeks.

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

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

===136.3.7.5 Policy Enforcement===
If a project falls six months behind schedule at any point in its development, without a written explanation provided by the LPA and approved by MoDOT, the LPA and/or MPO will be contacted by MoDOT requesting information as to the cause of the delays. A letter will notify the LPA of the schedule lapse and the possible implications of further delays. The LPA and/or MPO will be required to reply in writing within 30 days of the letter date as to the project status and provide a revised timeline for the project. The LPA will be allowed to reschedule a project one time after MoDOT has programmed a project. Any shifts in subsequent phases of a project caused by that rescheduling (if identified at the time of the rescheduling) will not be considered a separate change.

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

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

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

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

==136.3.8 Programs==
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be approved and programmed. Programming of all projects will be initiated by the LPA by submitting a location map, [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1 Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

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

Warrants for traffic signals, if applicable, shall be checked by the LPA at the time program information is submitted. Installation of signals should not be programmed if current traffic conditions do not warrant as required by the [http://mutcd.fhwa.dot.gov/ ''Manual on Uniform Traffic Control Devices (MUTCD)'']. All traffic signals must follow MUTCD guidelines and meet standards set by the 1990 Americans with Disabilities Act (ADA). See ADA Check list [[media:136.9.4 2015.doc|Fig. 136.9.4]].

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

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

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

The LPA must submit an [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review] (RER) to the MoDOT district contact within 60 days of preliminary engineering (PE) authorization for all federal-aid projects. The RER form is used to determine the NEPA classification for the project and if any further environmental documentation is required. If the project does not qualify for a categorical exclusion (CE) classification, additional environmental documentation will be required (refer to [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]]).

Preliminary engineering authorization will enable the LPA to receive reimbursement for charges incurred for preliminary engineering and miscellaneous right of way charges, such as title search and preliminary right of way estimates necessary to determine a proper location and design. Approvals for right of way acquisition must be acquired separately from the preliminary engineering authorization. Right of way acquisition should be in accordance with [[LPA:136.6 Environmental and Cultural Requirements|EPG 136.8 Local Public Agency Land Acquisition]].

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

===136.3.8.1 Highway Bridge Program (HBP)===

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

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

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

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

The funds will be administered according to the following:

:1. The current transportation bill requires at least 15% of the state's total bridge appropriation in fiscal year 2009 be allocated for use on off-system bridges (BRO). The Missouri Highways and Transportation Commission approves the amount of funds allocated to this program. Off-system bridges are bridges located on roads functionally classified as a local road or street and rural minor collectors.

:2. BRO funds allocated to the counties are based on the ratio of the replacement cost of the square footage of deficient bridge deck in the county to the replacement cost of the square footage of deficient bridge deck in all counties of the state. A compilation of [https://www.modot.org/media/31264 MoDOT BRO & Soft Match Credit Balances] by county is available.

:3. BRO funds may be programmed by counties for future projects. If the county does not have a sufficient balance of off-system bridge funds, they may borrow up to three years of future allocations for preliminary engineering or one year of future allocation for construction costs.

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

:1. Emergency Project - When a bridge has fallen down or washed out and is essential for travel in the area, MoDOT will consider allowing the county to exceed its amount of available funds by more than the guidelines.

:2. County Receives Small Allocation - Some counties do not receive enough allocation to reasonably finance a bridge project. Some allowance may be made for these counties to exceed the guidelines.

====136.3.8.1.1 Project Eligibility and Selection====
Project selection is the prerogative of the LPA. MoDOT personnel will be available to advise and assist in project estimating and selection, if desired. LPAs located within an MPO boundary are required to submit their project selection to the MPO for review and approval. The following listing includes the type of eligible bridge projects that may be selected by the LPA:

:1. Replacement or full rehabilitation of eligible structures from the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list].

:2. Seismic retrofitting of deficient as well as non-deficient bridges is [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible for funding]. The design of seismic improvements or retrofits shall follow applicable AASHTO and current [http://www.fhwa.dot.gov/ FHWA] publication guidelines. The reasonable costs of associated structural repairs, which are considered necessary or economically prudent for properly accomplishing the seismic retrofit are also considered eligible.

:3. Projects involving the application of paint overcoat systems, or the complete blast cleaning and repainting of the structural steel are considered eligible. The reasonable costs of structural repairs considered necessary or economically prudent to properly accomplish the repainting or overcoat project are considered to be participating.

:4. Installation of scour countermeasures to protect an existing bridge is eligible.

:5. Preventive maintenance activities may be eligible for funding if the LPA has in place a systematic process such as a Bridge Management System which demonstrates the cost effectiveness of extending the service life of their bridges. This systematic process must previously have been reviewed and approved by FHWA. Preventive maintenance activities include those that preserve bridge components and extend the useful service life of the bridge. These activities would typically be performed on a bridge in good condition in order to keep it in good condition. Increasing the capacity of a structure is not considered a preventive maintenance activity. Although not all-inclusive, below are the two basic types of preventive maintenance and examples of acceptable activities:

::a. Systematic Servicing Bridges on a Scheduled Basis: Generally includes cleaning decks; beam seats, beam caps and salt splash zones; cleaning drainage systems; cleaning expansion joints; cleaning and lubricating expansion bearing assemblies; sealing concrete decks or substructure elements.

::b. As Needed Preventive Maintenance: Generally includes resealing expansion joints; spot painting of steel members; minor structural repairs, removing debris from channel; replace wearing surface; extending or enlarging deck drains. To be eligible for preventive maintenance funding, the LPA must establish a preventive maintenance plan and obtain approval from MoDOT.

:6. Projects involving the application of calcium magnesium acetate, sodium acetate/format, or other environmentally acceptable, minimally corrosive anti-icing and de-icing compositions to a bridge are considered eligible for structures on the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list].

:The bridge to be replaced or rehabilitated must be on the eligible bridge list for funding. The eligible bridge list is compiled from the most recent submittal of Missouri’s National Bridge Inventory data to FHWA and determined by ratings whether the bridge is considered eligible for replacement (full funding) or only rehabilitation (partial funding); based on the existing inventory and inspection data. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed the new replacement structure will provide a better value than the rehabilitation of the existing structure. The proposed rehabilitation work should eliminate the items that caused the bridge to be identified as deficient unless the proposed deficient item may remain based on MoDOT’s approval. Refer to [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]] for additional information.

:New guidance on the eligibility of low water crossings will be coming soon.

:For bridge rehabilitation and replacement projects, the bridge site will not be eligible for selection to use HBP funding if the structure was replaced or had a major rehabilitation within 10 years of the planned new construction date. The FHWA 10-year rule applies regardless of the source of funds (local, state, federal, etc.) that were used to replace or reconstruct the bridge.

====136.3.8.1.2 Project Programming====
Once a bridge has been selected for programming, the LPA should contact their MoDOT Representative to initiate project programming by completing a [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1 Programming Data Form]]. LPAs located within the St. Louis MPO may submit their TIP application in place of the Programming Data Form. This form, with a letter signed by the LPA's officials requesting the project to be programmed, will initiate a series of checks by MoDOT to review eligibility.

To receive federal funding, proposed design improvements listed on the Programming Data form or TIP application must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

===136.3.8.2 Surface Transportation Block Grant (STBG)===

'''Background and Funding'''

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

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

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

====136.3.8.2.1 STBG Eligible Activities, Set Asides and Sub-Allocations====
Funds are traditionally authorized by Congress for several years under a single transportation bill, but are apportioned annually for a single year to the state. In Kansas City, Springfield and St. Louis, the distribution of funds is determined by the TMA through coordination with the LPAs within the TMA boundary.

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

The funds are administered according to the following:

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

====136.3.8.2.2 Project Eligibility and Selection====
For projects involving roadway improvements eligible for selection under the STBG program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Off-System Bridge funding.

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

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

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

:1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from the [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm eligible bridge list] for HBP funding.

:2. Seismic Retrofitting as described in [[#136.3.8.1 Highway Bridge Program (HBP)|EPG 136.3.8.1 Highway Bridge Program (HBP)]].

:3. Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (HBP).

:4. Complete upgrade of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]]. Project must address safety of both bridge railing and related approach roadway guardrail features.

:5. Projects to correct identified operational and/or condition problems with any existing bridge.

:6. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).

:7. New bridge construction required for construction of new approved corridors of federal-aid system routes.

:8. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.

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

:10. The construction of bicycle trails and pedestrian walkways on the highway right of way is eligible for federal participation, either as an integral part of a construction project or as an independent project and is not subject to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification] requirements. For further information, refer to [[:Category:641 Bicycle Facilities|EPG 641 Bicycle Facilities]] and [[:Category:642 Pedestrian Facilities|EPG 642 Pedestrian Facilities]].

For additional guidance on eligible activities for STBG funds, refer to [http://www.fhwa.dot.gov/Fastact/factsheets/stbgfs.cfm FHWA's Fact Sheet].

===136.3.8.3 Transportation Alternatives Program (TAP)===

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

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

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

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

====136.3.8.3.1 Project Eligibility and Selection====
For purposes of MoDOT administered TAP funds, which includes all rural and urbanized areas with a population less than 200,000; whether proposed as an independent project or as an element of a larger transportation project, the TAP project must be limited to a logical unit of work and be constructible as an independent project. Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. MoDOT administered TAP funds may be used for the following:

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

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

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

====136.3.8.3.2 Project Programming====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs that are in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

===136.3.8.4 Bridge Engineering Assistance Program (BEAP)===
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|If you have any questions or comments regarding EPG 136.3.8.4 BEAP, please contact '''David Koenig''' at 573-526-0556 or by e-mail at David.Koenig@modot.mo.gov; or '''Jamey Laughlin''' at 573-526-5167 or by e-mail at James.Laughlin@modot.mo.gov; or '''Gabe Wolken''' at 573-526-4804 or by email at Gabriel.Wolken@modot.mo.gov.
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The Bridge Engineering Assistance Program (BEAP) allows local public agencies to receive engineering assistance for bridges when they do not have their own engineering staff.

====136.3.8.4.1 Purpose====
The hydraulic and structural adequacy of bridges on the local road system is a major concern to the local public agencies of Missouri. Local public agencies should conduct effective bridge evaluations to determine priorities for maintenance, rehabilitation and replacements. Many of these local public agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct effective bridge evaluations or determine bridge maintenance and repair priorities.

As a result, the [https://www.modot.org/missouri-highways-and-transportation-commission-0 Missouri Highways and Transportation Commission] has developed the BEAP program to provide Missouri’s local public agencies with the assistance necessary to complete bridge engineering studies.

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

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

====136.3.8.4.2 Personnel====
The structural and hydraulic engineering expertise necessary to provide this assistance to the local public agencies and their political subdivision will be provided from a pool of pre-qualified engineering consultants. The consultant firms selected for the pre-qualified pool will be required to use engineering personnel having a background that includes bridge inspection, bridge design experience, familiarity with developing bridge maintenance priorities and low cost bridge improvements. (See [[media:Fig.136.3.19 Sept 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]]).

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

====136.3.8.4.3 Administration====
The local implementation of this program is under the immediate direction of MoDOT's District Engineer, with coordination of the statewide consultant contract and technical policy interpretation being provided by the Bridge Division. The statewide contract is normally in effect for a three year period, after which time it may either be extended for an additional year or a new solicitation completed to develop a new list of pre-approved consultants

A local public agency experiencing a bridge problem and desiring to use the services of this program need merely inform the district personnel in that particular area and/or contact an approved consultant for assistance in developing a project to address these conditions. The district's authorized representative or the local public agency will discuss the bridge problem with the consultant so that they can prepare a fee estimate and submit the BEAP Project Tracking Form for further eligibility review by the district office and Bridge Division. (For an electronic copy of this form, see [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].)

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

====136.3.8.4.4 Funding and Authorized Costs====
The services of the program are generally provided free of direct costs to requesting, eligible local public agencies in Missouri through the cooperation of the Missouri Department of Transportation and the Federal Highway Administration. However, local public agencies are expected to provide active assistance to the consultant during the project. Eligibility is based on the local public agency not having personnel with sufficient engineering expertise to conduct effective bridge evaluations and develop immediate structural repair procedures and details.

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

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

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

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

====136.3.8.4.5 General Process for a BEAP Study====
The local public agency identifies a bridge problem that they desire to utilize the BEAP program for. The local public agency will either directly contact one of the consultants on the pre-approved listing to discuss the bridge problem or contact the district office for information and assistance on using this program. After being notified of the bridge problem, the consultant will fill out the BEAP Project Tracking Form and submit it electronically to the district office for review. The district office will review the proposed project and then forward it to Bridge Division for their review and approval of the study. After the notice to proceed is given, the consultant will perform the study in accordance with the information provided on the BEAP Project Tracking Form. The consultant shall submit a draft electronic copy of the report to the Bridge Division and district office for review and approval. The Bridge Division will review the report, consult with the district office as needed, and provide the consultant with feedback on any desired changes to the report. Once any changes/updates to the report have been completed, a finalized copy of the report shall be submitted to the local public agency, the district office and Bridge Division. The finalized copy of the report may be submitted electronically to all of the involved parties and shall be signed and sealed by a professional engineer registered in the state of Missouri.

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

====136.3.8.4.6 Local Public Agency Responsibilities====
The local public agency is responsible for identifying the bridge problem that they need assistance on and initiating the request for assistance either through the consultant or through the district office. When the BEAP study involves a structure not on the National Bridge Inventory, the local public agency shall provide the consultant with some general pictures of the structure along with a location of the structure to aid them in the development of their cost proposal. The local public agency should provide any assistance needed to the consultant during the BEAP study. Examples of the types of assistance include but are not necessarily limited to traffic control, site access, and trucks or equipment for load testing. After completion of the study, the local agency should perform the work as specified in the report and then notify the district office once this work is completed.

====136.3.8.4.7 Consultant Responsibilities====
The services made available under this program are intended for the review of existing bridges where definite needs exist. It is anticipated these reviews can be performed in 60 or fewer total person hours per bridge. Time spent developing the proposed BEAP study will not be eligible for reimbursement. The consultant is allowed to perform BEAP studies in any part of the state. If the consultant has multiple office locations, it is expected they would utilize personnel from the office closest to the bridge site so as to minimize the travel related costs for the study, including personnel time.

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

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

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

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

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

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

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

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

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

====136.3.8.4.8 MoDOT District Responsibilities ====
'''1.''' Advise the local public agencies within the district of the pre-qualified list of consultants and that they may select any of the firms on this list to perform the study.

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

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

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

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

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

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

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

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

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

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

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

====136.3.8.4.9 MoDOT Bridge Division Responsibilities====
'''1.''' Provide contract administration for the program.

'''2.''' Provide technical policy interpretation for the program.

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

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

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

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

===136.3.8.5 Traffic Engineering Assistance Program (TEAP)===

====136.3.8.5.1 Introduction====
The Traffic Engineering Assistance Program (TEAP) allows local public agencies (LPA) to receive engineering assistance for traffic related needs . LPAs facing a traffic safety or operational challenge can utilize the LPA On-Call Consultant List (see [[#136.3.8.5.7 Engineering Consultants|EPG 136.3.8.5.7 Engineering Consultants]]) to perform a traffic study. The [https://www.modot.org/lpa-call-list LPA On-Call Consultant List] is available. Typical studies may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies. The program is administered by MoDOT with funds coming from MoDOT and the LPA (see [[#136.3.8.5.5 Funding|EPG 136.3.8.5.5 Funding]]).

====136.3.8.5.2 Purpose====
The safe and efficient flow of traffic and the safety of pedestrians and bicyclists can be concerns to the local public agencies of Missouri. These public agencies should conduct accurate and timely traffic studies to determine effective countermeasures for these concerns. Many local agencies and their political subdivisions have neither the funds nor the engineering expertise necessary to conduct expert traffic engineering studies.

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

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

====136.3.8.5.3 Eligibility and Project Selection====
The services of this program are used for locations on public roads under the jurisdiction of LPAs but located off the state system. TEAP services are not intended to duplicate services already available to LPAs through MoDOT. If a local road adjoins the state system and is part of a TEAP application, the appropriate MoDOT District Traffic Engineer must grant approval of TEAP funds and ensure no duplication of funds. TEAP funds are not intended for design type projects but rather projects that are more geared towards an engineering study or analysis that may result in a design type project in the future. Examples of eligible projects may include corridor safety and/or operational analysis, intersection(s) safety and/or operational analysis, speed limit review, sign inventory, pedestrian/bike route analysis, parking assessments, ADA transition plans, and other traffic studies.

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

:*''' "Engineering Resources"''' refers to the local agency's own staffing resources. Agencies with little or no traffic engineering resources will be rated higher than agencies with their own traffic engineering resources.

:*''' "Safety"''' refers to the degree to which traffic safety is addressed via the project.

:*''' "Congestion"''' refers to the degree to which traffic congestion is addressed via the project.

:*''' "Innovation"''' refers to countermeasures being considered (roundabouts, flashing yellow arrow, j-turns, prismatic sheeting, etc.).

:*''' "Implementation"''' refers to the probability of the local agency following through with changes as a result of the project.

:*''' "Value"''' refers to the overall gain the project could offer compared to the total cost.

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

====136.3.8.5.4 TEAP Process and Timeline====
The general process for TEAP starts in the fall of each year with a call for projects. The LPA will produce a project application ([[media:Fig.136.3.24 2021.docx|Fig. 136.3.24, TEAP Program Application]]) and submit it to the appropriate MoDOT District Office. MoDOT will evaluate and score each application and make a final selection. MoDOT's review team will then notify the LPA the project has been selected and enter into a Programming Agreement with the LPA. The LPA is given authorization to select a consultant from the "Traffic Engineering & TEAP" category of the [https://www.modot.org/lpa-call-list LPA On-Call Consultant List]. The LPA must then execute an Engineering Services Contract (see Fig. 136.4.1 Engineering Services Contract) with the consultant and give the consultant a notice to proceed. The consultant will then begin work and finish the scope and all invoicing prior to the end of the particular federal fiscal year.
[[image:136.3.8.11.4.jpg|center|745px]]

====136.3.8.5.5 Funding====
Federal Highway Safety Funds (HSP), Technology Transfer (TT) Funds, and LPA Funds are used to fund the program. Payments to the consultant for the services of this program are generally provided at an 80/20 split. The HSP and TT Funds are administered by MoDOT and will provide 80% of the TEAP project cost, up to $12,000 per project. Funds from the LPA will be used for the remaining 20% of expenditures. However, if the total project cost is greater than $15,000, the LPA can pay more than 20% to complete the TEAP project if desired as shown in Example #1.

:'''Example #1: '''

::Total Project Cost: $20,000

::Federal Funds: $20,000 x .80 = $16,000 BUT the max is $12,000

::LPA: $20,000 x .20 = $4,000 (Plus the overage of $4,000 of the HSP/TT Funds) = $8,000

:'''Example #2: '''

::Total Project Cost: $5,000

::Federal Funds: $5,000 x .80 = $4,000

::LPA: $5,000 x .20 = $1,000

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

It is the responsibility of the LPA to invoice and secure payment for the TEAP project. Invoices for 80% of the project cost should be sent to MoDOT for payment by emailing LPASubmit@modot.mo.gov or mail a hard copy invoice to:
:Attn: MoDOT Design Division
:TEAP
:105 W Capitol Ave
:Jefferson City MO 65102.

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

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

====136.3.8.5.6 Administration====
The direction of this program will be under the jurisdiction of MoDOT’s Local Program Administrator. Questions can be directed to MoDOT district staff or MoDOT Local Program staff. [http://www.modot.org/business/lpa/contacts.htm MoDOT’s Local Program website] outlines all contact information.

====136.3.8.5.7 Engineering Consultants====
An LPA must choose a consultant from the [https://www.modot.org/lpa-call-list LPA On-Call Consultant List] – Traffic Category, to perform TEAP engineering services. The consulting firms selected from the list will be required to use engineering personnel having a background in traffic engineering with actual traffic engineering field experience on state, county or city roadway projects.

====136.3.8.5.8 Responsibilities====
=====136.3.8.5.8.1 LPA Responsibilities=====
:: Identify need
:: Initiate request for TEAP assistance
:: Choose a prequalified consultant from the Traffic Category in the LPA On-call Consultant List
:: Provide assistance to consultant during the course of the project (examples are traffic control, traffic counts, assisting in any physical measurements needed.)

=====136.3.8.5.8.2 Consultant Responsibilities=====
Below is a list of available consultant scopes of work. This list is not intended as a complete list and is only a suggested list of what studies a traffic engineering consultant may be called upon to perform.

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

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

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

===136.3.8.6 Eastern Federal Lands Access Program (FLAP)===
The [https://flh.fhwa.dot.gov/programs/flap/ Federal Lands Access Program] was established to improve transportation facilities that provide access to, are adjacent to, or are located within Federal lands. The Access Program supplements state and local resources for public roads, transit systems, and other transportation facilities, with an emphasis on high-use recreation sites and economic generators. Eligible project activities include: capital improvements, enhancements, surface preservation, transit, planning, research and safety.

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

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

===136.3.8.7 Transportation Investment Generating Economic Recovery (TIGER)===
The Transportation Investment Generating Economic Recovery, or TIGER Discretionary Grant program, provides a unique opportunity for the DOT to invest in road, rail, transit and port projects that promise to achieve national objectives. A minimum of 20 percent of funds go to projects in rural areas.

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

===136.3.8.8 Congestion Mitigation and Air Quality (CMAQ)===
====136.3.8.8.1 Background and Funding====
The CMAQ Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) to assist cities in attaining federal air quality guidelines. Funds are distributed to states based on weighted non-attainment and maintenance area population. Legislation authorizes the expenditure of CMAQ funds on projects with a documented emissions reduction associated with them and are available for use only in non-attainment and maintenance areas, or as determined by federal law for ozone and particulate matter pollution. In Missouri, the CMAQ Program is limited to the Kansas City and St. Louis metropolitan areas. Typical activities include revisions and installation of traffic signals, signal timing optimizations, developing transportation management systems, public transportation facilities, and activities to encourage car pooling and van pooling.

====136.3.8.8.2 Project Eligibility and Selection====
Projects eligible for selection using CMAQ funds must indicate the project will have a demonstrated effect on reducing emissions.

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

For additional guidance on eligible activities for CMAQ funds, refer to [http://www.fhwa.dot.gov/map21/factsheets/stp.cfm FHWA's MAP-21 Fact Sheet].

====136.3.8.8.3 Project Programming ====
=====136.3.8.8.3.1 Roadway Type Projects=====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

=====136.3.8.8.3.2 Non-Infrastructure Projects=====
Prior to the purchase of any item or charging any work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting a copy of the TIP application to MoDOT.

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

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

===136.3.8.9 Multimodal Programs===
The MoDOT [http://www.modot.org/Multimodal/index.htm Multimodal Operations] is responsible for supporting alternative transportation programs within the state. These programs aim to advance the strategic planning and implementation for aviation, rail, transit, waterways and freight development.

====136.3.8.9.1 Aviation====
MoDOT administers federal and state funding for airport maintenance and capital improvements. Financial assistance is available through state and federal programs. Visit [https://www.modot.org/aviation-general-information MoDOT Aviation] for additional information about aviation programs.

====136.3.8.9.2 Freight====
MoDOT’s Freight Enhancement Program is focused on improving and maintaining the high priority freight assets and corridors that are critical to the movement of freight into, out of, and through Missouri. To learn more, visit [https://www.modot.org/freight-general-information Missouri’s Freight program] online.

====136.3.8.9.3 Rail====
The Railroad Section of the Multimodal Division partners with Amtrak and works to improve railroad safety. They oversee public highway-railroad crossings, and inspection of railroad infrastructure as it relates to track , grade crossing signals and operating practices of each railroad. To learn more about the railroad program at MoDOT, contact [https://www.modot.org/railroads-general-information Multimodal Rail Division].

====136.3.8.9.4 Transit====
MoDOT’s Transit Section provides financial and technical assistance to public transit and specialized mobility providers statewide. There are state and federal funding programs available for transit agencies. For a full list of funding opportunities, visit [https://www.modot.org/transit-general-information MoDOT’s Transit website].

====136.3.8.9.5 Waterways====
MoDOT’s Waterways Section assists authorized cities and counties in forming port authorities to foster local economic development. MoDOT assists in the development of port authorities through the distribution of capital and administrative funding while championing the efficiencies of waterborne transportation to industry and the general public. To learn more, visit [https://www.modot.org/waterways-general-information MoDOT’s Waterways website].

====136.3.8.9.6 Bike-Pedestrian====
The Missouri Highways and Transportation Commission approved the creation of the Bicycle and Pedestrian Advisory Committee in 1998. The committee members represent constituencies from across Missouri, including various divisions and districts of MoDOT, other state agencies, Metropolitan Planning Organizations (MPO), local governments and bicycle and pedestrian advocacy groups. There are numerous funding opportunities through Surface Transportation Block Grant (STBG) for bike and pedestrian accommodations either as independent projects or as part of a larger traditional roadway improvement. See [[#136.3.8.1 Highway Bridge Program (HBP)|EPG 136.3.8.1 Highway Bridge Program]] for additional information about funding opportunities.

===136.3.8.10 Scenic Byways===

====136.3.8.10.1 Background and Funding====
The National Scenic Byways Program was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). Funds were distributed to states based on competitive applications. Scenic Byways funds were available for projects on routes designated as state scenic byways.

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

====136.3.8.10.2 Project Eligibility and Selection====
Typical project activities include, but are not limited to, safety improvements; construction of facilities for use of pedestrians and bicyclists, such as rest areas, turnouts, overlooks and interpretive facilities; access improvements to recreational areas; protection of historical and cultural resources; tourist information and marketing plans. For additional information on the Scenic Byway program, please visit https://www.modot.org/scenic-byways. Table 136.3.8.8.2 lists the approved Missouri Scenic Byways.

<center>'''Table 136.3.8.10.2 Approved Missouri Scenic Byways '''

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! width="400" style="background:#BEBEBE"|Name of Scenic Byway
|-
|align="left"|[http://www.byways.org/explore/byways/2178/ Cliff Drive]
|-
|align="left"|[http://byways.org/explore/byways/2588 Crowley's Ridge Parkway]
|-
|align="left"|[http://byways.org/explore/byways/71755 Historic Route 66 Byway]
|-
|align="left"|[http://byways.org/explore/byways/2279 Little Dixie Highway of the Great River Road]
|-
|align="left"|[http://www.byways.org/explore/byways/64976/ Old Trails Road]
|-
|align="left"|[http://www.byways.org/explore/byways/73303/ Ozark Mountain High Road]
|-
|align="left"|[http://www.byways.org/explore/byways/64978/ Ozark Mountain Parkway]
|-
|align="left"|[http://www.byways.org/explore/byways/73302/ Sho-Me Santa Fe Trail]
|-
|align="left"|[http://www.byways.org/explore/byways/73301/ Spirit of Kansas City]
|-
|align="left"|[http://www.byways.org/explore/byways/73304/ Stars and Stripes Historical/Cultural Byway]
|}
</center>

====136.3.8.10.3 Project Programming====
For information on the programming of a Scenic Byway project, please visit https://www.modot.org/scenic-byways.

===136.3.8.11 Earmarks/Discretionary (Federal Awards)===
====136.3.8.11.1 Background and Funding====
The current transportation act includes funding for Earmarks / Discretionary Programs. Some funds are subject to obligation limitation which limits the amount funds available for the project.

====136.3.8.11.2 Project Eligibility and Selection====
Funding is allocated by project annually via a competitive application process. Additional information can be found at http://www.fhwa.dot.gov/discretionary/.

====136.3.8.11.3 Project Programming====
For information on the programming of an Earmarks / Discretionary project, please contact your [http://contribute.modot.mo.gov/business/manuals/LPAcontacts.htm MoDOT district representative].

===136.3.8.12 Discontinued Programs ===
The list of programs that follows have been discontinued either by the direction of the Missouri Highways and Transportation Commission or because they are no longer available through the FAST Act Transportation Bill. Some of these programs have been consolidated into the Surface Transportation Block Grant (STBG). LPAs who are current recipients of these funds shall follow the guidelines as prescribed when the funds were awarded.

====136.3.8.12.1 Surface Transportation (STP) Small Urban ====
On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the Small Urban Surface Transportation Program (STP-SU). The STP-SU program has not been required by a federal transportation bill since 1991. The MHTC decided to discontinue funding of this program in fiscal year 2017.

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

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

=====136.3.8.12.1.1 Background and Funding=====
The STP-Urban Program has been authorized for all cities with a population of over 5,000 beginning with Fiscal Year 1974 till 2016 when the program was discontinued. The term "urbanized area" means an area so designated by the Bureau of Census having an urban cluster population of 50,000 or more with boundaries to be fixed by responsible state and local officials in cooperation with each other and subject to approval of the Federal Highway Administration (FHWA). Such boundaries shall as a minimum encompass the entire corporate limits of the urban area.

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

The funds will be administered according to the following:

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

=====136.3.8.12.1.2 Project Eligibility and Selection=====
For projects involving roadway improvements to be eligible for selection under the STP-Urban program, the route must be functionally classified as an urban collector, rural major collector, arterial or expressway. Bridges meeting the eligibility requirements discussed below are not restricted to these routes and may be located on any public road. However, if the bridge is located on a route not on the federal-aid system, federal funding for roadway improvements will be limited to the attainable touchdown point as discussed for Highway Bridge Program (HBP) funding.

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

Prior to submitting the projects to MoDOT for programming, the LPA should submit a location sketch of the proposed project and ensure the route has the proper [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification]. For cities that are part of a MPO, the project must be on the TIP.

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

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

:1. Replacement, rehabilitation addressing all bridge deficiencies, or partial rehabilitation for deficient bridges from MoDOT's eligible list for HBP funding.
:2. Seismic Retrofitting as described in [[#136.3.8.1 Highway Bridge Program (BRO & BRM)|EPG 136.3.8.1 Highway Bridge Program (BRO & BRM)]]. Painting structures as described in EPG 136.3.8.1 Highway Bridge Program (BRO & BRM).
:3. Complete upgrading of traffic safety railing features for a bridge as determined appropriate by the engineer of record and LPA based on the guidelines provided in [[LPA:136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]]. Project must address safety of both bridge railing and related approach roadway guardrail features.
:4. Projects to correct identified operational and/or condition problems with any existing bridge are generally eligible.
:5. Replacement of existing cross-roadway drainage features not on the bridge inventory with an appropriate replacement structure or bridge (available for routes on the federal-aid system).
:6. New bridge construction required for construction of new approved corridors of federal-aid system routes.
:7. Widening of any bridge to accommodate the widening and upgrading of routes on the federal aid system.

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

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

=====136.3.8.12.1.3 Project Programming=====
Prior to incurring costs for any survey, design or other work against any federal-aid project, the project must first be programmed and approved. Programming of all projects will be initiated by the LPA by submitting the location (with sketch), [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1,Programming Data Form]] and a scope of engineering services (if available) to MoDOT. LPAs located in the St. Louis MPO may submit their TIP application in place of the Programming Data Form.

To be eligible for federal funding, proposed design improvements listed on the Programming Data form must be in accordance with the guidelines and requirements of [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

====136.3.8.12.2 Highway Bridge Program On-System Bridge (BRM)====
On July 7, 2016, the Missouri Highways and Transportation Commission (MHTC) approved the discontinuation of the On-system Bridge Program (BRM). The BRM program is not required under the FAST Act and as a result the MHTC discontinued funding of this program in fiscal year 2017.

'''Large Urban Program'''

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

'''Small Urban Program'''

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

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

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

====136.3.8.12.3 Transportation Alternatives Program (TAP)====

=====136.3.8.12.3.1 Background and Funding=====
MAP-21 established a new program to provide for a variety of alternative transportation projects, including many that were previously eligible activities under separately funded programs. The TAP replaces the funding from pre-MAP-21 programs including Transportation Enhancements, Recreational Trails, Safe Routes to School, and Scenic Byways, wrapping them into a single funding source.

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

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

=====136.3.8.12.3.2 Project Eligibility and Selection=====
Transportation alternatives projects must be projects over and above what is considered routine construction or maintenance. Transportation alternatives funds may be used for the following:

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

In addition to defined Transportation Alternatives (as described above), the following projects or activities are eligible:
:* The recreational trails program.
:* The safe routes to school program.
:* Planning, designing or constructing boulevards and other roadways largely in the right-of-way of former Interstate System routes or other divided highways.

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

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

Eligible project sponsors are defined in [[LPA:136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]].

=====136.3.8.12.3.3 Project Programming=====
For information on the programming of a Transportation Alternatives project please refer to [https://www.fhwa.dot.gov/fastact/factsheets/transportationalternativesfs.cfm Transportation Alternatives Program (TAP) Guidance].

====136.3.8.12.4 Transportation Enhancement (TE)====
=====136.3.8.12.4.1 Background and Funding=====
The STP-Enhancement Program began in in 1992 with the passage of Intermodal Surface Transportation Efficiency Act (ISTEA) and was continued, with few adjustments, through SAFETEA-LU till 2012. The TE program offered states different options to enhance their transportation system. All levels of government had the opportunity to plan and develop intermodal transportation systems (various forms of transportation that are integrated and interconnected) tailored to their specific needs. Federal requirements concerning STP Enhancements are quite extensive. For information on the selection and programming of a Transportation Enhancement project, please contact your local MoDOT representative. At least 10% of the Surface Transportation Program funds were allocated towards transportation enhancement activities.

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

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

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

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

=====136.3.8.12.4.2 Project Eligibility and Selection=====
Enhancement projects are over and above what is considered routine construction or maintenance. Transportation enhancement funds may be used in the following categories:

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

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

====136.3.8.12.5 Safe Routes to School (SRTS)====
=====136.3.8.12.5.1 Background and Funding=====
The federal-aid Safe Routes to School Program (SRTS) was created by SAFETEA-LU. Funds were distributed to states based on total school enrollment in primary and middle schools (grades K-8). The funds were available for infrastructure and non-infrastructure projects that benefit elementary and middle school children.

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

=====136.3.8.12.5.2 Project Eligibility and Selection=====
Typical infrastructure project activities include but are not limited to construction or replacement of sidewalks and cross walks or traffic flow modifications. Non-infrastructure projects may be educational activities to teach community members the rules and regulations of biking or walking in or with traffic as well as local law enforcement monitoring around the school. For information on the eligibility and selection of a SRTS project, please contact your local MoDOT representative.

=====136.3.8.12.5.3 Project Programming=====
MoDOT is not programing designated SRTS funding at this time. SRTS activities have been consolidated into STBG under the FAST Act. For information on the programming of an SRTS project, please contact your local MoDOT representative.

==136.3.9 Local Match Guidelines==

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

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

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

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

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

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

==136.3.10 Bridge Soft Match Credit==

===136.3.10.1 Background===
Federal regulations originating in Section 123(e) of the 1987 Surface Transportation and Uniform Relocation Assistance Act (STURAA) provides that agencies (state, county, or city) may receive soft match credit for the cost of a locally funded bridge replacement or rehabilitation that would count toward the local match on federally funded bridge replacement projects. It is not the intent of the program to give credit for all bridge work that is done by the LPA, but only for the eligible replacement and rehabilitation work which is performed according to the appropriate guidelines.

The bridge being replaced or rehabilitated for which the agency desires credit must meet the contractual requirements of the LPA and the MoDOT intent of the [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]].

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

The design drawings shall be prepared under the direction of a registered professional engineer and be signed and sealed by that engineer. By signing and sealing the drawings, the engineer of record will be representing that the MoDOT intent of the HBP has been met in accordance with the criteria set forth in [[136.1 General#136.1.6.1 Highway Bridge Program|EPG 136.1.6.1 Highway Bridge Program]]. A registered professional engineer shall direct the construction inspection.

===136.3.10.2 Project Eligibility===
To be eligible for credit, the bridge that is being submitted must meet all of the requirements listed below.

:1. The bridge must have been on MoDOT’s list of [http://www.modot.org/business/lpa/BridgeEligibilityListing.htm structures that were eligible for federal bridge funds] for the year that the bridge was built.

:2. The bridge must be on a route with a [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm functional classification] of rural local, urban local or rural minor collector.

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

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

===136.3.10.3 Eligible Costs for Bridge Soft Match Credit===
An agency may receive credit for no more than 80% of the eligible costs. The items that are eligible for receiving credit include preliminary engineering services, surveys, environmental and cultural documentation, subsurface investigations, right of way services, bridge construction, minimal road construction, construction engineering for inspection, and those portions of utility relocation costs for which the county is obligated.

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

:1. Community Development Block Grant Funds if authorized by the Department of Housing and Urban Development

:2. Local Public Works Funds authorized by the Economic Development Administration.

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

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

===136.3.10.4 Final Design===
On projects for which credit is desired, the engineer of record shall have the responsibility for the selection of the specific design parameters along with verifying that the MoDOT intent of the [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]] is being met as described and given in [[136.1 General|EPG 136.1 General]] and [[136.7 Design#136.7.2.2.5 Preliminary Design|EPG 136.7.2.2.5 Preliminary Design]].

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

:1. Applicable federal clearances and permits have been obtained as outlined in [[136.6 Environmental and Cultural Requirements#136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations|EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations]].

:2. Applicable state clearances and permits have been obtained as outlined in EPG 136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations.

:3. Coordination was done with local utilities when the project involved the disturbance or relocation of utilities.

:4. Coordination was done with railroads when the project involved structures over railroads.

:5. Coordination was done with local levee and drainage districts when the project involved the disturbance of drainage or flood control structures under the control of these local districts.

:6. New bridge cannot be scour critical.

The specifications and job special provisions for the project shall also be determined by the engineer based on specific site conditions and guidance given in [[136.7 Design#136.7.2.2 Structures|EPG 136.7.2.2 Structures]].

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

===136.3.10.5 Construction Letting===
The Federal Aid contract requirements of [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] are not required. When the LPA elects to build the project by contractor, then the State and Local requirements for competitive bidding shall be used.

===136.3.10.6 Construction===
The federal requirements for construction in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]] may be waived. The construction inspection, testing and sampling shall be done under the direction of a registered professional engineer.

===136.3.10.7 Request for Credit Submittal===
Requests for Bridge Soft Match Credit on a bridge project are submitted after the bridge has been built and opened to traffic. Submittal at the PS&E stage of the project is not necessary. However, if the engineer of record or the LPA has specific eligibility questions regarding the project that they would like MoDOT to address before construction, then contact MoDOT’s Bridge Division. Specific questions should be provided by the engineer of record or the LPA on their cover letter with the submitted package.

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

====136.3.10.7.1 Information/Certifications on LPA Cover Letter====
:1. The cover letter should indicate the beginning date and the completion date for the construction on the credit project.

:2. The LPA shall certify that the project is non-controversial. For the purpose of the Bridge Soft Match Credit program, “non-controversial” will be defined as meaning that the project does not have a history of litigation, disputes, negative media reports or any other controversy.

:3. The LPA shall certify that the project has been built in accordance with the standards applicable to [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|the Highway Bridge Program (HBP)]], except as noted in [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]], and that the project was constructed substantially in conformity with the plans and specifications.

:4. The LPA or the engineer of record shall provide certification that the costs claimed for the project, provided as a deliverable in EPG 136.3.10.7.2, are the actual costs incurred for the project.

====136.3.10.7.2 Deliverables Provided by LPA====
:1. As built plans and specifications (size 11 in. x 17 in.), signed and sealed by the engineer of record and approved by the LPA. Refer to [[136.7 Design#136.7.2.2.6.2 Plan Information|EPG 136.7.2.2.6.2 Plan Information]] for specific requirements.

:2. Structural Inventory and Appraisal sheet (SI&A), completed for the project bridge and signed and sealed by the engineer of record. Refer to [[136.7 Design#136.7.2.2.6.3 Structure Inventory and Appraisal Sheet|EPG 136.7.2.2.6.3 Structure Inventory and Appraisal Sheet]] for specific requirements.

:3. Load rating calculations including a load rating summary sheet, signed and sealed by the engineer of record. Refer to [[136.7 Design#136.7.2.2.6.4 Load Ratings|EPG 136.7.2.2.6.4 Load Ratings]] for specific requirements.

:4. The LPA shall provide documentation of the eligible final costs for the credit project. When the quantities documented for costs do not match the list of quantities as compared to the engineer’s pre-construction itemized cost estimate, the LPA shall submit justification for the changes in the planned quantities. If the existing structure is currently eligible for rehabilitation only and the LPA elects to replace the structure, the amount of eligible federal funding will be limited to that which will not exceed the rehabilitation cost estimate unless appropriate justification is provided by the LPA that a new structure represents the best value. If the rehabilitation cost is at least 68% of the replacement costs, then it can generally be assumed that the new replacement structure will provide a better value than the rehabilitation of the existing structure.

:5. Certification from the engineer of record that the applicable requirements as discussed in [[#136.3.10.4 Final Design|EPG 136.3.10.4 Final Design]] have been met. The engineer of record can satisfy this requirement by submitting a letter listing the applicable requirements from EPG 136.3.10.7 and indicating that the appropriate clearances and permits were obtained.

:6. Photographs of the as built bridge including, at a minimum, a view of the bridge along the roadway and a profile view of the bridge from the stream. Photographs of the bridge during construction are also encouraged, but are not required as part of the credit submittal.

====136.3.10.7.3 Information Provided by the District====

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

:1. A final “walk-through” inspection of the bridge has to be completed by someone in the district that has been Team Leader certified for nonstate bridge inspections as designated in [https://epg.modot.org/files/2/2d/Bridgesection_3.pdf EPG 753.3 Inspection and Reporting Aids (Section 3)]. This inspection has to include the items as listed below.

::a. Assignment of appraisal and condition ratings consistent with the normal inspection practice for nonstate bridges.

::b. Verification that the bridge is in "good" condition.

::c. Verification that the bridge was constructed in general conformance with the bridge plans, which basically includes verification of the bridge location, bridge type, bridge width, bridge length and the number of members.

:2. The inspector must submit a letter or some other appropriate form of documentation to the District person overseeing the credit project indicating that the inspection has been completed and the date that the inspection was completed. This letter should also indicate that the structure was found to be in “good” condition and that the structure was built in general conformance with the plans. A copy of the inspection report should be provided with the letter along with any photographs that were taken.

:3. Once all of the information has been received from the LPA and from the bridge inspector, the District should submit the Bridge Soft Match Credit package along with the documentation provided by the inspector to Bridge Division at the Central Office. This submittal package should include a cover letter recommending that credit be approved for this bridge project.

===136.3.10.8 Use of Bridge Soft Match Credit===
The eligible costs may apply as credit toward the 20% local match required on federal-aid bridge projects. This credit provision does not increase an agency's allocation of [[136.3 Federal Aid Basics#136.3.8.1 Highway Bridge Program (BRO & BRM)|Highway Bridge Program (HBP)]] funds, but will permit usage of funds already allocated to an agency at a rate up to 100%.

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

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

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

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

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

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

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

:2. The request must be approved by Financial Services at the Central Office prior to using the soft match credit on a bridge project.

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

:1. Both LPAs must submit written requests to the local MoDOT district office on their LPA's letterhead

:2. and state the dollar amount of BRO funds and soft match credit to be transferred by each LPA. This letter must be signed by all of the county commissioners or the appropriate city officials. The MoDOT district office will forward this request to Financial Services at the Central Office for review and approval.

:3. The request must be approved by Financial Services at the Central Office prior to using the soft match credit and BRO funds on a bridge project.

:4. No transfer can result in an LPA having a negative balance of BRO funds.

==136.3.11 Other Federal Funding Used as Match==

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

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

<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! style="background:#BEBEBE" colspan="2"|Federal-to-Federal Matching Opportunities
|-
! style="background:#BEBEBE" |Source of Federal Funding !! style="background:#BEBEBE" |Eligible Categories of Highway Projects
|-
|Federal Land Management Agencies, including but not limited to: * U.S. Forest Service * Bureau of Indian Affairs * Bureau of Reclamation * Bureau of Land Management * National Park Service * Numerous military agencies (authorized at 23 U.S.C. 120(k))||Federal highway projects funded under the following program categories: * National Highway Performance Program * Surface Transportation Program * Congestion Mitigation and Air Quality Program * Transportation Alternatives Program
|-
|Federal Lands Highway Program (authorized at 23 U.S.C. 120(1))||Federal highway projects funded under the programs shown above and that serve or provide access to federal or Indian lands, except Scenic Byways
|-
|Federal programs with special legislative authorization to match other federal funds, including funds provided under: * State and Local Assistance Act * HUD Community Development Block Grants * Public Works Employment Act of 1976 * Delaware and Lehigh Navigation Canal National Heritage Corridor Act of 1988||Any Federal-aid highway project
|}
</center>

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

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

==136.3.12 Federal-aid Participation for Local Work==

===136.3.12.1 Introduction===
For some projects, due to their nature, size, or special considerations, it may be desirable for the LPA to use its own resources rather than a contractor or consultant. The federal requirement for use of local work varies depending on the type of service or work being provided by the LPA. EPG 136.3.12 includes guidelines and procedures to receive federal-aid reimbursement for the costs related to services or work completed by the LPA. [http://www.fhwa.dot.gov/legsregs/directives/orders/50601.htm Additional information on federal aid participation] is available.

===136.3.12.2 Funding Obligation===
Any participation of federal-aid for local work must be pre-approved. Any funds spent or work completed prior to obligation of funds, FHWA authorization, will not be reimbursable!

===136.3.12.3 Federal-aid Participation for In-House Services===
This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of project-related services performed by LPA staff. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

====136.3.12.3.1 Eligible Costs====
Federal funds may participate in the direct costs of salaries, wages, and related payroll expenses of LPA employees, but only for those costs incurred when the LPA’s employees are directly engaged in eligible activities. Related payroll costs include travel, transportation, leave, holidays, social security, retirement and other payroll benefits.

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

====136.3.12.3.2 Eligible Activities====
Only project-related activities that directly contribute to the planning, design, development, or implementation of the approved project scope are eligible for Federal participation. These include the following:

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

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

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

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

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

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

====136.3.12.3.3 Submittal Requirements====
An estimate of the in-house services costs must be submitted to MoDOT when requesting Federal-aid participation for in-house services. The following information shall be included in the estimate:

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

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

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

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

====136.3.12.3.4 Procedures====
The necessary procedures to request, review and approve in-house services costs are summarized below:

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

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

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

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

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

MoDOT reviews and processes the requests for reimbursement as appropriate.

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

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

===136.3.12.4 Federal-aid Participation for Construction by Local Agency Forces===
This article includes guidelines and procedures to receive federal-aid reimbursement for the costs of construction performed by LPA forces. Topics addressed include eligible costs and activities, submittal requirements, and the procedures for requesting, reviewing and authorizing federal funds for such use.

====136.3.12.4.1 Federal Law====
[https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1114 23 CFR 635.114(a)] requires Federal-aid projects to be constructed by contracts awarded on the basis of competitive bidding. However, in rare cases, this requirement may be waived if the LPA fails to receive competitive bids and finds it is more cost effective to use some other method, as provided for in 23 CFR 635, Subpart B. One such method is the use of LPA forces to perform the construction. The LPA’s finding of cost effectiveness shall be reviewed and approved by MoDOT and FHWA before construction by LPA forces can proceed.

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

* Completing the proposed construction work using LPA forces will be cost effective. (Refer to [https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1204 23 CFR 635.204].)

* There are special or unique circumstances that justify deviating from the competitive bidding process. (Refer to [https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2bbb0b16df47b4c313357c831cc4b90a&mc=true&n=pt23.1.635&r=PART&ty=HTML#se23.1.635_1204 23 CFR 635.204].)

====136.3.12.4.2 Eligible Costs====
Subject to the approvals and procedures outlined in EPG 136.3.12.4, federal funds may participate in the direct costs of labor, equipment, materials, or supplies provided by LPA to complete the project construction, either in whole or in part. Labor costs include salaries, wages, and other related payroll expenses, such as leave, holidays, social security, retirement, and other payroll benefits.

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

====136.3.12.4.3 Eligible Activities====
For a project to be eligible for 100 percent construction by local forces the following criteria must be met:

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

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

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

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

====136.3.12.4.4 Submittal Requirements====
To receive federal-aid reimbursement for construction by LPA forces, the LPA must submit the following information to MoDOT to support its finding of cost effectiveness (see [[media:136.3.17 May 2012.doc|Fig. 136.3.17]]):

:An explanation, including supporting documentation, of the reasons or special circumstances that justify using LPA forces in lieu of traditional competitive bidding. Examples of supporting documentation may include things such as:

::a failed attempt to accomplish the proposed work by competitive bidding due to lack of bids or unreasonable bids; or

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

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

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

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

:1. Staff time (hours) for each different phase of the work. Staff time should be estimated separately for each employee or classification of employees.

:2. Wage rates for each employee or classification of employee including any payroll expenses that are part of the wage rate, such as IPERS, FICA, employee benefits, etc.

:3. Equipment type, hours of use, and unit costs (such as the rental rate per hour or per mile). Note: If an LPA must acquire or rent substantially more equipment than required for its normal operations, it may be difficult to justify the use of LPA forces.

:4. Costs of materials and supplies to be incorporated in the project. Include sources and suppliers, if known.

:5. Source documentation for the unit costs (labor, equipment, and materials) used to prepare the estimate.

:6. A cost estimate of the work that assumes the work will be competitively bid. This estimate is for comparison purposes with the estimate described in item no. 3, above. Source documentation for the unit costs should also be included with this estimate. Unit bid price information for similar work shall not be more than 1 year old and must be from within the same geographic bidding region. LPAs could also use appropriate bidding information for similar projects from adjacent counties that are not more than 1 year old to meet this periodic competitive bidding verification requirement.

:7. The amount of federal funds requested.

====136.3.12.4.5 Procedures====
The necessary procedures to request, review and approve Federal participation in construction by LPA forces are summarized below:

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

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

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

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

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

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

MoDOT reviews and processes the requests for reimbursement as appropriate.

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

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

==136.3.13 Agreements==

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

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

If the LPA elects to construct any portion of the project with its own forces, it will be necessary to include a provision in the agreement that requires the LPA to comply with Section II, Equal Opportunity and Section III, Nonsegregated Facilities, as set out in FHWA Form 1273. FHWA Form 1273 will be attached to all project agreements.
<div id="The MoDOT district representative"></div>
The [https://www.modot.org/contact-modot-lpa MoDOT district representative] will initiate preparation of the agreement. The district representative will consult with the LPA to pinpoint the various arrangements and details that will be covered. The agreement will first be presented to the LPA for signature. Once the agreement has been signed by the LPA, the LPA shall submit the signed agreement and any other required documents to MoDOT's district representative. Projects being constructed by cities must also return 1 copy of an enabling legislation at the time of the execution. After approval and signature by the Missouri Highway and Transportation Commission, a fully executed copy will be returned to the LPA.
{|style="padding: 0.3em; margin-right:15px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="570px" align="right"
|-
|align=center colspan="2"|'''Additional Information for MoDOT Employees'''
|-
|colspan="2" align=center|Refer to [[:Category:153 Agreements and Contracts|EPG 153 Agreements and Contracts]] and [[:Category:134 Engineering Professional Services#The district then follows the procedures below|EPG 134.2.4]] for current contracts.
|}
If a supplemental agreement is necessary, an ordinance may be required if the original ordinance makes references to specific project information such as but not limited to, amount of federal funds, project timeline or the original agreement. Please refer to [[media:136.3.16.doc|Fig. 136.3.16 Sample Ordinance]] for a sample ordinance. The LPA may elect to fill in the areas providing project descriptions in a general project descriptive manner to preclude the passage of another ordinance.

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

==136.3.14 Federal Funding Accountability and Transparency Act (FFATA)==

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

==136.3.15 Reimbursement and Auditing==

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

:1. Authorization and federal funding must be approved prior to incurring costs. This applies to all types of work, such as preliminary engineering or right of way. Preliminary engineering costs may be incurred only up to the construction contract award stage. Specific MoDOT concurrence in the awarding of any contract must be obtained before a notice to proceed is issued.

:2. All costs incurred by the LPA for both contract work and work performed by LPA personnel for whom reimbursement is sought must be supported by original source documents or documentation which provides adequate assurance that the quantities of completed work were determined accurately and on a uniform basis. Whenever the actual cost method of payment is used, reimbursement requests for costs incurred should be substantiated as follows:

::a. Labor costs are supported by the documentation described below in item 3.

::b. Material and equipment costs are supported by submitting a paid receipt from the vendor.

::c. Machinery rental costs are supported by submitting a paid receipt from the rental vendor.

::d. Rental fees for agency-owned equipment and machinery are supported with hourly documentation.

:The rental rates and operating costs shall be based on either the Dataquest (Dunn & Bradstreet) Rental Rate Blue Book or the current Federal Emergency Management Agency (FEMA) public assistance schedule of equipment rates. The blue book is a standard reference for rental rates on all classes of construction equipment. The FEMA equipment rates and the agency developed prepared rates are an acceptable alternative.

:3. Project-specific LPA costs (except for administration costs) are allowable to the extent that they are supported by original source documentation. Daily time records supported by a project number must be kept for audit. They shall include the daily breakdown of the employee's time. The hourly rates must be the rate the employee actually received, plus actual labor additives calculated on a percent of labor basis (Social Security, Workmen's Compensation, insurance, etc.). The cost of vehicle and other equipment usage may be claimed on an hourly or mileage basis to the extent that the cost can be supported.

:4. Incidental costs, arbitrary or otherwise unsupported costs or items not necessary to complete the project will not be reimbursed.

:5. Additional construction costs due to error on the part of the contractor are not eligible for federal participation. Also, additional inspection costs incurred as a result of contractor error are normally assessed against the contractor and are not eligible for federal reimbursement. The term "contractor" shall also include subcontractors, fabricators, and suppliers working on the project.

:6. A request must be submitted for additional federal funding if the construction change orders for the project exceed the construction contract. Federal funding for change orders is limited to the TIP amount for projects within an MPO, agreement amount for enhancement projects, and programmed amounts for BRM projects. Change orders for projects are limited to the LPA's federal allocation balance.

:7. Additional engineering and/or resulting construction costs due to design errors and omissions, resulting in a re-design, are not eligible for federal participation. Participation in added project costs resulting from re-design or plan changes can only be considered in cases where it can definitely be established that the changes were the result of unforeseen site conditions or other causes that would not reasonably be under the control of the LPA or its engineer.

===136.3.15.1 Final Invoices===
Two copies of the final invoice should be submitted after all work has been completed and accepted. The final invoice must be marked "Final Invoice" and be accompanied by a detailed itemization of total project costs. The final invoice should be submitted in the same manner as progress payment invoices. For detailed information on the procedures to be followed see [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

===136.3.15.2 Audit and Final Reimbursement===
The [http://www.fhwa.dot.gov/ FHWA] and MoDOT have the right to audit the LPA's records at any stage of completion. MoDOT will process invoices by requesting payment from the FHWA. The final invoice will require an audit or review of project records that will be conducted by MoDOT Audits and Investigations or Financial Services staff. Source documentation (timesheets, lodging receipts, etc.), accounting records, and project records (construction diary, etc.) must be retained for three years following the date on which the LPA receives reimbursement of their final invoice from MoDOT. Retention and access requirements
for records, from [https://www.gpo.gov/fdsys/pkg/CFR-2009-title49-vol1/pdf/CFR-2009-title49-vol1-sec18-42.pdf Title 49 CFR 18.42 - Federal Acquisition Regulations System], are available.

===136.3.15.3 OMB Audit===
If the city/county/grantee expend(s) $750,000 or more in a year in federal financial assistance it is required to have an independent annual audit conducted in accordance with 2 CFR Part 200. A copy of the audit report shall be submitted to MoDOT within the earlier of 30 days after receipt of the auditor's report(s), or 9 months after the end of the audit period. Subject to the requirements of 2 CFR Part 200, if the city/county/grantee expend(s) less than $750,000 a year, the city/county/grantee may be exempt from auditing requirements for that year but records must be available for review or audit by applicable state and federal authorities.

==136.3.16 Key Submittals/Requirements==
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Programming data form / TIP application|| Provide project information|| Verify eligibility||10 working days
|-
|Reasonable Progress||Ensure project development / implementation schedule is being met||Verify project development / implementation schedule is being met|| Ongoing
|-
|Force Account||Justify cost effectiveness and LPA’s ability to perform the task||Review and approve/deny||10 working days
|-
|Work By Local Forces||Justify cost effectiveness and LPA’s ability to perform the task||Review and approve/deny||10 working days
|-
|Donated Services||Document fair market value of donated materials, services and real property||Review and approve/deny|| 10 working days
|-
|Request for Bridge Soft Match Credit||Provide submittal package||Review and approve/deny|| 10 working days
|-
|Transfer Bridge Soft Match Credit||Request letter signed by all commissioners from transferring county||Review and approve/deny|| 10 working days
|-
|Transfer BRO and Bridge Soft Match Credit||Request letters signed by all commissioners from transferring and receiving counties||Review and approve/deny ||10 working days
|-
|Indirect Costs|| Provide cost allocation plan||Review and approve/deny|| 20 working days
|-
|Agreement||Execution by LPA governing body||Review and approve/deny for Execution by the commission||20 working days
|-
|FFATA||Provide federal awards information, Form-1590||Post federal awards information||10 working days
|-
|Reimbursement Request||Provide original source documents for costs incurred to date|| Review and approve/deny||20 working days
|-
|Final Invoice|| Submit within 30 days of final acceptance|| Review and approve/deny|| 20 working days
|}

==136.3.17 Emergency Relief==

===136.3.17.1 Federal Highway Administration (FHWA)===

[http://www.fhwa.dot.gov/programadmin/erelief.cfm Additional information on program guidelines] is available.

====136.3.17.1.1 Federal Highway Administration – Emergency Relief Program====

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

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

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

FHWA offers an emergency relief program for the repair or reconstruction of federal-aid highways and roads which have suffered serious damage as a result of natural disasters or catastrophic failures from an external cause. MoDOT administers the program for Missouri. [https://www.fhwa.dot.gov/programadmin/erelief.cfm Additional information about FHWA's Emergency Relief Program] is available.

:* [https://www.fhwa.dot.gov/federal-aidessentials/companionresources/96eroverview.pdf Program Overview and Eligibility]
:* [http://www.fhwa.dot.gov/reports/erm/er.pdf Emergency Relief Manual]
:* [http://www.fhwa.dot.gov/map21/qandas/qaer.cfm Emergency Relief Questions and Answers]
:* [https://www.fhwa.dot.gov/modiv/emergency_relief.cfm Missouri Division - FHWA Emergency Relief]

Identify Federal-aid roads using [https://datazoneapps.modot.mo.gov/bi/apps/maps/Home/Index/FedAidRoutes MoDOT’s interactive Federal-aid map]. Zoom in to the jurisdiction’s geographic area. The Federal-aid roads will be highlighted in color. The state system federal-aid roads are in blue. The off-system federal-aid roads, or LPA federal-aid roads, are in green. Federal-aid roads are based on the functional classification of each roadway, and include interstates, freeways, arterials, major collector and urban collector roads.

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

:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=96 Emergency Relief Program Overview and Eligibility]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=97 Initial Steps for Requesting]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=98 Steps for Receiving Reimbursement of Emergency Relief Expenses]
:* [https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=99 Emergency Versus Permanent Repairs]

====136.3.17.1.2 FHWA ER Project Procedures====

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

'''Emergency Repairs'''

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

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

'''Permanent Repairs'''

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

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

===136.3.17.2 Federal Emergency Management Agency (FEMA)===

[http://www.fema.gov/ Additional information on program guidelines] is available.

====FEMA Public Assistance Grant Program====

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

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

:* [https://www.fema.gov/public-assistance-local-state-tribal-and-non-profit Public Assistance: Local, State, Tribal and Private Non-Profit]
:* [https://www.fema.gov/public-assistance-policy-and-guidance Public Assistance: Policy and Guidance]
:* [https://www.fema.gov/media-library-data/1525468328389-4a038bbef9081cd7dfe7538e7751aa9c/PAPPG_3.1_508_FINAL_5-4-2018.pdf 2018 Public Assistance Program and Policy Guide].

'''Contact MoDOT'''

::Chris Engelbrecht, Emergency Management Liaison

::Missouri Department of Transportation

::P.O. Box 270

::Jefferson City, MO 65102

::christopher.engelbrecht@modot.mo.gov

::(573) 526-4842 office

::Julie Stotlemeyer, Assistant State Design Engineer – LPA

::Design Division

::Missouri Department of Transportation

::P.O. Box 270

::Jefferson City, MO 65102

::julie.stotlemeyer@modot.mo.gov

::(573) 526-6997 office

===136.3.17.3 State Emergency Management Agency (SEMA)===

[http://sema.dps.mo.gov/ Additional information on program guidelines] is available.

[[Category:136 Local Public Agency (LPA) Policy|136.03]]

LPA:136.13 LPA Policy Changes

2022-03-16T16:26:04Z

Bramar12:

3/16/22 The second paragraph of EPG 136.9.4.1.1.5 was updated to reflect that the DBE Submittal Forms, Fig. 136.9.9, must be completed and submitted with the bid proposal or delivered by all bidders within three working days after the bid opening date.

3/11/22: In [https://epg.modot.org/index.php/LPA:136.9_Plans,_Specs_and_Estimates_(PSE)#136.9.4.1.1.16_On_the_Job_Training_.28OJT.29_.2823_CFR_Section_230.29 EPG 136.9.4.1.1.16 On the Job Training], the training provision link was updated to the current training provision.

3/9/22: In [[LPA:136.1 Introduction#136.1.2.1.1 Requirements|EPG 136.1.2.1.1 Requirements]] and [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training, LPA Basic Training]], guidance has been updated to reflect current LPA training requirements.

3/8/22: In [[LPA:136.3 Federal Aid Basics#The MoDOT district representative|EPG 136.3.13 Agreements]], the outdated requirement to submit 7 copies of the program agreement was removed.

9/24/21: The latest [[media:127.14.3.1 2021.pdf|programmatic agreement]] between MoDOT and FHWA is available in the second paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.3 Categorical Exclusion (CE)|EPG 136.6.3 Categorical Exclusion (CE)]].

9/16/21: [[media:136.9.6.docx|Fig. 136.9.6 Utility Status Letter]] now requires an LPA letterhead and a signature from an LPA Person in Responsible Charge.

8/31/21: Updated [[media:136.6.4 instructions 2021.pdf|Fig. 136.6.4, How to Complete the Request for Environmental Review]] to align with the new web-based system.

7/13/21: The [[media:Fig.136.3.24 2021.docx|Fig. 136.3.24, TEAP Program Application]] in [[LPA:136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] has been updated by increasing the federal fund limit to $12K per project and adding clarification about "person in responsible charge".

6/11/21: Updated [[media:136.6.6 2021.pdf|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]] to bring it into compliance with existing guidance in [[LPA:136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]].

5/14/21: At the end of the [[LPA:136.6 Environmental and Cultural Requirements#In making a de minimis|last paragraph of EPG 136.6.4.2.3 De Minimis Determination]], guidance was clarified that the public must be able to review the effects of the project on the Sec 4f property.

5/11/21: New guidance is now available at [[LPA:136.8 Local Public Agency Land Acquisition#136.8.7.5 Administrative Settlements|EPG 136.8.7.5 Administrative Settlements]] for making administrative settlements, preparing a letter of justification and other considerations.

5/10/21: The [[media:146 CUF After Mar 2021.pdf|Commercially Useful Function (CUF) Determination Form]], discussed in [[LPA:136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], has been revised with more open ended questions that assist in determining whether a DBE is performing a Commercially Useful Function. The form now includes a field observation section for inspectors to note what they saw in the field.

4/27/21: The former EPG 136.7.3.1.2.1.11 Buy America Requirements was deleted since the Buy America JSP is now in the spec book. The new guidance in [[LPA:136.7 Design#136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)|EPG 136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)]] presents the requirement for the use of the Supplemental Revisions JSP.

4/20/21: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], has been updated to current practice.

2/19/21: [[media:136.9.4 Mar 2021.docx|Fig. 136.9.4, ADA Checklist]] was updated. On Page 15 of the checklist, the force to activate Accessible Pedestrian Signal pushbuttons was revised as was their minimum distance from the curb line and their height from the ground. On both Page 15 and 16, guidance was more closely tied to compliance with the EPG.

2/18/21: Contact information has been updated in [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].

1/15/21: At the bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.1 Introduction|Key Environmental/Cultural Resources Compliance Milestones]] table, added Public Involvement information. Also, clarified that public involvement is needed with the RER in a new paragraph at bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)|EPG 136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)]].

11/23/20: Guidance was expanded in [[LPA:136.11 Local Public Agency Construction#136.11.13 Documentation Requirements|EPG 136.11.13 Documentation Requirements]] through [[LPA:136.11 Local Public Agency Construction#136.11.13.2 Payment Diaries|EPG 136.11.13.2 Payment Diaries]]. MoDOT will no longer be approving specific software for use; the LPA must ensure the software chosen meets the outlined criteria. Guidance about what should be documented in the construction diaries was clarified in [[LPA:136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]].

9/30/20: Guidance for the A-date process in [[LPA:136.8 Local Public Agency Land Acquisition#Square 14|EPG 136.8.1.6 Local Public Agency - Right of Way and Easement Acquisition, "Square 14"]] and the first and third paragraphs of [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] has been clarified and updated to reflect current policy and processes.

9/2/20: Clarified [[media:136.4.7 2020.docx|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], by adding "Remove note before posting" to instructions just below the table on the second page.

8/13/20: The seventh paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.6 Base Floodplain and Regulatory Floodway|EPG 136.6.4.6 Base Floodplain and Regulatory Floodway]] was revised to make CFR requirements more apparent.

7/14/20: Minor updates were made to Fig. 136.9.3, Federal Project Bid Proposal Boilerplate.

7/9/20: The last sentence of the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)|EPG 136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)]] is new guidance about how to fill out Fig. 136.9.9, DBE Submittal Forms. Fig. 136.9.3, Federal Project Bid Proposal Boilerplate and Fig. 136.9.9, DBE Submittal Forms were also updated.

7/1/20: In the second paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]], guidance was clarified, now including submitting a copy of the supplemental to the ECR email group.

6/23/20: The second sentence in the first paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] was added to clarify guidance about an LPA disqualifying a consultant.

6/18/20: Guidance in [[LPA:136.6 Environmental and Cultural Requirements#136.6.3 Categorical Exclusion (CE)|EPG 136.6.3 Categorical Exclusion (CE)]] was updated with the FHWA agreement requirements.

6/17/20: The process in [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] has dramatically changed. MoDOT has hired a consultant to provide oversight the Local Public Agency’s Section 106 compliance. The EPG directed the LPA to send a Project Information form to the SHPO to start the Section 106 process. That is no longer required. The new approach is for the LPA to submit a Request for Environmental Review to MoDOT.

5/1/20: In [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.7 Inspection of Documents|EPG 136.8.2.7 Inspection of Documents]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.8 Federal Project Number|EPG 136.8.2.8 Federal Project Number]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] and [[LPA:136.8 Local Public Agency Land Acquisition#136.8.10.1 General|EPG 136.8.10.1 General]], guidance has been added about the documentation MoDOT RW staff is to enter into the LPA State Management System Application (SMS). Also, In EPG 136.8.2.2 Acquisition Authority, the LPA may now request an A-date by submitting only one set (instead of two sets) of completed right of way plans.

12/16/19: In [[LPA:136.4 Consultant Selection and Consultant Contract Management#A consulting engineering firm|EPG 136.4.1.6 Conflict of Interest]], clarified guidance by adding information pertaining to when a consultant acts as a city engineer.

9/18/19: Numerous minor revisions were made in [[LPA:136.3 Federal Aid Basics#136.3.8.4 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.4 Bridge Engineering Assistance Program (BEAP)]] as the new BEAP contract goes into effect. Two BEAP documents (Figs. 136.3.19 and 136.3.20) were updated while two BEAP figures (Fig. 136.3.22 Estimate of Cost and Fig. 136.3.23 General Scope of Services) were deleted.

9/6/19: In [[LPA:136.11 Local Public Agency Construction#Change Order Level 1|EPG 136.11.15.2 Change Order Approval]], the LPA change order approval process was updated to current practice. The MoDOT signature is needed for Level 1 change orders and an FHWA review is only required on Change Order Level 2 PODI projects.

8/21/19: The link to the TSP was updated in the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.16 On the Job Training (OJT) (23 CFR Section 230)|EPG 136.9.4.1.1.16 On the Job Training (OJT)]].

7/22/19: In [[media:136.9.1 2019.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], checklist guidance related to wage rates was updated.

7/22/19: As a convenience, guidance for LPAs to access federal emergency relief has been expanded in [[LPA:136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]].

7/22/19: In [[LPA:136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]], guidance for LPA programs that are no longer in use was deleted. Also, guidance was updated to accommodate revisions in the FAST Act.

5/20/19: In [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species and Migratory Birds|EPG 136.6.4.5 Threatened and Endangered Species and Migratory Birds]], guidance for the Threatened and Endangerd process was clarified throughout. New (and currently used) guidance, [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5.3 Migratory Birds|EPG 136.6.4.5.3 Migratory Birds]] was also added. [[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]] replaced the old Fig. 136.6.18 LPA Environmental RER T&E Guidance, and [[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]] was added.

5/14/19: In [[LPA:136.6 Environmental and Cultural Requirements#On linear transportation projects|EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams]], guidance was clarified to attach to RER for documentation purposes.

1/16/19: [[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]], was updated.

1/15/19: In [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training]], the listing of the web-based NHI courses was updated.

1/11/19: A sentence was added to the end of the first paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]] to clarify NEPA information. This info referencing documentation involved when more than one acre is planned to be disturbed was added at the request of the FHWA.

11/30/18: [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.13 Noise Standards and Noise Abatement|EPG 136.6.4.13 Noise Standards and Noise Abatement]] was significantly simplified to reflect that LPAs must use MoDOT’s FHWA-approved noise policy.

11/20/18: [[media:136.8.8.docx|Clearance Certification Statement (Form 136.8.8)]] was slightly modified by replacing "free deed" with "donation".

11/14/18: In [[LPA:136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]] and [[LPA:136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]], archaic contract links and listings were removed. Also, in EPG 136.3.13 Agreements, a reference to the CCO site was replaced with a link to EPG 153 Agreements and Contracts.

10/26/18: Updated the documentation processes to current practices and updated the requirements of new laws and regulations. Much of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3] was revised as was "Permits for Land Disturbance" in [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8], the last paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], the third paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2], and [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.14_Air_Quality_Requirements EPG 136.6.4.14]. Fig. 136.6.1, Project Review Process flowchart, Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones, Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist and Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way were also updated. Fig. 136.6.16 was re-labeled as "LPA Project Checklist for Adverse Effects".

4/10/2018: In the second paragraph of [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)|EPG 136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)]], guidance was added about including the correct wage rate order from the Dept. of Labor on LPA projects. If an updated wage rate order has been issued within 10 days of the project letting, the updated version has typically not been included in the project documents. This is allowed, however the requirement states that if the agency finds that sufficient time is not afforded to include the updated wage order, then this finding and reasoning must be included in the individual project records.

3/29/18: Procedures in Section 106 (Cultural Resource) Compliance were clarified at the bottom of the second paragraph of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] and in the first sentence of [[136.6 Environmental and Cultural Requirements#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

3/29/18: Removed second sentence of the second paragraph ("In figuring the percentage of the contract work performed, all prices for sublet work shall be at contract unit bid prices.") from [[136.11 Local Public Agency Construction#136.11.5 Subcontracts |EPG 136.11.5 Subcontracts]]. The sentence was outdated.

3/26/18: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4 How to Complete the Request for Environmental Review]] was updated.

1/24/18: In [[136.2 Certification and Training|EPG 136.2 Certification and Training]], the contact information for the Technician Certification Program was updated.

12/26/17: [[media:Fig.136.3.24 2017.docx|Fig. 136.3.24, TEAP Program Application]] was updated. Also, in [[136.3 Federal Aid Basics#136.3.8.11.1 Introduction|EPG 136 136.3.8.11.1 Introduction]] and [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]], guidance was slightly expanded to accommodate the changes in the TEAP Program Application.

12/14/17: [[media:Fig.136.3.20 2019.docx|Fig. 136.3.20, BEAP Project Tracking Form]] was updated. Also, Gabe Wolken was added as a contact for BEAP information in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

11/30/17: In [[136.3 Federal Aid Basics#136.3.15.2 Audit and Final Reimbursement|EPG 136.3.15.2 Audit and Final Reimbursement]], the sentence stating the LPAs must supply a copy of the final audit report to the MPOs was removed.

11/13/17: Guidance in [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] was expanded since the FAST Act has extended eligibility for some programs. Eligibility to nonprofits in the large MPOs (Kansas City, St. Louis and Springfield) is now allowed.

11/1/17: A link was updated in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

10/31/17: [[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]] was updated with new “Whereas” clauses to address issues brought up by FHWA and the Advisory Council over the last few years.

9/20/17: The Subcontractor Disclosure in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated to reflect the current section of the Missouri Standard Specification for Highway Construction.

9/18/17: In [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]], the funding description and FFATA requirement were further clarified.

9/1/17: At the bottom of the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.5.2 Title Information|EPG 136.8.5.2 Title Information]], a sentence was added with a link to a checklist of items to determine property ownership for ADA projects.

6/29/17: A new PowerPoint, [[media:136.4.1.ppt|Consultant Inspection]], in [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.3 Construction Engineering/Construction Inspection (CE)|EPG 136.4.1.3.3 Construction Engineering/Construction Inspection (CE)]] provides guidance on how to solicit and procure a consultant for construction. Its guidance is primarily aimed at MoDOT Construction employees but may also be of assistance to others.

6/23/17: [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]] was updated to show the ''LPA Internal Procedures Manual'' requires LPAs submit the FFATA form with the programming data form.

6/9/17: Guidance for how to obtain additional help for environmental clearance of borrow sites and other land disturbance activities outside right of way was clarified in the fifth sentence of the first paragraph in [[136.6 Environmental and Cultural Requirements#136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way|EPG 136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way]].

5/24/17: Updated Fig. 136.3.20, BEAP Project Tracking Form with new contact information.

4/27/17: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], an archaic sentence was deleted that had required MoDOT to approve subcontracts.

3/28/17: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was revised to reflect changes made in the EPG on Wage Rates. State Only Prevailing wage option in section 9 was deleted.

1/5/17: In requirement #2 of [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], it was clarified that a firm is not required to submit a certificate of authority to become prequalified when it does work outside the jurisdiction of the MO Board for APEPLSPLA.

1/4/17: In [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], minor clarifications based on the new stormwater permit have been made. This includes new guidance, "Individual State Operating Permit for TS4".

12/27/16: Updated [[media:136.3.1 2016.doc|Fig. 136.3.1, Programming Data Form]], with additional information.

11/17/16: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated to reflect the current versions of the MoDOT specs and standard plans.

10/20/16: In [[136.6 Environmental and Cultural Requirements#136.6.2 National Environmental Policy Act (NEPA) Classification|EPG 136.6.2 National Environmental Policy Act (NEPA) Classification]], a clarifying sentence was added in the first paragraph to help LPAs find info in [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]].

10/6/16: Fig. 136.6.4 LPA Request for Environmental Review (RER) was eliminated and replaced with a [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f link to the new RER]. Also, in [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], federal wage rate language was removed to make guidance stay current with federal regulations.

9/6/16: The former prorata tax form (7-22.2C) was updated so as to be only for the LPAs. It was also relabeled as [https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx Local Public Agency Prorata Real Estate Tax Claim (Form 136.8.7.1.11)].

9/2/16: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], the need for a performance/contract bond in the executed construction contract for LPA projects was clarified.

7/22/16: A minor revision to [[media:136.10.2 2016.doc|Fig. 136.10.2, Bid Concurrence Checklist]] was made so that asterisks are no longer to be shown by items that DBE will perform.

7/5/16: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the $25,000 contract threshold was removed from the certification requirements for suspension and debarment to make guidance consistent with consultant contract language.

6/23/16: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was added to clearly indicate that subcontracts require FHWA Form 1273.

6/15/16: In [[136.11 Local Public Agency Construction#136.11.13.4 Erosion Control|EPG 136.11.13.4 Erosion Control]], the outdated link to the "Erosion Control Inspection Record" was replaced with a link to "Land Disturbance Inspection Record".

6/2/16: [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], was clarified.

5/27/16: Guidance in [[136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species|EPG 136.6.4.5 Threatened and Endangered Species]] was expanded and clarified. The new [[media:136.6.18.docx|Fig. 136.6.18, LPA Environmental RER T&E Guidance]] was also added. Also, in Articles XVI and XVII of [[media:Fig. 136.4.1 May 2016.docx|Fig. 136.4.1, Engineering Services Contract]], references were added to Title VI and ADA requirements.

5/19/16: In [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], the previous Fig. 136.6.4 was replaced with a new link, [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]. The new [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents updated instructions.

5/13/16: Updated the [[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]] and [[media:136.11.23 2016.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] in EPG 136.11. [[media:136.11.3 2016.pdf|Fig. 136.11.3, Progress Report]] was made a fillable form.

4/29/16: In the last sentence of [[136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]], "free" was removed from the description of NHI training courses, since not all of them are now free.

4/27/16: Deleted Fig. 136.11.17 Semi-Final Inspection Letter since it was redundant to Fig. 136.11.23 LPA Semi-Final Inspection Checklist (Form C-236). [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] was revised to reflect this change.

4/1/16: There were numerous updates in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]] to reflect current practices. In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]], the use of the Parcel File Checklist was deleted. In the second paragraph, the record retention period of 3 years was revised to begin when the project closure action is submitted to the FHWA. In [[136.8 Local Public Agency Land Acquisition#136.8.6.3.1.20D.9 Manufactured Homes|EPG 136.8.6.3.1.20D.9 Manufactured Homes]], the determination of whether a mobile home is personalty was clarified. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.1.2 Negotiator's Report|EPG 136.8.7.1.2 Negotiator's Report]], the Parcel File Checklist, the Negotiator's Report form and the Negotiator's Narrative no longer should be attached to the cover of each parcel file. In [[136.8 Local Public Agency Land Acquisition#136.8.8.3 Use of a Fee Attorney or Special Counsel|EPG 136.8.8.3 Use of a Fee Attorney or Special Counsel]], the permissible use of a Fee Attorney was introduced and defined. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.9 Relocation Assistance|EPG 136.8.9 Relocation Assistance]], the quotation defining a displaced person was slightly modified. Finally, the term "taking" was replaced with "acquisition" in several locations within EPG 136.8.

3/24/16: Updated Fig. 136.3.20, BEAP Project Tracking Form.

3/4/16: Updated [[media:110.2 checklist 2016.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]].

3/3/16: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to reflect the recodified National Historic Preservation Act.

3/1/16: In [[136.7 Design#136.7.2.8 Proprietary Items |EPG 136.7.2.8 Proprietary Items]], a link to the Proprietary Item Library was inserted.

2/24/16: Guidance in [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]] was clarified by adding a reference to [[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was clarified by additional guidance and by renumbering the subarticles.

2/22/16: A link to [[media:136.11.23.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] was added and the guidance for it was clarified.

2/18/16: The former "Final Acceptance Checklist" was relabeled as the new [[media:136.11.22.docx|Fig. 136.11.22, LPA Final Acceptance Checklist]].

1/27/16: In [[media:Fig. 136.4.1 2016.docx|Fig. 136.4.1, Engineering Services Contract]], revised Article VII D.2, D.3 and E to indicate the overhead rate (OHR) established at the execution of the original contract shall be utilized throughout the life of the contract. This reduces potential errors caused by having to change the OHR on billing invoices every year based on audited OHR. Revision allows consultants to utilize one OHR throughout the life of the contract

1/26/16: Three archaic figures in EPG 136.3 Federal Aid Basics were removed: Fig. 136.3.5 HS 4, Safe Routes to School Program Agreement; Fig. 136.3.7 FS 12, Transportation Enhancement Funds Program Agreement and Fig. 136.3.8 FS 12 SUP, Transportation Enhancement Funds Supplemental Agreement. New link to Fig. 136.3.5, FS25, Transportation Alternatives Program added.

1/22/16: Four LPA agreements were updated: [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS11_STP_Urban_Program_Agreement.docx Fig. 136.3.6, FS 11, STP Urban Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS13_Off_System_Bridge_Replacement.doc Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS14_On_System_Bridge_Replacement.docx Fig. 136.3.10, FS 14, On-System Bridge Replacement and Rehabilitation Program Agreement] and [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS15_CMAQ_Program.docx Fig. 136.3.11, FS 15, Congestion Mitigation and Air Quality Agreement].

1/15/16: In [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]], the differences between corrections and exceptions were clarified. Also, a minor clarification updated [[media:136.11.9 2016.docx|Fig. 136.11.9, Contractor DBE Certification]].

1/14/16: [[media:136.4.11 2016.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was updated to reflect that Audits and Investigations Division no longer conducts pre-audits.

1/5/16: [[#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was revised to reflect current MoDOT requirements in Sec 107.4. Since the Safety Requirement JSP is no longer a JSP (it has been moved to Sec 107.4), reference to it was removed from the EPG text as well as from [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

1/4/16: In [[136.6 Environmental and Cultural Requirements#136.6.4.1 Section 106 (Cultural Resource) Compliance |EPG 136.6.4.1 Section 106 (Cultural Resource) Compliance]], the revision 1) addressed LPA questions and comments and 2) implemented change by the Advisory Council on Historic Preservation from hardcopy submittals to electronic submittals. The revision helps LPAs more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act. Also, added [[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]], [[media:136.6.16.pdf|LPA Project Checklist]] and [[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]] and the How-to tutorial, [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]. These changes will help LPA partners more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act.

12/30/15: A couple of typos were corrected in [[media:136.4.10 Dec 30 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]].

12/24/15: In [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]], new [[media:136.11.18.docx|Fig. 136.11.18, LPA Final Inspection Letter]], [[media:136.11.19.docx|Fig. 136.11.19, LPA Final List of Acceptance Testers]], [[media:136.11.20.docx|Fig. 136.11.20, LPA DBE Certification Letter]] and [[media:136.11.21.docx|Fig. 136.11.21, LPA Vendor Lien Waiver]] provide templates for consistent submittals by LPAs.

12/23/15: In [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was clarified to state that the LPA is responsible for assuring the subcontractors are qualified. Elsewhere in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], Fig. 136.11.6 was replaced with [[media:136.11.6 Dec 2015.pdf|Fig. 136.11.6, Subcontractor Certification Regarding Affirmative Action]]. [[media:136.11.4 2015.doc|Fig. 136.11.4, Request for Approval of Subcontract]], was updated with various clarifications. In [[media:136.11.5 Dec 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]], the Percent Sublet this Request equation was updated. Also, from EPG 136.4, various fields were updated in [[media:136.4.10 Dec 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], to eliminate calculation errors. Further, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated by removing JSP J. Final Payment Documents JSP. (This JSP was prematurely added to the boilerplate. Removal will eliminate confusion for LPA partners.) The new [[media:136.11.17.docx|Fig. 136.11.17, LPA Semi-Final Inspection Letter]], provides a template for consistent submittals by the LPAs.

11/24/15: In [[136.3 Federal Aid Basics#136.3.15.3 OMB Audit|EPG 136.3.15.3 OMB Audit]], to stay current with 2 CFR part 200, the federal expenditure amount was increased from $500K to $750K before an independent audit is required.

11/6/15: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was revised so that DBE Goals will now be established on LPA On-Call Consultant Contracts. This replaces the statewide programmatic goal and provides a level playing field for all on-call consultants in the utilization of DBEs. [[media:Fig. 136.4.1 Nov 2015.docx|Fig. 136.4.1's Attachment E Section 7]] modified to reflect that on-call consultant contracts now set DBE goals.

10/27/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.11 CE Funding Obligation|EPG 136.4.2.11 CE Funding Obligation]], verbiage in the first paragraph was deleted to align guidance to what is in [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract]] (Article VII, A).

10/21/15: [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]] was clarified, particularly guidance about "corrections" vs. "exceptions", for LPAs performing Final Acceptance of an LPA project.

10/20/15: In [[136.11 Local Public Agency Construction#136.11.18 Final Plans| EPG 136.11.18 Final Plans]], a reference to EPG 136.11.19 was added and a reference to Engineer on Record (EOR) removed to clarify the bridge plan Final Plans requirements.

10/20/15: For convenience, the [[media:146 CUF July 27 2015.pdf|Commercially Useful Function (CUF) Determination Form]] was added to the figure box at the top of [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

10/16/15: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to include the DBE JSP for Liquid Asphalt.

10/13/15: In [[136.7 Design#136.7.5.3 Incentive/Disincentive Provisions|EPG 136.7.5.3 Incentive/Disincentive Provisions]], renamed and updated the old FHWA Contract Administration Core Curriculum's link to a link to FHWA's Technical Advisory for Incentive/Disincentive for Early Completion.

10/1/15: In [https://epg.modot.org/index.php?title=136.7_Design#136.7.2.5_Railroads EPG 136.7.2.5 Railroads] and the first paragraph of [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.4_Railroads EPG 136.9.2.4 Railroads], guidance about railroad coordination (even if no railroads are impacted) was clarified to comply with the FHWA statement required for all fed-aid projects. FHWA policy now requires a specific "railroad status statement" from the LPA even when no railroads are affected by the project. Line 11 of [[media:136.9.1 Oct 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]] now requires supporting documentation for railroad impacts.

9/22/15: Guidance was updated to conform with new BEAP contract. In the fourth paragraph of [[136.3 Federal Aid Basics#Upon completion of the consultant's evaluation|EPG 136.3.8.10.3 Administration]], guidance was updated about where the report is sent. IRS mileage rates are specified in the third paragraph of [[136.3 Federal Aid Basics#136.3.8.10.4 Funding and Authorized Costs|EPG 136.3.8.10.4 Funding and Authorized Costs]]. In the third paragraph of EPG 136.3.8.10.4 Funding and Authorized Costs, it is now specified that the BEAP Project Tracking Form include a total cost for the project, including personnel costs as well as direct costs. In the first paragraph of [[136.3 Federal Aid Basics#136.3.8.10.5 General Process for a BEAP Study|EPG 136.3.8.10.5 General Process for a BEAP Study]], the process to submit the draft copy of a BEAP Study has been revised. In [[#136.3.8.10.6 Local Public Agency Responsibilities|EPG 136.3.8.10.6 Local Public Agency Responsibilities]], the LPA will now provide pictures of a structure that is not of the Nat'l Bridge Inventory. Also, in [[136.3 Federal Aid Basics#Whenever load rating calculations are done|EPG 136.3.8.10.7 Consultant Responsibilities]], the consultant is to provide inventory and operating ratings for the HS20 design vehicle and provide a load posting recommendation when load rating calculations are part of the BEAP Study. Finally, all of the BEAP documents (Figs. 136.3.19-136.3.23) were updated.

9/17/15: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.18 Final Plans|EPG 136.11.18 Final Plans]], guidance was clarified to show that MoDOT only needs "as built" plans when there have been significant structural or material changes to the original design plans (that is, changes that would require approval of the Engineer on Record, EOR).

9/17/15: In the first paragraph of [[136.10 Advertisement for Bid and Project Award#136.10.7.3 Bid Evaluation Considerations|EPG 136.10.7.3 Bid Evaluation Considerations]], the minimum standard for the number of bid evaluations has been set at three. When three bids are not available, the LPA is asked to explain.

9/10/15: Links to the latest version of SEMA's Floodplain Development Permit Application and No-Rise Certificate have been provided.

8/21/15: In the third paragraph of [[136.4 Consultant Selection and Consultant Contract Management#Each individual shall rate the firms|EPG 136.4.2.6 Step 5 - Selection of Consultant]], guidance was clarified by eliminating vagueness about the necessity for local public agencies to submit review forms and comments about rating firms.

8/20/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], three contracts were updated ([[media:136.3.5 2015.pdf|Fig. 136.3.5, HS 4, Safe Routes to School Program Agreement]], [[media:136.3.9 Aug 2015.docx|Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement]] and [[media:136.3.21 2015.pdf|Fig. 136.3.21, BR11, BEAP Hourly Rate Contract]].)

8/19/15: The final bullet (about listing the parcel numbers and names of owners of all parcels acquired) in [[136.8 Local Public Agency Land Acquisition#136.8.10.3.3 Required data to be submitted with clearance certification|EPG 136.8.10.3.3 Required data to be submitted with clearance certification]] was deleted to reflect the changes already done in Form 136.8.8, Clearance Certification Statement.

7/27/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the outdated ''A Listing of Parties Excluded from Federal Procurement and Non-procurement Programs'' link was replaced with a new, useful link to [https://www.sam.gov/portal/SAM/#1 System for Award Management].

7/24/15: In [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF July 27 2015.pdf|CUF Determination form]] has been provided.

7/16/15: In the big, gray "Additional Information for MoDOT Employees" box in [[136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]], an old link to CCO's intranet was updated to their new SharePoint site. LPAs will not be able to access the SharePoint site (just like they were not able to access the intranet site). Two EPG article links were also added. [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated with a new link to the Affidavit of Compliance in Section 10.

6/30/15: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to correct a technical issue and to reference recently developed bridge documentation standards.

6/22/15: [[media:110.2 checklist Jan 2015.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]] was updated.

6/19/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], links to numerous contracts were updated. A new link to contract [[media:136.3.28 2015.docx|FS 13-SUP BRO Supplemental Agreement (Fig. 136.3.28) ]] was also made available.

6/16/15: To eliminate confusion, a reference in [https://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1 Material Acceptance] to one of the types of sampling and testing (a combination of certification documentation, delivery tickets and visual inspection) was deleted.

6/12/15: In [[136.11 Local Public Agency Construction#136.11.17.1 Material Acceptance|EPG 136.11.17.1 Material Acceptance]], the Small Material Quantity Acceptance Table was removed. Current info is available at [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|EPG Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)]].

6/12/15: Both guidance in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] and [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract ]] were updated to show that the engineer is required to submit Good Faith Efforts documentation for all agreements greater than $50,000. The engineer must also document Good Faith Efforts made to achieve that DBE goal if the agreed percentage specified is less than the percentage stated.

6/9/15: A very minor change (adding "LPA" to the title) was made to [[media:136.6.11 2015.doc|Fig. 136.6.11, LPA Floodplain Development Permit]] so that this form will not be confused with MoDOT's other Floodplain Development Permit/Application form.

6/8/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.5 Bridge (Structure) Submittals|EPG 136.9.2.5 Bridge (Structure) Submittals]], a third paragraph was added (per Sec 202.40.1.1) to provide guidance that a notification of demolition 10 days prior to start is required; also renovation or demolition requires hazardous waste reports and must be in the bid proposal. [[media:136.9.1 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], was also updated to reflect these revisions.

5/29/15: A new file, [[media:Fig. 136.11.16.docx|Fig. 136.11.16, Approved Contract Administration Software]], is now available in the second paragraph of [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.1_Project_Diaries EPG 136.11.13.1 Project Diaries]. The file was introduced to identify systems that secure diaries.

5/22/15: [[media:136.3.1 2015.doc|Fig. 136.3.1, Programming Data Form]], was revised by adding questions about the need for right of way. Also, Fig. 136.3.3 Utilities Scoping Checklist was renumbered as [[media:136.7.8.doc|Fig. 136.7.8, Utilities Scoping Checklist]], and moved to [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]].

5/15/15: In [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF May 2015.pdf|CUF Determination form]] has been provided.

5/12/15: Several links in [[136.7 Design#136.7.3.1.2 Job Special Provisions|EPG 136.7.3.1.2 Job Special Provisions]] were updated to the [https://spexternal.modot.mo.gov/sites/de/JSP/Forms/Alt%20LPA.aspx new SharePoint link for JSPs]. Once you are in the new site, just scroll down a little and you will see all the LPA JSPs.

5/4/15: In [[media:Fig. 136.4.1 May 2015.docx|Fig 136.4.1, Engineering Services Contract]], the good faith effort requirements of #7 under Attachment E (on pg. 19) was modified. The Engineer is now required to submit the Good Faith Efforts documentation illustrating reasonable efforts to obtain DBE Participation.

4/23/15: [[136.3 Federal Aid Basics#136.3.7.4 Prompt Payment Policy|EPG 136.3.7.4 Prompt Payment Policy]] was added, in accordance with Missouri law. The existing EPG 136.3.7.4 Policy Enforcement was renumbered as EPG 136.3.7.5.

4/22/15: The [[media:136.9.4 2015.doc|ADA checklist]] was updated with relatively minor updates in [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]].

4/22/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]], the reference to E-Verify was removed from the first bulleted item.

4/20/15: In [[136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], the DBE Truckers Interview Form was removed from use in the CUF interview.

4/20/15: In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], the guidance was clarified to state that the LPA may talk to the property owners about the project prior to the issuance of an A-Date. They can’t do appraisals, make offers, etc., until the A-Date is issued. Some LPAs were under the impression that they were not allowed to tell property owners anything about a project until they had an A-Date.

4/9/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [https://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was further updated.

4/2/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [https://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was updated to include some additional FHWA requirements. New items on the form:
:* If the project has a State Number correlated with it, list it on the Obligation Form after the Federal Aid Number
:* Estimated Award Date – Enter the date the Construction Contract Award Date is anticipated.
:* Travel way ID: Route, Beginning Log Point & Ending Log Point
:* Railroad Impacts – Is the project going to have Railroad Impacts? (Drop Down) Yes or No
:* Utility Clearance – Is the project going to have Utilities Impacts? (Drop Down) No Impacts, Conditional Clearance, or Entire Clearance
:* Construction Completion Date - Enter the date the construction will be complete is anticipated.
:* To Auto Calculate, highlight the $0.00 on Total Estimate or Bid Amount and Press F9.

3/25/15: [[media:136.4.11 2015.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was udpated with the new link to MoDOT's Approved Consultant Prequalification List.

3/20/15: The new subarticle, [[136.7 Design#136.7.2.6.4 Buy America for Utilities|EPG 136.7.2.6.4 Buy America for Utilities]], provides clarification on Buy America requirements for utility relocation.

3/19/15: [[media:Fig. 136.4.1 2015.docx|Fig. 136.4.1 Engineering Services Contract]] was revised by removing the Attachment C-Overhead Rate Breakdown from the contract.

3/17/15: A new sentence was added to the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.3 Dedications|EPG 136.8.7.3 Dedications]] to further clarify the documentation needed when property or property rights are dedicated to an LPA.

3/6/15: [[media:136.11.5 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]] and [[media:136.11.6 2015.doc|Fig. 136.11.6, Contractor’s Instructions for Filling out Request to Subcontract Work]] were updated to correct DBE allowance language.

2/26/15: In [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] and the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.8.1 General|EPG 136.8.8.1 General]], guidance has been expanded for the streamlined documentation process for the acquisitions of LPA projects. Two new forms, [[media:136.8.2.2.docx|Right of Way Acquisition Schedule (Form 136.8.2.2)]] and [[media:136.8.2.2.A.docx|Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)]] were added and [[media:136.8.1 2015.doc|Acquisition Authority Request (Form 136.8.1)]] was updated.

2/23/15: A typo in [[media:136.8.20 2015.docx|Form 136.8.20 LPA Project Acquisition Monitoring Checklist]] was corrected.

2/20/15: In the first paragraph of [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1's] item #1, MoDOT's QC/QA Off-Systems Guide Schedule for FAST table is now to be used as a minimum for material acceptance. In item #1's second paragraph, certification card must now be on hand during sampling and testing. In item #2, independent assurance samples and test will be required of the LPA or the LPA's consultant. Also, in [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20's] item #3, a final list of acceptance testers used on the project must now be provided by the LPA.

2/6/15: In [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF Jan 2015.pdf|CUF Determination form]] has been provided.

1/28/15: A minor correction was made to the title of [https://epg.modot.org/index.php?title=136.8_Local_Public_Agency_Land_Acquisition#136.8.6.3.4_Uniform_Residential_Appraisal_Report_.28URAR.29_and_Addendum EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum] by replacing "Approval" with "Appraisal".

1/8/15: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated with the new link to the ADA checklist.

12/31/14: In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]], [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to add reference to two JSPs: LDs Specified for Winter Months and Safety Requirements. Further, [[136.7 Design#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was added because the new [[media:136.7.7.docx|Safety Requirements JSP]] is now required when a project is on MoDOT’s right of way.

11/26/14: In [[media:Fig. 136.4.1 2014.docx|Fig. 136.4.1 Engineering Services Contract]], the title of Attachment E was changed on pg.9 to reflect the actual title of the Attachment on pg. 17. [[media:136.9.1 2014.xlsx|Fig. 136.9.1 Final PS&E Submittal Checklist]] was revised to reflect that all plan sheets are signed and sealed by the engineer of record.

11/20/14: In EPG 136.3.12 Federal-aid Participation for Local Work, more specifically in both the fourth paragraph of [[136.3 Federal Aid Basics#136.3.12.3.4 Procedures|EPG 136.3.12.3.4 Procedures]] and the fifth paragraph of [[136.3 Federal Aid Basics#136.3.12.4.5 Procedures|EPG 136.3.12.4.5 Procedures]], guidance was revised to clarify change orders and supplements. Guidance now emphasizes that scope and estimates are to be complete and accurate.

11/17/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], two forms were updated: [[media:136.8.8 Nov 2014.doc|Fig. 136.8.8 Clearance Certification Statement]] and [[media:136.8.20 2014.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]].

10/16/14: In the third paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.11.5.2 Approval of Contract|EPG 136.8.11.5.2 Approval of Contract]], a sentence was removed that had stated that a current real estate agent is required in Missouri.

9/26/14: In the first paragraphs of [[:Category:136 Local Public Agency (LPA) Policy|EPG 136 Local Public Agency (LPA) Policy]], references to Safe Routes to School were removed and references to MAP-21 were added.

9/25/14: Three forms were updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]: [[media:136.8.25 Sept 2014.doc|Form 136.8.25 Sample Donation Letter and Waiver of Appraisal]], [[media:136.8.26 2014.doc|Form 136.8.26 Sample Letter Offer (Payment Estimate)]] and [[media:136.8.27 2014.doc|Form 136.8.27 Sample Letter Offer (Value Finding or Standard Format Appraisal)]].

9/23/14: The consultant contract limit of the $100,000 total for on-call contracts was clarified in a recent video conference. The second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]] was clarified to indicate the total on-call cannot exceed $100,000 for the project.

9/12/14: Guidance in the first paragraph of [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]] and the second to the last paragraph in [[136.3 Federal Aid Basics#136.3.8.11.5 Funding|EPG 136.3.8.11.5 Funding]] was updated to reflect that Traffic Division is no longer involved in the TEAP process for LPA project solicitation

8/28/14: [[media:136.6.7 201.docx|Fig. 136.6.7 Memorandum of Agreement for Migration of Adverse Effects]] was further corrected as a reference to a previous law, STURAA, was replaced with the new law MAP-21.

8/27/14: The two State Wage Rates links from the MO Dept of Labor were updated in [[136.12 Figures, Glossary and Other Useful Links#136.12.3.3 Links to Other Resources|EPG 136.12.3.3 Links to Other Resources]]. Also, in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[media:136.6.7.doc|Fig. 136.6.7, Memorandum of Agreement for Migration of Adverse Effects]] was corrected by moving the location of a statement about stipulations.

8/22/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was revised by adding a drafter's note to provide guidance for highlighted sections. Language to define the contracting authority was also added.

8/8/14: [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] now reflects that project closeout certifications are to be electronically received 60 days of the Final Inspection date.

8/8/14: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.3 Bid Guaranty (49 CFR 18.36)|EPG 136.9.4.1.1.3 Bid Guaranty]], the guidance about the bid guarantee amount was clarified so as to not burden the contractor with high bid bonds. Dollar amounts for bid bond requirements are not to be used.

8/7/14: Updated the [https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators].

8/6/14: A new version of the [[media:136.7.2.9 sample letter.docx|Request for a Finding in the Public’s Interest sample letter]] was provided in EPG 136.7.2.9.

7/29/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] was updated again.

7/17/14: In Item #1 under the seventh parapraph of [[136.3 Federal Aid Basics#136.3.10.8 Use of Bridge Soft Match Credit|EPG 136.3.10.8 Use of Bridge Soft Match Credit]], the new [[media:Fig.136.3.27.xls|Fig. 136.3.27 Example of a Soft Match Credit Transfer Request]] has been referenced in a brief sentence. Also, in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]], both [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] and Fig. 136.3.20 BEAP Project Tracking Form were updated.

6/23/14: Updated [[media:136.8.8 2014.doc|Clearance Certification Statement (Form 136.8.8)]].

6/13/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators June 2014.pdf|Roster of Approved Contract Negotiators]].

6/11/14: In [[136.6 Environmental and Cultural Requirements#4. Check to see whether the bridge has been excluded|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], the promised FHWA "Bridge Program Comment Excepted Bridges List"
website is now available.

5/29/14: Updated the [[media:136.8.25 2014.doc|Sample Donation Letter and Waiver of Appraisal, Form 136.8.25]].

5/22/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators May 2014.pdf|Roster of Approved Contract Negotiators]].

5/14/14: The first two paragraphs of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] were revised to show that the [[media:136.8.17 2014.doc|Parcel File Checklist (Form 136.8.17)]] is now optional.

5/13/14: [[media:136.3.18 2014.xls|Fig. 136.3.18 Construction Reimbursement Form]] was updated. Also, [[media:136.8.20.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]] verbiage was tweaked to include more uniform act check items.

5/12/14: A very minor correction in EPG 136.11 Local Public Agency Construction's [[136.11 Local Public Agency Construction#Small Material Quantity Acceptance Table|Small Material Quantity Acceptance Table]]. Now, the AC is shown to be measured in tons and PCC measured in cubic yards.

5/7/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], [[media:136.8.18.docx|Form 136.8.18, RW Plan Review Checklist]] was updated.

4/30/14: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.3 Consultant Evaluations for On-Call Services|EPG 136.4.2.4.3.3 Consultant Evaluations for On-Call Services]] was clarified to show who signs the LPA On-Call Consultant Evaluation and what happens to this document afterwards.

4/28/14: [[media:136.4.6.docx|Fig. 136.4.6 List of Unallowable Costs]] was updated in EPG 136.4 Consultant Selection and Consultant Contract Management.

4/21/14: In [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]], and the first paragraphs of both [[136.3 Federal Aid Basics#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]], the $10,000 requirement for invoicing was removed. It had been replaced with the requirement to invoice at least one time per month but not more often than every 2 weeks. Also, in [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], a requirement was implemented for the LPA to evaluate the consultant upon completion of work if they were hired by a standard solicitation. Thus, a "should" was replaced with a "must" in the first sentence.

4/15/14: At the bottom of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]],"MoDOT will certify the dates on which any on-site inspections were made" was deleted.

4/1/14: In the second paragraph of [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], the Dept. of Labor's link and associated information was updated.

3/31/14: In [[media:136.9.4 Apr 2014.doc|Fig. 136.9.4 ADA Checklist]], two items were clarified, two more items were removed to better align with Access Board’s PROWAG info. PROWAG references were also added to assist users in finding further information on the US Access Bd. website.

3/19/14: Near the top of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], guidance was added that defined LPA jobs with "No Potential to Cause Adverse Effects" and that do not need a Sec 106 submittal to the SHPO.

3/18/14: In the second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]], a sentence was added to tell the LPA to write a scope for the consultant and produce an estimate to determine whether the project is eligible for the on-call list.

3/11/14: A minor clarification of titles was made at the bottom of Fig. 136.9.4 ADA Checklist. "Resident Engineer" and "Area Engineer" were replaced with "Engineer of Record".

3/10/14: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], it was clarified that the copies of the contact and associated files to be submitted to the District Contact must be electronic copies.

3/7/14: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List|EPG 136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List]], it was clarified that it is not mandatory for LPAs to consider at least 3 firms for each project when reviewing the LPA On-Call Consultant List.

3/6/14: A link was inserted for the [http://www.modot.org/business/lpa/OnCallListing.htm LPA On-Call Consultant List] in three locations in [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.11_Traffic_Engineering_Assistance_Program_.28TEAP.29 EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)].

3/5/14: EPG 136.3.18 TAP was moved to [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 TAP]] and the subsequent EPG 136.3.8 subarticles were renumbered accordingly. The eligible project sponsor information at the bottom of the newly renumbered [[136.3 Federal Aid Basics#136.3.8.7.2 Project Eligibility and Selection|EPG 136.3.8.7.2 Project Eligibility and Selection]] was deleted and replaced with a link to [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] to ensure consistency in the definition of eligible sponsors.

2/24/14: New guidance is now available for the LPA On-Call Consultant List at [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]]. Additional revisions were made in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.2 Step 1 – Scope of Services|EPG 136.4.2.2 Step 1 – Scope of Services]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4 Step 3 - Advertising the RFQ Solicitation|EPG 136.4.2.4 Step 3 - Advertising the RFQ Solicitation]] for this new list. A new form, [[media:136.4.19.docx|Fig. 136.4.19 LPA On-Call Consultant Evaluation]], has also been introduced.

2/18/14: [[media:136.8.1 2014.doc|Fig. 136.8.1, Acquisition Authority Request]] was updated.

2/5/14: The contacts were updated in the [[media:136.12.3.3.1 Obligation Request Form 2014.docx|Obligation Request Form]], which is available in [https://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms].

2/4/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated by removing the requirement for using our template bid bond. Also, "lien waver" was added to the list of documentation examples in #4b of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]].

1/31/14: In [[media:136.4.15 2014.doc|Fig. 136.4.15]], a misspelled word was corrected.

1/30/14: The definition of County Aid Road Trust (CART) Funding was added to [https://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.2_Glossary EPG 136.12.2 Glassary].

1/29/14: In [https://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.3_Links_to_Other_Resources EPG 136.12.3.3 Links to Other Resources], the ADAAG links were updated.

1/28/14: In [[136.7 Design#Deviations from MoDOT and Federal Requirements|EPG 136.7.2.7 Design Exceptions]], a minor clarification was made to the guidance for the engineer of record submitting the approved design exception to the MoDOT District Contact. It was made clear that the approved design is to be submitted only for projects on MoDOT's system.

1/10/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]] was updated.

1/9/14: New guidance, [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 Transportation Alternatives Program (TAP)]] is now available. TAP includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways. A brief listing of links, [[136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]] is also new. Other minor revisions (such as the definitions of MAP-21 and TAP) arising from MAP-21 were made in [[136.1 Introduction#136.1.1 Background and Purpose|EPG 136.1.1 Background and Purpose]] and [[136.12 Figures, Glossary and Other Useful Links#136.12.2 Glossary|EPG 136.12.2 Glossary]].

12/18/13: Additional environmental documentation of FHWA approval is now required under Section One of the [[media:136.8.1 2013.doc|Acquisition Authority Request (Form 136.8.1)]].

11/4/13: [[media:136.11.1 Nov 2013.doc|Fig. 136.11.1, General Guidelines for LPA Preconstruction Conference]], was updated to include "land disturbance permit" as part of the pre-construction conference topics.

10/18/13: Guidance in [https://epg.modot.org/index.php?title=136.7_Design#136.7.2.10_Value_Engineering EPG 136.7.2.10 Value Engineering] was updated to comply with MAP-21, the federal surface transportation law. Now, National Highway System (NHS) projects costing at least $50,000,000 and NHS bridge projects costing at least $40,000,000 require a Value Engineering (VE) study. (Previously, VE studies were required for NHS projects costing $25M and NHS bridge projects costing $20M.) Design/Build projects are exempt from this VE study requirement.

10/11/13: EPG 136.3.15.1 Progress Invoice was moved to [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3] to reflect the federal definition of Reasonable Progress. There was no change in policy.

10/1/13: EPG 906 TEAP has been moved to [[136.3 Federal Aid Basics#136.3.8.11 Traffic Engineering Assistance Program (TEAP)|EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)]]. The modified EPG language reflects Design Division timelines and processes. One of the main process changes is that the TEAP studies will be provided through on-call consultants. (Local agencies will select a consultant from an approved list of on-call consultants to complete a TEAP study for them.) The TEAP application has also been completely revised to resemble other DE or LPA standard applications. In FY 2014, the Traffic & Highway Safety Division and the Local Programs group will partner to administer TEAP. The TEAP processes and timelines will remain the same. In FY 2015, the administration of TEAP will be through the Local Programs group.

9/27/13: In [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]], new guidance has been provided for the Utility Status Letter to be prepared by the LPA.

9/24/13: The format, not the content, of [[media:136.4.7 Sept 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated.

9/23/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], guidance including three new files was added to provide sufficient documentation so LPA can produce an actual contract. Also, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate ]] was updated to include sample contract forms.

9/20/13: In the EPG 136.6 sidebar, at the top of the article, a link to the Advisory Council on Historic Preservation's [http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] was added under "Other Figures and Information for EPG 136.6". It applies to all federally funded or permitted projects, and gives a good background on the Section 106 process.

9/18/13: A typo was corrected in [[media:136.9.5 2013.doc|Fig. 136.9.5, LPA Certification of PS&E]].

9/12/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], the link to the ''Uniform Audit & Accounting Guide'' was updated to the 2012 edition of this publication.

9/11/13: Very minor editorial revisions were made to Figs. [[media:136.4.9 Sept 2013.doc|136.4.9 (Local Sponsor ESC Sample Cover Letter)]], [[media:136.8.25 Sept 2013.doc|136.8.25 (Sample Donation Letter & Waiver of Appraisal)]], [[media:136.8.26 Sept 2013.doc|136.8.26 (Sample Letter Offer – Pay Estimate)]] and [[media:136.8.27 Sept 2013.doc|136.8.27 (Sample Letter Offer – Value Finding)]].

9/9/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], a note was added to Point #2 to clarify whether the Certificate of Authority is required.

9/6/13: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], several forms ([[media:136.8.25 2013.doc|Form 136.8.25 Sample Donation Letter & Waiver of Appraisal]], [[media:136.8.26 2013.doc|Form 136.8.26 Sample Letter Offer – Pay Estimate]] and [[media:136.8.27 2013.doc|Form 136.8.27 Sample Letter Offer – Value Finding]]) were updated due to a request from FHWA.

9/5/13: A minor clarification was made in [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification]. Point #2 was expanded to show that the consultant will be required to have a Certificate of Good Standing and hold a certification of authority from the MO Board for Architects, Professional Engineers, Professional Land Surveyors and Landscape Architects.

8/21/13: At the bottom of [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], a minor reference to EPG 806.8 SWPPP was added for greater convenience.

8/20/13: The [http://moltap.org/ Missouri Local Technical Assistance Program] link was updated in EPG 136.12.3.3.

8/19/13: The link to newest 7/2012 [http://www.modot.org/business/contractor_resources/documents/RequesttoSubcontract_C-220.pdf Request to Subcontract Work Form] was updated in EPG 136.11.8.

8/12/13: For greater convenience, links to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm "functional classification"] have been added to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]].

8/6/13: Subconsultant requirements were updated in [[media:Fig. 136.4.14 Aug 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]].

7/12/13: The [[media:Fig.136.3.19 2019.pdf|BEAP Consultant List]] was updated.

7/11/13: Revisions made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.1 Subconsultant cost exceeding $25,000|EPG 136.4.2.7.3.1 Subconsultant cost exceeding $25,000]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.9 MoDOT Review of Consultant Contract|EPG 136.4.2.9 MoDOT Review of Consultant Contract]] result from MoDOT's Audits and Investigation Division ceasing the pre-negotiations reviews and shifting the reviews to project managers and/or contract administrators. Also updated the checklist in [[media:Fig. 136.4.14 July 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] to be more helpful.

7/8/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]], the MRC form was replaced with the new Consultant Certification of Indirect Cost form.

7/5/13: Fig. 136.3.20, BEAP Project Tracking Form, was updated.

6/26/13: Some minor formatting issues were addressed in [[media:Fig. 136.4.1 June 26, 2013.docx|Fig. 136.4.1, Engineering Services Contract ]].

6/25/13: EPG 754 BEAP info was slightly modified and moved to [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

6/25/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.1 Federal Law|EPG 136.4.1.1 Federal Law]], a minor clarification of the italicized text from "federally funded projects" to "projects that utilize Federal Aid Highway Program funds for engineering". Also, in [[media:136.4.10 2013.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], more spaces were added for direct salaries in the invoice.

6/18/13: Three links (to BRO and Soft Match Balances, DBE Submittal Forms and Disadvantaged Business Enterprises) were removed from EPG 136.12.3.2. Also, EPG 136.12 Figures and Glossary was retitled to [[136.12 Figures, Glossary and Other Useful Links|EPG 136.12 Figures, Glossary and Other Useful Links]].

6/17/3: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the acceptance for provision for asphalt cement price index, seal coat price index, underseal price index and UBAWS membrane price index was updated.

6/13/13: In [[136.6 Environmental and Cultural Requirements#Program Comment for Post-1945 Common Bridge Types.|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], Post-1945 Bridge information was added to allow the exemption of some bridges from the Sec 106 review.

6/11/13: Incorrect references to "consultant" were replaced with "engineer" in [[media:Fig. 136.4.1 June 2013.docx|Fig. 136.4.1, Engineering Services Contract]].

6/10/13: An updated table of approved Missouri Scenic Byways was added to [[136.3 Federal Aid Basics#136.3.8.8.2 Project Eligibility and Selection|EPG 136.3.8.8.2 Project Eligibility and Selection]]. Also, in both [[136.10 Advertisement for Bid and Project Award#136.10.7.1.1 Responsive Bid|EPG 136.10.7.1.1 Responsive Bid]] and [[136.10 Advertisement for Bid and Project Award#136.10.7.3.3 DBE Submittal Form Review|EPG 136.10.7.3.3 DBE Submittal Form Review]], the DBE requirements at bid opening were clarified.

6/6/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]], the requirement to send the e-verify with each letter of interest was removed. MoDOT now requires firms to be prequalified and part of prequalification is the e-verification of documents. Also, a minor correction was made to the revision date of [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

6/5/13: The [http://www.modot.org/business/consultant_resources/documents/StandardConsultantPrequalificationProcess.pdf How-To Tutorial for MoDOT's Consultant Standard Prequalification Process] is now available. Also now available are links to the [http://www.modot.org/business/consultant_resources/standard_prequalification_process.htm Standard Prequalification Process] and [http://www.modot.org/business/consultant_resources/documents/SAFEHARBORELIGIBILITYREQUIREMENTS_004.pdf Safe Harbor Indirect Cost Rate (SHR) Prequalification Process].

6/4/13: A minor correction was made to [[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]. (In the figure, Item 13 was changed to Item 15 under Question 5.) Also, the link to the [https://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers] was updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]].

5/31/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000|EPG 136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000]], new guidance clarified that a subconsultant charging less than $25K must also submit the Management Representation and Certification Form.

5/30/13: Information was added to [[media:136.4.7 May 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] and [[media:Fig. 136.4.14 May 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] ensuring hazardous waste inspections and reports were being done. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.4 Construction Engineering (CE) and Construction Administration|EPG 136.4.4 Construction Engineering (CE) and Construction Administration]] having links to EPG 136.11 was added. The former EPG 136.4.4 was renumbered as EPG 136.4.5 Key Submittals/Requirements. Finally, a minor revision was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/21/13: In [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]], it was clarified that the approved preliminary plan is to be available for public viewing/display during the 21-day advertisement period.

5/17/13: Minor clarification was added to [[media:136.9.1 May 17, 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], and [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/16/13: New guidance about contract execution timeframe has been provided in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.5 Contract Execution|EPG 136.4.2.7.5 Contract Execution]].

5/16/13: [[media:110.2 checklist 2013.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]], was updated. Also, guidance for selecting and scoring consultants was added to the bottom of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]].

5/15/13: Fig 136.4.8, District Representative ESC Cover Letter, was removed since this form is no longer required.

5/14/13: The name of a figure was updated in [[media:136.9.1 May 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]].

5/10/13: At the bottom of [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.2.2_Project_Eligibility_and_Selection EPG 136.3.8.2.2], [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.3.2_Project_Eligibility_and_Selection EPG 136.3.8.3.2] and [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.5.2_Project_Eligibility_and_Selection EPG 136.3.8.5.2], convenient links for additional guidance for STP and CMAQ funds were added to guidance having to do with project eligibility and selection.

5/9/13: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the checkbox for "all e-verify information" on the bidders checklist was removed since the e-verify information is only a requirement prior to award and is not required to be submitted with the bids.

5/3/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], expanded and clarified guidance for what the LPA should submit to the district after the LPA executes the contract. Also, a minor clarification was made to the title of [[media:136.11.1 2013.doc|Fig. 136.11.1]], General Guideline for LPA Preconstruction Conference.

5/2/13: A very minor update was made to [[media:Fig. 136.4.1 May 2013.docx|Fig. 136.4.1 ESC]]. Also, in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], updated the links to both the Roster of Approved Contract Appraisers and Roster of Approved Contract Negotiators.

4/30/13: [[media:136.4.7 Apr 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], was updated with a minor revision.

4/22/13: In [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF 2015.pdf|CUF Determination form]] has been provided by MoDOT's External Civil Rights Division.

4/15/13: A convenient link to CUF red flags was added in [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 CUF]. Also, guidance was added in [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20 Project Closeout Certifications, 4b] for the LPA to provide documentation that each DBA was paid in full. This type of DBE documentation may include a letter, e-mail or copies of reimbursement checks.

4/15/13: In [https://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], the [[media:136.12.3.3.1 Obligation Request Form 2013.docx|Obligation Request Form]] was updated with a very minor revision.

4/4/13: Some references within the checklist of [[media:Fig. 136.4.14 Apr 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]], were updated.

4/2/13: A very minor update (a new logo) was made to [[media:Fig. 136.4.8 Apr 2013.doc|Fig. 136.4.8, District Representative ESC Cover Letter]].

3/27/13: A very minor update was made to [[media:Fig. 136.4.1 Mar 2013.docx|Fig. 136.4.1 ESC]].

3/20/13: [[media:Fig. 136.4.14 Mar 2013.doc|Fig. 136.4.14, Checklist for Reviewing Consultant Contracts]], was revised with updated document references.

3/12/13: Information regarding the page limits for the letter of interest was updated in [[media:136.4.7 Mar 2013.doc|Fig. 136.4.7]].

2/28/13: In [[media:136.4.9 Feb 2013.doc|Fig. 136.4.9]], a sentence was added regarding a city not being staffed to do engineering work and the need to hire a consultant.

2/26/13: [[media:136.4.7 Feb 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated to include "right of way plans" in the sample scope of services.

2/25/13: [[136.11 Local Public Agency Construction#136.11.12 Construction Administration|EPG 136.11.12 Construction Administration]] was re-titled (from "EPG 136.11.12 Consultant Construction Engineering Services") and expanded to give more guidance on construction administration expectations.

2/21/13: [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.10 ADA Checklist|EPG 136.9.2.10]] was retitled "ADA Checklist" (from "ADA Certification and Checklist"), a minor change.

2/8/13: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was updated with minor corrections.

2/4/13: In [[media:136.4.11 Feb 2013.doc|Fig. 136.4.11]], the conflict of interest line item was added.

2/4/13: In [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]], the definition of an eligible sponsor for federal aid transportation projects was clarified. This change allows MoDOT to focus our limited resources on public agencies that have public accountability and typically have the internal structure and knowledge to deliver a federal aid project. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. All other entities including, but not limited to, school districts and not-for-profit agencies must partner with a city or county to apply for and/or administer a federal aid transportation project.

2/1/13: [[media:136.9.1 2013.xlsx|Fig. 136.9.1]] updated to remove the requirement for ADA certification. Also, Fig. 136.9.12 (ADA Certification) deleted and incorporated into [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]].

2/1/13: In several locations in EPG 136.4 Consultant Selection and Consultant Contract Management, clarification of the criteria for prequalifying a consultant for MoDOT and LPA work. Info that was added back on 11/1/12 was removed, among other updates to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.6 Conflict of Interest|EPG 136.4.1.6 Conflict of Interest]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]]. Also, Figs. [[media:136.4.7 2013.doc|136.4.7]], [[media:Fig. 136.4.8 2013.doc|136.4.8]], [[media:136.4.9 2013.doc|136.4.9]], [[media:136.4.11 2013.doc|136.4.11]] and [[media:Fig. 136.4.14 2013.doc|136.4.14]] were updated to reflect the new consultant prequalification requirements. The ''How to Evaluate'' PowerPoint tutorial was updated. Finally, [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]] was updated to include the following sections:
:* Added prompt payment language
:* Added suspension and termination language
:* Added lobbying certification language
:* Added OPTIONAL insurance language
:* Added the Conflict of Interest Form as Attachment G
:* Added ADA certification language (no longer have to use a separate ADA certification form, which was Fig. 136.9.12).

1/29/13: In EPG 136.7.2.4.2, the old Fig. 136.9.4 was updated to the correct, current figure.

1/28/13: In Item "b" of [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.1.2_Step_2.2C_Cultural_Resource_Investigations Step 2a. The Cultural Resource Survey] in 136.6 Environmental and Cultural Requirements, guidance has been added to conveniently provide SHPO architectural survey info.

1/22/13: A very minor clarification to [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.12.4.4_Submittal_Requirements EPG 136.3.12.4.4] (a reference to Fig. 136.3.17 was added).

1/17/13: [[media:136.9.11.pdf|Fig. 136.9.11, Example Estimate]], has been added. This estimate is broken down into the required categories for payment.

1/16/13: Some of the verbiage in the second paragraph of [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.11_CE_Funding_Obligation EPG 136.4.2.11 CE Funding Obligation] was clarified.

1/15/13: In [[136.11 Local Public Agency Construction#136.11.15.1 Change Order Documentation|EPG 136.11.15.1 Change Order Documentation]], guidance about whether re-designs are eligible for federal participation was clarified. A similar, smaller clarification was also made in #7 of [[136.3 Federal Aid Basics#136.3.15 Reimbursement and Auditing|EPG 136.3.15 Reimbursement and Auditing]].

12/27/12: In [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], updated references to Fig. 136.11.9 from "Contractor Certification" to "Contractor DBE Certification".

12/21/12: A note was added to [[media:136.4.17 Dec 2012.xlsx|Fig. 136.4.17]] about PE ceiling or CE ceiling amounts.

12/10/12: [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.11_E-Verify_Affidavit_.26_MOU_.28RsMO_285.530.29 EPG 136.9.4.1.1.11 E-Verify Affidavit & MOU] was updated. (The bid proposal must now state that the E-verify affidavit and MOU must be submitted prior to award of the contract.) Also [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was clarified on the use of bid bond forms and when worker eligibility documents must be submitted.

12/5/12: Item 78 in [[media:136.9.1 Dec 5, 2012.xlsx|Fig. 136.9.1]] was updated with a minor revision to match the Obligation Request Form categories.

11/27/12: [https://epg.modot.org/index.php?title=136.7_Design#136.7.3.1.2.1.4_Lump_Sum_Items EPG 136.7.3.1.2.1.4 Lump Sum Items] was clarified by stating that spec lump sum items do not require a JSP.

11/26/12: Several minor clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. The most notable clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.2 Preliminary Engineering Activities by Local Forces|EPG 136.4.1.3.2 Preliminary Engineering Activities by Local Forces]] (about when the LPA is not requesting reimbursement for the in-house design services), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] (about rating as many firms as necessary), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]] (about encouraging subconsultants to be prequalified), [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]] (adding that each invoice must show the total DBE payments for the particular invoice) and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]] (about LPA responsibility to fund the work).

11/21/12: Minor updates were made to Figs. [[media:136.4.11 2012.doc|136.4.11]] and [[media:Fig. 136.4.14 Nov 2012.doc|136.4.14]].

11/19/12: In EPG 136.11.2 Work by LPA Forces, the [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf link to FHWA Fom 1273] was updated.

11/15/12: [[media:136.4.10 Nov 15, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated to expand the DBE information.

11/2/12: LPAs' website advertisement opportunities were expanded in the first paragraph of [https://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.3_Bid_Opening_Advertisement EPG 136.10.3 Bid Opening Advertisement ].

11/1/12: Guidance was added to [[136.4 Consultant Selection and Consultant Contract Management#6. Bridge Consultants Only:|EPG 136.4.1.5 Consultant Qualification, #6 Bridge Consultants Only]] that the Bridge Experience Profile and Personal Bridge Experience Record forms must be updated every 3 years.

10/25/12: In [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.7.2_Basis_of_Payment EPG 136.4.2.7.2 Basis of Payment], changed the mileage reimbursable rates from the IRS rate to GSA's current POV Mileage Reimbursable Rate. Also updated [[media:Fig. 136.4.14 2012.doc|Fig. 136.4.14]] to reflect this change.

10/23/12: In [https://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], removed Fig. 136.12, Sample Form for Submitting Invoices from the gray "Forms and Information" box. This form was out-of-date and has been relabeled elsewhere.

10/22/12: [[media:136.9.12 Oct 2012.doc|Fig. 136.9.12's]] cross slope compliance guidance was slightly modified.

10/12/12: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], guidance was clarified on how to document consultant evaluations.

10/11/12: A minor typo update was made to [[media:136.8.8 2012.doc|Form 136.8.8]].

10/10/12: A minor change was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], clarifying that the E-verify information must be submitted with each bid.

10/5/12: [[media:136.4.10 Oct 5, 2012.xlsx|Figs. 136.4.10]] and [[media:136.4.17 Oct 5, 2012.xlsx|136.4.17]] were updated. In Fig. 136.4.10, more cells were locked and Cell C68 was updated, while in Fig. 136.4.17, commentary was added on how to fill out Section 2 of the invoice. Also, in [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] the "How To" PowerPoint, [[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]], was added.

10/1/12: In [[media:136.4.10 Oct 2012.xlsx|Fig. 136.4.10]], changed cells to have 2 decimal points instead of none. In [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], minor clarifications were made about including inspection reports in the bid proposal. In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9]], minor clarifications were made to [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.1_Environmental.2C_Historical_and_Cultural_Requirements EPG 136.9.2.1] and [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity 136.9.4.1.1.4] about including all hazardous waste reports and changing the timeline for submitting subcontractor affirmative action certification prior to the notice to proceed for construction, respectively. In [[media:136.9.1 Sept 28, 2012.xlsx|Fig. 136.9.1]], a line item was added for Asbestos and Lead Paint Inspection Reports that need to be a part of the bid book. In [[136.11 Local Public Agency Construction|EPG 136.11]], a requirement for Hazardous Waste Notifications was added to [[media:136.11.1 Sept 2012.doc|Fig. 136.11.1]].

9/25/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was revised by adding a revision date and a statement on project award.

9/24/12: A minor clarification was made to [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.15_Disadvantaged_Business_Enterprise_.28DBE.29_.2849_CFR_Part_26.29 EPG 136.9.4.1.1.15] about the DBE goal applying to the entire federally-funded project. Also, a very minor update was made to [[media:136.9.1 Sept 2012.xlsx|Fig. 136.9.1]].

9/5/12: Three figures, [[media:136.4.10 Sept 5, 2012.xlsx|136.4.10]], [[media:136.4.17 Sept 2012.xlsx|136.4.17]] and [[media:136.4.18 Sept 5, 2012.docx|136.4.18]], were updated with minor revisions.

9/4/12: The ADA Checklist, Fig. 136.9.4, was updated, replacing the old "ADA Post-Construction" and "Post-Inspection" Checklist. The new ADA Checklist presents expanded information to comply with the US Access Board's PROWAG 2005 and 2010 ADA/ABA standards. Also, [[media:136.4.10 Sept 2012.xlsx|Fig. 136.4.10]] was updated with a minor revision.

8/30/12: Under "Federal-Aid Essential Videos" in the gray box at the top of [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], the "Federal-Aid Program Overview" video was replaced with three other videos.

8/29/12: In [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification], guidance was clarified for consultant qualification.

8/29/12: DBE requirement guidance was clarified in [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.3.2_Supplemental_Agreements EPG 136.4.3.2 Supplemental Agreements].

8/27/12: Links to various FHWA videos were added to the gray boxes at the top of several articles (including [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[136.7 Design|EPG 136.7 Design]], [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 PSE]], [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] and [[136.11 Local Public Agency Construction|EPG 136.11 LPA Construction]]).

8/22/12: The invoice template guidance was clarified and slightly expanded in the "Invoice Detail" portion of [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]].

8/20/12: Fig. 136.9.1 was revised with a minor update.

8/9/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] (Federal Project Bid Proposal Boilerplate) was updated.

7/31/12: Revised [[media:136.4.10 July 31, 2012.xlsx|Fig. 136.4.10]] and [[media:136.4.18 July 2012.docx|Fig. 136.4.18]] with minor updates.

7/30/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1]], the link to FHWA Form 1273 was updated. The new link is the same as the current link to this form in EPG 136.9 Plans, Specs and Estimates (PSE).

7/23/12: [[media:136.4.10 July 23, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated with a minor revision.

7/23/12: In [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.4.1_Advertising_on_MoDOT.E2.80.99s_Site EPG 136.4.2.4.1 Advertising on MoDOT’s Site], guidance was clarified by adding "When advertising on MoDOT's website, the LPA can choose to also advertise in a newspaper but it is not required."

7/18/12: Several links were updated and references to form attachments were updated in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. Also, [[media:Fig. 136.4.1.docx|Fig. 136.4.1]] had minor clarifications and [[media:136.4.17 July 2012.xlsx|Fig. 136.4.17]] had one minor update.

7/17/12: [[media:136.4.10 July 2012.xlsx|Fig. 136.4.10]] was updated with minor changes.

7/17/12: A clarification in the second paragraph of [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.3_Utility_Status EPG 136.9.2.3 Utility Status]: "bid opening" was replaced with "construction obligation".

7/12/12: Figs. 136.4.18 and 136.9.1 were updated with minor corrections.

7/6/12: In [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4]], Figs. 136.4.10 and 136.4.17 were updated as xlsx files.

7/2/12: [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf Fig. 136.9.7, Required Contract Provision], was updated.

6/25/12: Fig. 136.5.4, Non-Infrastructure Obligation Request Form, was made available in [[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]].

6/19/20: In EPG 136.4, the "How To" tutorial [[media:136.4 How to Evaluate.ppt|How to Evaluate Consultant Proposals, Complete Rating Sheets and Make a Selection]] was added. Also, minor updates were done to [[media:136.4.10 June 20, 2012.doc|Fig. 136.4.10, LPA Consultant Services Invoice]].

6/14/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]] and [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], the Roster of Approved Contract Appraisers was updated so that LPAs can access it. Also, the Roster of Approved Contract Negotiators was added.

6/12/12: In [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2 Painting Bridges and Demolition of Painted Surfaces], a process change has been required by MoDOT's signing an MOU with DHSS. For any lead testing activity, the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS.

6/11/12: In [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.1_Renovation_and_Demolition_of_Structures EPG 136.6.4.10.1 Renovation and Demolition of Structures], the use of an Asbestos Building Inspector was specified rather than "a certified asbestos inspector". Also, in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], Figs. 136.4.10 and 136.4.18 were updated.

6/6/12: Fig. 136.11.6 was clarified so that which form is being filled out and which of the other two figures comprising each half when the contractor fills it out are now clearly indicated.

6/4/12: A small clarification was made in Fig. 136.9.12.

5/25/12: Fig. 136.9.1 was updated with minor clarifications. Also, [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.11_PS.26E_Certification EPG 136.9.2.11] was added to further clarify the PS&E certification.

5/21/12: Several minor corrections of references to Federal Bid Proposal Boilerplate sections in [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.9.4.1.1.4] through [https://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.7_Lobbying_Certification_.2849_CFR_part_20.29 EPG 136.9.4.1.1.7].

5/17/12: In [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.2_National_Environmental_Policy_Act_.28NEPA.29_Classification EPG 136.6.2 NEPA Classification], the info about the three-year shelf life of the NEPA was clarified. In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1 Commonly Used Forms]], the Obligation Request Form was updated. Also, Fig. 136.3.17 Work by Local Forces Proposal was updated.

5/11/12: A useful PowerPoint tutorial, "How to Complete the RFQ and Get it Advertised", is now available in [https://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.3_Step_2_-_Creating_an_RFQ_Document EPG 136.4.2.3].

5/10/12: Fig. 136.9.1 was updated with minor clarifications. Also, there were minor corrections to [https://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.1_Certification_Regarding_Anti-collusion EPG 136.10.6.1], [https://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.2_Certification_Regarding_Use_of_Contract_Funds_for_Lobbying EPG 136.10.6.2], [https://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.3_Certification_Regarding_Debarment_and_Suspension EPG 136.10.6.3] and [https://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.10.6.4].

5/3/12: Updated [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

4/30/12: [[media:136.9.1.xls|Fig. 136.9.1]] updated as an Excel file.

4/30/12: Two new figures (Figs. 136.11.14 and 136.11.15) and associated guidance were added to [https://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3 Progress Invoices] and [https://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.3_Invoices EPG 136.11.13.3 Invoices].

4/30/12: Because the info required by Fig. 136.3.1 Programming Data was split between it and Fig. 136.6.4 LPA Request for Env'l Review, the guidance for programming projects was revised. Note changes in the table in [[136.3 Federal Aid Basics#136.3.7.1 Procedures|EPG 136.3.7.1]], new guidance in [[136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]] and shortened guidance in [[136.3 Federal Aid Basics#136.3.8.1.3 Project Programming|EPG 136.3.8.1.3]], [[136.3 Federal Aid Basics#136.3.8.2.3 Project Programming|EPG 136.3.8.2.3]], [[136.3 Federal Aid Basics#136.3.8.3.3 Project Programming|EPG 136.3.8.3.3]], [[136.3 Federal Aid Basics#136.3.8.5.3.1 Roadway Type Projects|EPG 136.8.5.3.1]] and [[136.3 Federal Aid Basics#136.3.8.5.3.2 Non-Infrastructure Projects|EPG 136.3.8.5.3.2]].

4/27/12: The guidance on the need for an erosion control plan was clarified in the first paragraph of [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8 Stormwater and Erosion Control]. In the third paragraph of EPG 136.6.4.8, it was further clarified that the SWPPP does not need to be site-specific, but the erosion control plan does need to be site-specific.

4/24/12: Comments from the Corps of Engineers have clarified guidance in both [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams] and [https://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.4_Channel_Modification EPG 136.6.4.4 Channel Modification].

4/24/12: Several "How To" PowerPoint tutorials were added to EPG 136 LPA Policy articles. View these new tutorials at the bottom of the large, gray "Figure" boxes at the top of [[136.6 Environmental and Cultural Requirements#PowerPoint Tutorials|EPG 136.6]], [[136.8 Local Public Agency Land Acquisition#PowerPoint Tutorials|EPG 136.8]] and [[136.11 Local Public Agency Construction#PowerPoint Tutorials|EPG 136.11]].

4/23/12: EPG 136 was generally re-written following thorough research. Please check the entire contents of any EPG 136 article you may be consulting so as not to miss any policy changes.

[[Category:136 Local Public Agency (LPA) Policy|136.13]]

LPA:136.12 Figures, Glossary and Other Useful Links

2022-03-16T16:22:06Z

Bramar12:

==136.12.1 Figures==

<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|-
! Colspan="2" style="background:#BEBEBE"|[[136.1 Introduction|EPG 136.1 Introduction]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|136.1]] || align="left" |Project Flowchart for Local Federal-Aid Projects
|-
| [[media:136.1.10.1 LPA Planning Process Chart.pdf|136.1.1]] ||align="left" | LPA Planning Process Chart
|-
| [[media:136.1.10.2 MoDOT Programming Process Chart.pdf|136.1.2]] ||align="left" | MoDOT Programming Process Chart
|-
| [[media:136.1.10.3 Right of Way Process Chart.pdf|136.1.3]] ||align="left" | Right of Way Process
|-
| [[media:136.1.10.4 Preliminary Plan Process Chart.pdf|136.1.4]] ||align="left" | Preliminary Plans Process
|-
| [[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|136.1.5]] ||align="left" | Final Plans Specifications & Estimate Process
|-
| [[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|136.1.6]] ||align="left" | Letting Plans & Contract Proposal Process
|-
| [[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|136.1.7]] ||align="left" | Construction Process
|-
| [[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|136.1.8]] ||align="left" | LPA MoDOT Agreement Process Chart
|-
| [[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|136.1.9]] ||align="left" | Engineering Services Contract Process Chart
|-
! Colspan="2" style="background:#BEBEBE"|[[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
|[[media:136.3.1 Sept 2017.doc|136.3.1]] ||align="left" |Programming Data Form
|-
|[[media:136.3.4.pdf|136.3.4]] ||align="left" |Non-State Bridge Soft Match Credit Program Documentation Checklist
|-
|[[media:136.3.16.doc|136.3.16]] ||align="left" |Sample Ordinance
|-
|[[media:136.3.17 May 2012.doc|136.3.17]] ||align="left" |Work by Local Forces Proposal
|-
| [[media:136.3.18 2014.xls|136.3.18]] ||align="left" |<div id="Construction Reimbursement Form
"></div>Construction Reimbursement Form
|-
|[[media:Fig.136.3.19 Sept 2019.pdf|136.3.19]]||align="left" | Current BEAP Consultant List
|-
|[[media:Fig.136.3.20 2021.docx|136.3.20]]||align="left" | BEAP Project Tracking Form
|-
|[[media:Fig.136.3.24 2021.docx|136.3.24||align="left" | TEAP Program Application]]
|-
|[[media:Fig.136.3.25.xls|136.3.25||align="left" | TEAP Consultant MOU]]
|-
|[[media:Fig.136.3.26.xls|136.3.26||align="left" | TEAP Project Invoice Form]]
|-
|[[media:Fig.136.3.27.pdf|136.3.27||align="left" | Example of a Soft Match Credit Transfer Request]]
|-
! Colspan="2" style="background:#BEBEBE"|[[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:Fig. 136.4.1 May 2016.docx|136.4.1]] ||align="left" |Engineering Services Contract
|-
| [[media:Fig. 136.4.2.doc|136.4.2]] ||align="left" |Consultant Selection Criteria
|-
|[[media:134.3.2 2021.pdf|136.4.3/134.3.2]]|| align="left" |Allowable Profit Curve as a % of Direct Salary Costs
|-
|[[media:Fig. 136.4.4.doc|136.4.4]]|| align="left" |Supplemental Agreement to Engineering Services contract
|-
|[[media:136.4.5.doc|136.4.5]] ||align="left" |Consultant Performance Appraisal Form
|-
| [[media:136.4.6.docx|136.4.6]] ||align="left" |Common Unallowable Costs
|-
|[[media:136.4.7 2019.docx|136.4.7]] ||align="left" |Sample Solicitation & Sample Scope of Services
|-
|[[media:136.4.9 Sept 2013.doc|136.4.9]] ||align="left" |Local Sponsor ESC Sample Cover Letter
|-
|[[media:136.4.10_2022_LPA_Invoice.xlsx|136.4.10]] ||align="left" |LPA Consultant Services Invoice
|-
|[[media:136.4.11 2019.docx|136.4.11]] ||align="left" |Consultant Selection & ESC Submittal Checklist
|-
|[[media:Fig. 136.4.12.pdf|136.4.12]] ||align="left" |QBS Process Flowchart
|-
|[[media:136.4.13.doc|136.4.13]] ||align="left" |Consultant Services Q&A
|-
|[[media:Fig. 136.4.14 Aug 2013.doc|136.4.14]] ||align="left" |Checklist for reviewing Consultant Contracts
|-
|[[media:136.4.15 2014.doc|136.4.15]] ||align="left" |Conflict of Interest Disclosure Form
|-
|[[media:136.4.16.pdf|136.4.16]] ||align="left" |Overhead Schedule Example
|-
|[[media:136.4.17 Dec 2012.xlsx|136.4.17]] ||align="left" |Engineering Services Invoice EXAMPLE
|-
|[[media:136.4.18 Sept 5, 2012.docx|136.4.18]] ||align="left" |Checklist for Engineering Services Invoice
|-
|[[media:136.4.19.docx|136.4.19]] ||align="left" |LPA On-Call Consultant Evaluation
|-
! Colspan="2" style="background:#BEBEBE"|[[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.5.1.xls|136.5.1]]|| align="left" |Services Provided Worksheet
|-
| [[media:136.5.2.xls|136.5.2]]|| align="left" |Materials Worksheet
|-
| [[media:136.5.3.xls|136.5.3]]|| align="left" |Equipment Usage Worksheet
|-
| [[media:136.5.4 2013.doc|136.5.4]] || align="left" |Non-Infrastructure Obligation Request Form
|-
|[[media:136.5.5.doc|136.5.5]]||align="left" |LPA Request for Environmental Services - Non-Infrastructure
|-
! Colspan="2" style="background:#BEBEBE"|[[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.6.1.docx|136.6.1]] ||align="left" |Project Review Process flowchart
|-
| [[media:136.6.2.docx|136.6.2]]|| align="left" |Key Environmental/Cultural Resources Compliance Milestones
|-
| [[media:136.6.3 Jan 18 2019.docx|136.6.3]]|| align="left" |Environmental/Cultural Resources Compliance Checklist
|-
| - || align="left"| [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2021.pdf|136.6.4]] ||align="left" | How to Complete the Request for Environmental Review
|-
|[[media:136.6.5.pdf|136.6.5]]||align="left" | Instructions for Preparing Categorical Exclusion Determination
|-
| [[media:136.6.6 2021.pdf|136.6.6]]|| align="left" |Generalized flowchart of the Section 106 Process for Local Public Agencies
|-
| [[media:136.6.7 2017.docx|136.6.7]] ||align="left" |Memorandum of Agreement for Migration of Adverse Effects
|-
| [[media:136.6.8 2013.doc|136.6.8]]||align="left" | LPA Section 4(f) Compliance Worksheet for Public Lands
|-
| [[media:136.6.9.doc|136.6.9]]|| align="left" |Content of a Section 4(f) Evaluation
|-
| [[media:136.6.10.doc|136.6.10]] ||align="left" |Diagram of Typical Floodplain
|-
| [http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf 136.6.11]|| align="left" |LPA Floodplain Development Permit
|-
| [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf 136.6.12]|| align="left" |Engineering “No-Rise” Certificate
|-
| [[media:136.6.13.doc|136.6.13]] ||align="left" |Procedures for “No-Rise” Certification for Proposed Development
|-
| [[media:136.6.14.docx|136.6.14]] ||align="left" width=500px|Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way
|-
|[[media:136.6.15.docx|136.6.15]] ||align="left" width=500px| Example e106 Form
|-
|[[media:136.6.16 2018.pdf|136.6.16]] ||align="left" width=500px|LPA Project Environmental Checklist
|-
|[[media:136.6.17.docx|136.6.17]] ||align="left" width=500px|Sample LPA Transmittal of MOA Letter
|-
|[[media:Fig. 136.6.18.pdf|136.6.18]] ||align="left" width=500px|Threatened and Endangered Species Federal Aid Transportation Submittal Checklist
|-
|[[media:Fig. 136.6.19.pdf|136.6.19]]||align="left" width=500px| August 2018 MoDOT USFWS Threatened and Endangered Species Habitats
|-
! colspan="2" style="background:#F5F5F7"|Other Figures and Information for EPG 136.6
|-
|colspan="2" align="center"|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|colspan="2" align="center"|[https://epg.modot.org/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|colspan="2" align="center"|[http://dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|colspan="2" align="center"|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|colspan="2" align="center"|[http://www.usace.army.mil/CECW/Documents/cecwo/reg/nwp/nwp2007_gen_conditions_def.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|colspan="2" align="center"|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|colspan="2" align="center"|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
! Colspan="2" style="background:#BEBEBE"|[[136.7 Design|EPG 136.7 Design]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| 136.7.1|| align="left" |Dimensional Accuracy
|-
| 136.7.2||align="left" | Utility Depth and Encasement Requirements
|-
| [[media:136.7.3.xls|136.7.3]]|| align="left" |Blank Structure Inventory and Appraisal Sheet
|-
| [[media:136.7.4.xls|136.7.4]]|| align="left" |LFD Load Rating Summary Sheet
|-
| [[media:136.7.5.xls|136.7.5]]|| align="left" |LRFR Load Rating Summary Sheet
|-
| [[media:136.7.6.doc|136.7.6]]||align="left" | Example Notice of Public Hearing
|-
| [[media:136.7.7.docx|136.7.7]]||align="left" | Safety Requirements JSP
|-
| [[media:136.7.8.doc|136.7.8]] ||align="left" |Utilities Scoping Checklist
|-
! Colspan="2" style="background:#BEBEBE"|[[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Request%20for%20RW%20Acquisition%20Authority%20136.8.1.docx 136.8.1]||align="left" | Acquisition Authority Request
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx 136.8.2]||align="left" | Adjustment of Value or Just Compensation
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Administrative%20Settlement%20Justification%20Form%20136.8.3.docx 136.8.3]||align="left" | Administrative Settlement Justification
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Monitor%20Checklist%20Form%20136.8.4.docx 136.8.4]||align="left" | Appraisal Monitor Checklist
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx 136.8.5]||align="left" | Appraisal Review
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx 136.8.6]||align="left" | Assumptions and Limiting Conditions
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx 136.8.7]||align="left" | Certificate of Appraiser
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Clearance%20Certification%20Statement%20Form%20136.8.8.docx 136.8.8]||align="left" | Clearance Certification Statement
|-
| [[media:136.8.8a.docx|136.8.8a]]||align="left" |Right of Way Required - Personal Property Moved - Occupied Improvements Acquired
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx 136.8.9]||align="left" | Comparable Lease
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Donation%20in%20Exchange%20for%20Construction%20Features%20Letter%20Form%20136.8.10.docx 136.8.10]||align="left" | Donation in Exchange for Construction Features Letter
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Final%20Vacancy%20Notice%20for%20Relocation%20Form%20136.8.11.docx 136.8.11]||align="left" | Final Vacancy Notice for Relocation
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Justification%20for%20Settlement%20Form%20136.8.12.docx 136.8.12]||align="left" | Legal Justification for Settlement
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Legal%20Trial%20Report%20136.8.13.docx 136.8.13]||align="left" | Legal Trial Report
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Negotiator%20Services%20Agreement%20Form%20136.8.14.docx 136.8.14]||align="left" | LPA Negotiator Services Agreement
|-
|[https://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx 136.8.7.1.11] ||align="left"| Local Public Agency Prorata Real Estate Tax Claim
|-
| - ||align="left" |[[media:236 RW Leaflet.doc|LPA Right of Way Acquisition Brochure]]
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Negotiator's%20Report%20Form%20136.8.15.docx 136.8.15]||align="left" | Negotiator’s Report
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx 136.8.16] ||align="left" |Nonresidential Sale
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Parcel%20File%20Checklist%20Form%20136.8.17.docx 136.8.17]||align="left" | Parcel File Checklist
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Plan%20Review%20Checklist%20Form%20136.8.18.docx 136.8.18]||align="left" | Plan Review Checklist
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Privately%20Donated%20Land%20as%20Credit%20to%20Matching%20Share%20of%20Project%20Costs%20Form%20136.8.19.docx 136.8.19]||align="left" | Privately Donated Land as Credit for Match
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Project%20Acquisition%20Monitor%20Checklist%20Form%20136.8.20.docx 136.8.20]||align="left" | Project Acquisition Monitor Checklist
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Proposal%20for%20Appraisal%20Work%20Form%20136.8.21.docx 136.8.21]||align="left" | Proposal for Appraisal Work
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Relocation%20Monitor%20Checklist%20Form%20136.8.22.docx 136.8.22]||align="left" | Relocation Monitor Checklist
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx 136.8.23]||align="left" | Residential Sale
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Review%20Appraiser%20Contract%20Form%20136.8.24.docx 136.8.24]||align="left" | Review Appraiser Contract
|-
|[https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Schedule%20Form%20136.8.2.2.docx 136.8.2.2]||align="left"| Right of Way Acquisition Schedule
|-
|[https://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Scehdule%20Instructions%20Form%20136.8.2.2.A.docx 136.8.2.2.A]||align="left"| Right of Way Acquisition Schedule Instructions
|-
| - ||align="left" |[https://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers]
|-
| - ||align="left" |[https://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators]
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Donation%20Letter%20and%20Waiver%20of%20Appraisal%20Form%20136.8.25.docx 136.8.25]||align="left" | Sample Donation Letter & Waiver of Appraisal
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Pyment%20Estimate%20Form%20136.8.26.docx 136.8.26]||align="left" | Sample Letter Offer – Pay Estimate
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Value%20Finding%20or%20Standard%20Formt%20Appraisal%20Form%20136.8.27.docx 136.8.27]||align="left" | Sample Letter Offer – Value Finding
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Scope%20of%20Assignment%20Form%20136.8.28.docx 136.8.28]||align="left" | Scope of Assignment
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Standard%20Appraisal%20Format%20Form%20136.8.29.docx 136.8.29]||align="left" | Standard Appraisal Format
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Summary%20of%20HB%201944%20Form%20136.8.30.docx 136.8.30]||align="left" | Summary of HB 1944
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Summary%20Value%20of%20Tenant%20Interests%20Form%20136.8.31.docx 136.8.31] ||align="left" |Summary Value of Tenant Interests
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Uniform%20Residential%20Appraisal%20Report%20Form%20136.8.32.docx 136.8.32]||align="left" | Uniform Residential Appraisal Report
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Value%20Finding%20Appraisal%20Format%20Form%20136.8.33.docx 136.8.33]||align="left" | Value Finding Appraisal Format
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx 136.8.34] ||align="left" |Waiver Valuation
|-
| [https://epg.modot.org/forms/RW/LPA%20Links/60%20Day%20Notice%20of%20Owners%20Rights%20Form%20136.8.35.docx 136.8.35]||align="left" | 60-Day Notice of Owners Rights
|-
! Colspan="2" style="background:#BEBEBE"|[[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.9.1 2019.xlsx|136.9.1]]|| align="left" |Final PS&E Submittal Checklist
|-
| [[media:136.9.2.doc|136.9.2]]|| align="left" |Subcontractor Certification Regarding Affirmative Action
|-
| [[media:Fig. 136.9.3 Jan 2021.docx|136.9.3]]|| align="left" |Federal Project Bid Proposal Boilerplate
|-
| [[media:136.9.4 Mar 2021.docx|136.9.4]]|| align="left" |ADA Checklist
|-
| [[media:136.9.5 2020.docx|136.9.5]]|| align="left" |LPA Certification of PS&E
|-
| [[media:136.9.6.docx|136.9.6]]|| align="left" |Utility Status Letter
|-
| [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf 136.9.7]|| align="left" |FHWA 1273
|-
| [[media:136.9.8 2022.docx|136.9.8]]|| align="left" |DBE Provisions
|-
| [[media:Fig. 136.9.9 2020.docx|136.9.9]]|| align="left" |DBE Submittal Forms
|-
| [[media:136.9.10.pdf|136.9.10]]|| align="left" |Example Itemized Bid Form
|-
| [[media:136.9.11.pdf|136.9.11]] ||align="left" |Example Estimate (with categories)
|-
| [[media:136.9.12 Oct 2012.doc|136.9.12]] ||align="left" |ADA Certification
|-
! Colspan="2" style="background:#BEBEBE"|[[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.10.1 2020.docx|136.10.1]] ||align="left" |Sample Advertisement
|-
| [[media:136.10.2 2016.doc|136.10.2]]|| align="left" |Bid Concurrence Checklist
|-
| [[media:136.10.3.docx|136.10.3]] || align="left" |Sample Contract Agreement
|-
| [[media:136.10.4.doc|136.10.4]] || align="left" |Sample Contract Bond
|-
| [[media:136.10.5.pdf|136.10.5]] || align="left" | Sample Contractor's Acknowledgement
|-
! Colspan="2" style="background:#BEBEBE"|[[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.11.1 Nov 2013.doc|136.11.1]]|| align="left" |General Guideline for LPA Preconstruction Conference
|-
| [[media:136.11.2.xlsx|136.11.2]] ||align="left" |Change Order Form
|-
| [[media:136.11.3 2016.pdf|136.11.3]] ||align="left" |Progress Report
|-
| [[media:136.11.4 2015.doc|136.11.4]]|| align="left" |Request for Approval of Subcontract
|-
| [[media:136.11.5 Dec 2015.xls|136.11.5]]|| align="left" |DBE Subcontract Worksheet
|-
| [[media:136.11.6 Dec 2015.pdf|136.11.6]]|| align="left" |Subcontractor Certification Regarding Affirmative Action
|-
| [[media:136.11.7.doc|136.11.7]] ||align="left" |Wage Rate Interview (Labor Compliance/EEO)
|-
| [[media:136.11.8.doc|136.11.8]] ||align="left" |Form FHWA-1391
|-
| [[media:136.11.9 2016.docx|136.11.9]]|| align="left" |Contractor DBE Certification
|-
| [[media:136.11.10.doc|136.11.10]]|| align="left" |Contractor’s Affidavit Regarding Settlement of Claims
|-
| [[media:136.11.11.doc|136.11.11]]|| align="left" |Affidavit (Compliance with Prevailing Wage Law)
|-
|[[media:136.11.12.doc|136.11.12]]||align="left" | Site Visit Checklist
|-
|[https://epg.modot.org/forms/CM/27_Job_Site_Bulletin_Board_Checklist_fillable.pdf 136.11.13]||align="left" | Job Bulletin Board Checklist
|-
|[[media:Fig. 136.11.14 secure.pdf|136.11.14]]||align="left" |Construction Invoice Example 1
|-
|[[media:Fig. 136.11.15.pdf|136.11.15]]||align="left" |Construction Invoice Example 2
|-
|[[media:Fig. 136.11.16.docx|136.11.16]]||align="left"|Approved Contract Administration Software
|-
|[[media:136.11.18.docx|136.11.18]]||align="left"| LPA Final Inspection Letter
|-
|[[media:136.11.19.docx|136.11.19]]||align="left"| LPA Final List of Acceptance Testers
|-
|[[media:136.11.20.docx|136.11.20]]||align="left"| LPA DBE Certification Letter
|-
|[[media:136.11.21.docx|136.11.21]]||align="left"| LPA Vendor Lien Waiver
|-
|[[media:136.11.22.docx|136.11.22]]||align="left"| LPA Final Acceptance Checklist
|-
|[[media:136.11.23 2016.pdf|136.11.23]]||align="left"|LPA Semi-Final Inspection Checklist (Form C-236)
|-
| - ||align="left"|[[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]]
|-
| - ||align="left"|[https://epg.modot.org/forms/CM/CUF_Determination_Form_Contracts_Let_After_03_2021.pdf Commercially Useful Function (CUF) Determination Form]
|-
| EPG Article ||align="left" | [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling & Testing (FAST)]]
|}
</center>

==136.12.2 Glossary==

'''AASHTO:''' American Association of State Hwy & Transportation Officials

'''AADT:''' Annual Average Daily Traffic. (ADT, Average Daily Traffic, is also commonly used.)

'''ACHP:''' Advisory Council on Historic Preservation

'''Agreement:''' The legal document between agencies necessary to administer projects.

'''AISC:''' American Institute of Steel Construction

'''Allocation:''' The reservation of federal funds to the local agencies each year.

'''APE:''' Area of Potential Effects

'''AREMA:''' American Railway Engineering and Maintenance-of-Way Association.

'''Authorization:''' Approval by FHWA to incur future costs relative to a project.

'''BMP:''' Best Management Practive

'''BRM:''' On-System Bridge Replacement and Rehabilitation Program.

'''BRO:''' Off-System Bridge Replacement and Rehabilitation Program.

'''Brooks Act:''' Consultant contracts for engineering and design related services financed with Federal-Aid highway funds must result from negotiations which utilize [[:Category:134 Engineering Professional Services#134.1 Introduction|qualifications-based selection procedures]]. Qualifications based procedures do not allow for price to be used as a factor in the selection process.

'''Categorical Exclusion (CE):''' Projects that are minor enough in nature that they will not require preparation of a formal environmental statement.

'''CE:''' Construction Engineering

'''CE2:''' Categorical Exclusion II

'''CERCLIS:''' Comprehensive Environmental Response, Compensation, and Liability Information System

'''CFR:''' Code of Federal Regulations

'''Change Order:''' A supplement to the contract that provides authority to pay for revisions in quantities or authorize changes to design features or specifications.

'''CMAQ:''' Congestion Mitigation and Air Quality

'''COE:''' U.S. Army Corps of Engineers

'''Commission:''' Missouri Highway and Transportation Commission.

'''Competitive Bidding:''' Construction projects are required to be advertised and awarded to the lowest responsible and responsive bidder through open competitive bidding, unless use of an eligible force account is more cost effective.

'''Construction Engineering (CE):''' Construction inspection engineering

'''Council:''' Advisory Council on Historic Preservation

'''County Aid Road Trust (CART) Funding:''' CART Funds are apportioned to counties on the basis of two factors : 1) one-half of the funds are credited to the county based on the ratio that its road mileage bears to the total county road mileage in the unincorporated areas of the state, and 2) one-half is credited to the county based on the ratio that its rural land valuation bears to the rural land valuation of the entire state.

'''Credit Bridge:''' Bridge constructed to BRO standards with local funds, 80% of the cost may be applied to a normal federally funded bridge project in lieu of the 20% local match.

'''Cultural Resources:''' A cultural resource is any archaeological site, building, structure (e.g., bridge), district, or object. A historically significant cultural resource is one that meets certain criteria and is included in, or eligible for inclusion on, the National Register of Historic Places (NRHP) and is termed a historic property or historic resource. Not all cultural resources are historically significant, but potential project impacts to all must be considered.

'''DBA:''' Decibel Adjusted

'''DBE:''' Disadvantage (or Disadvantaged) Business Enterprise

'''Debarred:''' Suspended from entering into a contract with the Government

'''Deficient Structure:''' A bridge which is either structurally deficient or functionally obsolete.

'''DEIS:''' Draft Environmental Impact Statement

'''Design Standards:''' Projects on the National Highway System (NHS) must be designed with AASHTO and/or FHWA approved standards. It is recommended that all projects follow AASHTO guidelines for design and construction.

'''DNR:''' Missouri Department of Natural Resources

'''DOI:''' U.S. Department of Interior

'''Donations:''' “Donations” and “Contributions” are costs incurred for eligible non-federal share project activities that are necessary for the implementation of a project and are provided by a third party to an LPA without charge.

'''EA:''' Environmental Assessment

'''EEO:''' Equal Employment Opportunity

'''EIS:''' Environmental Impact Statement

'''EO:''' Executive Order

'''EPA:''' Environmental Protection Agency

'''EPG:''' [https://epg.modot.org/index.php?title=Main_Page Engineering Policy Guide]

'''FEIS:''' Final Environmental Impact Statement

'''FEMA:''' Federal Emergency Management Agency

'''FHWA:''' Federal Highway Administration

'''FONSI:''' Finding of No Significant Impact

'''Force Account Work:''' Work that arises unexpectedly during the construction of a project. The work can be performed by a contractor, a subcontractor or the local agency's forces and the cost is determined by keeping track of the labor forces, equipment, material and associated costs used to complete the unexpected work.

'''FPPA:''' Farmland Protection Policy Act

'''Functionally Obsolete:''' A bridge is generally considered functionally obsolete if it is unable to properly accommodate traffic due to poor roadway alignment, waterway, insufficient width, waterway, low structural evaluation, or inadequate clearances. For a more detailed description of the specific criteria used to determine this item, refer to [[:Category:753 Bridge Inspection Rating|EPG 753 Bridge Inspection Rating]] or the appropriate FHWA publication.

'''FWS:''' U.S. Fish and Wildlife Service

'''HABS:''' Historic American Building Survey

'''HAER:''' Historic American Engineering Record

'''Hazardous Waste:''' [[127.8 Hazardous and Solid Waste|Hazardous waste]] is a material that could cause harm to people or the environment; it can include solid materials, liquids, and gases. Some examples could be gas station releases, drums or containers of known or unknown material, tanks, old dumps, and e-waste. Any container with unknown contents should be considered hazardous until identified by a qualified person. If there is a question about what might be hazardous, contact the Missouri Department of Natural Resources Environmental Emergency Response Unit at 573-634-2436 for assistance with identification.

'''HBP:''' Highway Bridge Program.

'''Historic Property:''' A historic property is a cultural resource that meets at least one of the following criteria: a) it is associated with events that have made a significant contribution to our history; b) it is associated with significant persons in our past; c) it has high artistic value, is the work of a master craftsman, or embodies distinctive characteristics of a type, period, or method of construction; or d) it can answer specific research questions and topics or can contribute to our current state of knowledge. Historic properties typically must be at least 50 years of age or older but exceptionally important properties can be less than 50 years old.

'''Historic Resource:''' A historic resource is a cultural resource that meets at least one of the following criteria: a) it is associated with events that have made a significant contribution to our history; b) it is associated with significant persons in our past; c) it has high artistic value, is the work of a master craftsman, or embodies distinctive characteristics of a type, period, or method of construction; or d) it can answer specific research questions and topics or can contribute to our current state of knowledge. Historic resources typically must be at least 50 years of age or older but exceptionally important resources can be less than 50 years old.

'''HMGP:''' Hazard Mitigation Grant Program

'''HUD:''' U.S. Department of Housing and Urban Development

'''Independent Assurance Test:''' A test performed independently of a job control test and according to the [[:Category:123 Federal-Aid Highway Program#123.3.1 Independent Assurance Samples and Tests (IAS) System Based|guide schedule]].

'''In Kind Services:''' Donated labor, equipment or material.

'''ISTEA:''' Intermodal Surface Transportation Efficiency Act. Six year Highway Act from October 1, 1991 to September 30, 1997.

'''Job Control Test:''' Routine test performed on the site by the local agency or its representative to assure that the project is constructed in compliance with the applicable specifications.

'''Keeper:''' Keeper of the National Register of Historic Places

'''LFD:''' Load Factor Design

'''Low Water Bridge:''' A bridge having a waterway capacity design less than the 10 year frequency discharge.

'''Low Water Crossing:''' Waterway crossing other than a bridge where construction improvements have been made to produce a firm surface for vehicles to travel.

'''LPA:''' Local Public Agency

'''LRFD:''' Load and Resistance Factor Design

'''LRFR:''' Load and Resistance Factor Rating

'''LUST:''' Leaking petroleum underground storage tank

'''LWCF:''' Land and Water Conservation Fund

'''LWCFA:''' Land and Water Conservation Fund Act

'''MAP-21:''' Moving Ahead for Progress in the 21st Century. Two-year Highway Act from October 1, 2012 to September 30, 2014.

'''MDC:''' Missouri Department of Conservation

'''MHTC:''' Missouri Highway and Transportation Commission

'''MoDOT:''' Missouri Department of Transportation

'''MOA:''' Memorandum of Agreement

'''Materials Certification:''' Statements provided by the contractor, fabricator, or manufacturer that certain materials comply with the requirements of the contract.

'''[http://www.modot.mo.gov/business/standards_and_specs/standardplans.htm Missouri Standard Plans]:''' Construction detail plans available from MoDOT which meet AASHTO design requirements.

'''[http://www.modot.mo.gov/business/standards_and_specs/highwayspecs.htm Missouri Standard Specifications for Highway Construction, 2004 Edition]:''' The directions, provisions and requirements for the performance of the work for the quantity, quality and proportion of materials.

'''MPO:''' Metropolitan Planning Organizations carry out the transportation planning process for communities with a population greater than 50,000.

'''MUTCD:''' ''Manual on Uniform Traffic Control Devices ''

'''National Register:''' National Register of Historic Places

'''NBI:''' National Bridge Inventory

'''NEPA:''' National Environmental Policy Act

'''NFIB:''' Nation Flood Insurance Program

'''NFIP:''' National Flood Insurance Program

'''NHPA:''' National Historic Preservation Act

'''NOA:''' Notice of Availability

'''NPDES:''' National Pollutant Discharge Elimination System

'''NRCS:''' Natural Resources Conservation Service

'''NRHP:''' National Register of Historic Places

'''NWP:''' Nationwide Section 404 Permit

'''Obligation Limitation:''' Limits the amount of federal funds that may be obligated during a certain time period (also called Obligation Authority and Contract Control).

'''Obligation of Funds:''' The formal commitment by FHWA to participate in a share of the project costs.

'''Off-System Routes:''' Routes that have a functional classification of rural local, local road or street, or a rural minor collector.

'''On-System Routes:''' Routes that have a functional classification of urban collector, rural major collector, rural or urban arterial, or an expressway.

'''PA:''' Programmatic Agreement

'''PDEIS:''' Preliminary Draft Environmental Impact Statement

'''PE:''' Preliminary Engineering. All engineering work performed by the local agency or their consultant prior to award of contract.

'''PEA:''' Preliminary Environmental Assessment

'''PFEIS:''' Preliminary Final Environmental Impact Statement

'''PS&E:''' Construction plans, specifications, and quantity estimates.

'''Posting:''' Establishment of a maximum weight limit for vehicles using the bridge.

'''Pro Rata Share:''' The legal federal share for a project established at the time of project approval. Pro rata share is typically expressed as a percentage of the total participating costs of the project.

'''Public Interest Finding:''' Cost effective justification that must be provided to MoDOT by a local agency that is seeking to do a federally funded project with its own forces.

'''QBS:''' Qualifications Based Selection

'''RCG:''' Recording and Coding Guide for the structure inventory and appraisal of the nations bridges

'''Rehabilitation:''' Work required to eliminate the items that cause a bridge to be identified as deficient.

'''Reimbursement:''' Payment of federal funds to a local agency.

'''RER:''' Request for Environmental Review

'''Responsible Person in Charge:'''

'''RFP:''' Request for Proposal

'''RFQ:''' Request for Qualifications

'''ROD:''' Record of Decision

'''RSMO:''' Revised Missouri State Statue

'''SAFETEA-LU:''' Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users. Five-year Highway Act from October 1, 2004 to September 30, 2009 with two one-year extensions to September 30, 2012.

'''Section 106:''' Section 106 of the National Historic Preservation Act of 1966 - the primary legislation that requires cultural resource investigations. Any project using federal funds or needing federal permits must comply with the Section 106 requirements. The Section 106 process consists of three primary stages, with the outcome of each stage determining whether the activities of the next stage are necessary (36 CFR Part 800)

'''Section 401:''' Water Quality Certification

'''Section 404/Wetlands:''' A project may involve activities in an area that contains wetland or waters of the United States and may require a Section 404 permit from the U.S. Army Corps of Engineers. It is a violation of federal law to place fill in waters of the U.S. or wetlands without the necessary permits.

'''Section 4(f):''' Section 4(f) of the Department of Transportation Act of 1966 – provides protection for public parks and recreation areas, wildlife and waterfowl refuges and significant historic sites on publicly owned land. It requires demonstrating that there is no feasible and prudent alternative to the use of the property and that all is possible planning has been done to minimize harm to the property.

'''Section 6(f) of the Land and Water Conservation Fund:''' A project that has potential involvement with parks or other public lands which may have been purchased or improved using funds from the Land and Water Conservation Fund (LWCF).

'''S.E.M.A.:''' The State Emergency Management Agency has responsibility for coordinating state agencies' response to disasters.

'''SHPO:''' State Historic Preservation Officer

'''SI&A:''' Structure Inventory and Appraisal Sheet

'''SIP:''' State Implementation Plan

'''Soft Match:''' Credit earned by counties who replace their deficient bridges with local funding. It can be used in lieu of the 20% local match on bridge projects.

'''SOQ:''' Statement of Qualifications

'''Sponsor:''' The local government or public agency responsible for providing matching funds for the proposed project.

'''SRTS:''' Safe Routes to Schools

'''STIP:''' Statewide Transportation Improvement Program

'''STP:''' Surface Transportation Program

'''Structurally Deficient:''' A bridge is generally considered to be structurally deficient if it is in relatively poor condition, or has insufficient load carrying capacity for modern design loadings. The insufficient load capacity may be the result of the loads used in the original design or degradation of structural properties due to deterioration. For a more detailed description of the specific criteria used to determine this item, [[:Category:753 Bridge Inspection Rating|EPG 753 Bridge Inspection Rating]] or appropriate FHWA publications should be consulted.

'''Sufficiency Rating:''' A numerical rating of a bridge based on its structural adequacy, safety, serviceability, functional obsolescence and essentially for public use.

'''TAP:''' Transportation Alternatives Program

'''TEA21:''' Transportation Equity Act for the 21st Century. Six-year Highway Act from October 1, 1997 to September 30, 2003 with a one-year extension to September 30, 2004.

'''TIFF:''' Tagged Image File Format

'''TIP:''' Transportation Improvement Program

'''Title 23 U.S.C.:''' Title 23 of the United States Code contains most of the laws governing the Federal-Aid Highway Program.

'''TNM:''' Traffic Noise Model

'''UPARR:''' Urban Park and Recreation Recovery

'''USC:''' United States Code

'''USDA:''' United States Department of Agriculture

'''USGS:''' United States Geological Survey

'''UST:''' Petroleum Underground storage tank site

'''WBE:''' Women Business Enterprise. Term not in current usage. Definition of Disadvantaged Business Enterprise includes WBEs.

'''Work by Local Forces:''' Construction performed by the local agency's work force. If the local agency elects to perform work with its own forces, and/or use their own materials and equipment, MoDOT and FHWA must approve all work being done. The work by local forces must be in the public interest and shown to be cost effective. See [[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 details.

'''23 CFR:''' Title 23 of the Code of Federal Regulations is a collection (updated annually) of the general and permanent rules and regulations required to implement the provisions of federal law relating to the National Highway Traffic Safety Administration and Federal Highway Administration.

==136.12.3 Helpful Information and Links==

Please use the [http://www3.modot.mo.gov/FEDAID.nsf/LPA?OpenForm LPA Manual Change Request Form] to request manual changes throughout the year or the [http://www3.modot.mo.gov/FEDAID.nsf/Comments?OpenForm Revisions Comments Form] to make comments on proposed revisions.

===136.12.3.1 MoDOT District and Central Office Information===
{|style="padding: 0.3em; margin-right:5px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="470px" align="center"
|-
!align="center"|[http://www.modot.mo.gov/northwest/ NW District] !!align="center"|[http://www.modot.mo.gov/northeast/ NE District]!!align="center"|[http://www.modot.mo.gov/kansascity/ Kansas City District] !!align="center"|[http://www.modot.mo.gov/central/ Central District]
|-
|align="center"|St. Joseph ||align="center"| Hannibal ||align="center"|Lee's Summit ||align="center"| Jefferson City
|-
!align="center"|[http://www.modot.mo.gov/stlouis/ St. Louis District] !!align="center"|[http://www.modot.mo.gov/southwest/ SW District]!!align="center"|[http://www.modot.mo.gov/southeast/ SE District] !!align="center"|
|-
|align="center"|Chesterfield|| align="center"|Springfield||align="center"|Sikeston ||align="center"|
|-
!align="center" colspan="4"|Central Office
|-
|colspan="2" align="center"|MoDOT – Financial Services (FS)||colspan="2" align="center"|MoDOT - Design (DE)
|-
|colspan="2" align="center"|P.O. Box 270||colspan="2" align="center"|P.O. Box 270
|-
|colspan="2" align="center"|Jefferson City, MO 65102||colspan="2" align="center"|Jefferson City, MO 65102
|-
|colspan="2" align="center"|(573) 526-8106; Fax: (573) 526-2819||colspan="2" align="center"|(573) 751-2876; Fax: (573) 526-3261
|-
!colspan="4" align="center"|__________________
|-
!colspan="4" align="center"|[http://www.modot.mo.gov/plansandprojects/long-range_plan/ListofMissouriMPOs.htm METROPOLITAN PLANNING ORGANIZATIONS]
|-
!colspan="4" align="center"|__________________
|-
!colspan="4" align="center"|OTHER REGULATORY AGENCIES
|-
!colspan="2" align="center"|State Historic Preservation Office!!colspan="2" align="center"|Charles Scott
|-
|colspan="2"| MO Dept. of Natural Resources||colspan="2" | Field Supervisor
|-
|colspan="2" |P.O. Box 176 ||colspan="2"| Columbia Field Office
|-
|colspan="2" |Jefferson City, MO 65102 ||colspan="2"| U.S. Fish and Wildlife Service
|-
|colspan="2" |Phone (573) 751-2479 ||colspan="2" |101 Park DeVille Drive, Suite A
|-
|colspan="2"| ||colspan="2"|Columbia, MO 65203-0007
|-
|colspan="2"| ||colspan="2"|Phone (573) 234-2132
|-
!align="center" colspan="2"|Policy and Coordination Division!!align="center" colspan="2"|Kevin Ward
|-
|colspan="2"|MO Dept. of Conservation ||colspan="2"|Federal Highway Administration
|-
|colspan="2"|P.O. Box 180 ||colspan="2"|3220 W. Edgewood, Suite H
|-
|colspan="2"|Jefferson City, MO 65102-0180||colspan="2"| Jefferson City, MO 65109
|-
|colspan="2"|Phone (573) 751-4115||colspan="2"| Phone (573) 636-7104
|-
!colspan="4" align="center"|__________________
|-
!align="center" colspan="4"|CORPS OF ENGINEER'S OFFICE
|-
|align="center" colspan="4"|(Contact MoDOT district office if clarification is needed for which Corp Office has jurisdiction)
|-
!colspan="2"|Commanding Officer !!colspan="2"|Commanding Officer
|-
|colspan="2"|Department of the Army ||colspan="2"|U.S. Army Corps of Engineers
|-
|colspan="2"|Little Rock Dist., Corps of Engineers ||colspan="2"|Kansas City District
|-
|colspan="2"|P.O. Box 867 ||colspan="2"|700 Federal Office Building
|-
|colspan="2"|Little Rock, AR 72203-0867 ||colspan="2"|601 East 12th Street
|-
|colspan="2"|Phone (501) 324-5531|| colspan="2"|Kansas City, MO 64106
|-
|colspan="2"| ||colspan="2"|Phone (816) 426-5241
|-
!colspan="2"|Commanding Officer !!colspan="2"|Commanding Officer
|-
|colspan="2"|Department of the Army ||colspan="2"|Department of the Army
|-
|colspan="2"|Rock Island Dist., Corps of Engineers||colspan="2"| Memphis Dist., Corps of Engineers
|-
|colspan="2"|P.O. Box 2004 ||colspan="2"|167 North Main Street, Room B202
|-
|colspan="2"|Rock Island, IL 61204-2004 ||colspan="2"|Memphis, TN 38103-1894
|-
|colspan="2"|Phone (309) 788-6361 ||colspan="2"|Phone (901) 544-3005
|-
!colspan="2"|Commanding Officer!!colspan="2"|
|-
|colspan="2"|U.S. Army Corps of Engineers||colspan="2"|
|-
|colspan="2"|St. Louis District||colspan="2"|
|-
|colspan="2"|1222 Spruce Street||colspan="2"|
|-
|colspan="2"|St. Louis, MO 63103-2833||colspan="2"|
|-
|colspan="2"|Phone (314) 331-8000||colspan="2"|
|}

===136.12.3.2 Other Helpful Information===

* [http://www.modot.mo.gov/safety/SafeRoutestoSchool.htm Safe Routes To School (SRTS)]

* [http://www.modot.mo.gov/scenicbyways/index.htm Scenic Byways]

* [https://www.modot.org/contact-modot-lpa MoDOT District Contacts for LPA]

* [http://www.modot.mo.gov/safety/trafficvolumemaps.htm AADT on MoDOT Routes]

* [http://www.modot.mo.gov/business/contractor_resources/External_Civil_Rights/DBE_program.htm DBE Directory]

====136.12.3.2.1 Commonly Used Forms====

[[media:136.14.2.1 Bridge Inventory Survey Form.xls|Bridge Inventory Survey Form]]

[http://www.modot.mo.gov/business/manuals/FFATA.htm Form 1590, Federal Funding Accountability and Transparency Act (FFATA)]

[http://www.modot.mo.gov/business/contractor_resources/External_Civil_Rights/jobtraining.htm On the Job Training Manual and Submittal Forms]

[http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf FHWA Form 1273 Required Contract Provisions]

[[media:136.14.2.1 Utility Agreement Actual Cost 2016.doc|Utility Agreement - Actual Cost]]

[[media:136.14.2.1 Utility Agreement Lump Sum 2016.doc|Utility Agreement - Lump Sum]]

[[media:136.14.2.1 Notice to Proceed.doc|Notice to Proceed]]

[[media:136.14.2.1 Force Account Record Equipment and Material.doc|Daily Force Account Record-Equipment Rental Account/Materials Account]]

[[media:136.14.2.1 Force Account Record Labor.doc|Daily Force Account Record-Labor Account]]

[[media:136.14.2.1 Force Account Record Cost Summary.doc|Force Account Record - Cost Summary]]

[[media:136.14.2.1 Sample Timesheet.xls|Sample Timesheet]]

[[media:136.14.2.1 Construction Safety Program.pdf|Construction Contract Calls for Bid]]

[[media:136.14.2.1 Awarded Construction Contracts.pdf|Awarded Construction Contracts]]

[[media:136.14.2.1 Local Project Checklist.pdf|Local Project Checklist]]

[[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]]

====136.12.3.2.2 Examples of Completed Forms====

[[media:136.14.2.2 Form CE2.doc|Form CE-2 Example]]

[[media:643.2 Lump Sum Estimate.doc|Utility Lump Sum Estimate Example]]

[[media:643.2 Actual Cost Estimate.doc|Utility Actual Cost Estimate Example]]

[[media:136.14.2.2 Utilites Status Letter.pdf|Sample Utilities Status Letter]]

[[media:136.14.2.2 Sample JSP for Utilities.pdf|Sample Job Special Provisions for Utilities]]

[[media:136.14.2.2 Bridge Slab Pour Checklist.pdf|Bridge Slab Pour Checklist & Pre-Pour Meeting Topics]]

===136.12.3.3 Links to Other Resources===

* [[:Category:242 Optional and Alternate Pavement Designs|EPG 242 Optional and Alternate Pavement Designs]]

* Equal Employment Opportunity Requirements ([http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3275bea9e2d87163209535159a10234d&rgn=div5&view=text&node=41:1.2.3.1.1&idno=41 41 CFR 60.1] and [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3275bea9e2d87163209535159a10234d&rgn=div5&view=text&node=41:1.2.3.1.2&idno=41 41 CFR 60.2])

* [http://www.fhwa.dot.gov/ Federal Highway Administration]

* [http://www.fhwa.dot.gov/legsregs/directives/cfr23toc.htm Code of Federal Regulations 23 Highways]

* [http://www.fhwa.dot.gov/reports/utilguid/ Program Guide - Utility Adjustments and Accommodations on Federal-Aid Highway Projects]

* [http://www.usace.army.mil/Pages/Default.aspx US Army Corps of Engineers]

* Americans with Disabilities Act Access Guidelines (ADAAG):

:: [http://www.access-board.gov/ The United States Access Board]

:: [http://www.access-board.gov/guidelines-and-standards Access Board’s Guidelines and Standards]

:: [http://www.access-board.gov/guidelines-and-standards/buildings-and-sites/about-the-ada-standards/ada-standards Access Board’s ADA standards page]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks Access Board’s Streets and Sidewalks]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/background Access Board’s Background on the Public Rights-of-Way Rulemaking]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way Access Board’s Public Rights-of-Way]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/proposed-rights-of-way-guidelines Access Board’s Proposed Guidelines (2011)]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/background/revised-draft-guidelines Access Board’s PROWAG (2005)]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/guidance-and-research Access Board’s Guidance and Research]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/other-prow-resources Access Board’s Public Righs-of-Way Resources]

::[http://www.mutcd.fhwa.dot.gov/ Manual on Uniform traffic Control Devices - signals]

::[http://www.fhwa.dot.gov/environment/sidewalks/index.htm FHWA – Designing Sidewalks and Trails for Access, Part I]

::[http://www.fhwa.dot.gov/environment/sidewalk2/index.htm Part II]

::[http://www.modot.org/othertransportation/bike_ped/Bikepedintro.htm MoDOT Bike/Ped webpage]

::[http://www.modot.mo.gov/business/standards_and_specs/documents/60810.pdf MoDOT Standard Plan 608.10]

::[http://www.modot.org/business/standards_and_specs/Online%20Standard%20Plans/60850.pdf MoDOT Standard Plan 608.50]

::[http://www.modot.mo.gov/business/standards_and_specs/documents/ConcreteSidewkCurbRamps1.pdf MoDOT Special Sheet, Concrete Curb Ramps]

*[http://www.wdol.gov/dba.aspx#0 Federal Wage Rates]

*[http://www.fhwa.dot.gov/programadmin/contracts/index.cfm FHWA's Construction webpage]

*[http://www.modot.mo.gov/business/standards_and_specs/highwayspecs.htm Missouri Standard Specifications for Highway Construction]

*[https://labor.mo.gov/prevailing-wage State Wage Rates for Local Agency Projects]

*[http://labor.mo.gov/DLS/PrevailingWage/gwo State Wage Rates for MoDOT Projects]

*[http://www.enhancements.org/ National Transportation Enhancement Clearinghouse]

*[http://moltap.org/ Missouri LTAP, Local Technical Assistance Program]

*[http://www.fhwa.dot.gov/federalaid/projects.cfm Guide to Federal-Aid Programs and Projects]

*[http://www.fhwa.dot.gov/reports/financingfederalaid/ Financing Federal-Aid Highways]

===136.12.3.4 Recent Changes to LPA Policy===

This information has been moved to [[136.13 LPA Policy Changes|EPG 136.13 LPA Policy Changes]].

[[Category:136 Local Public Agency (LPA) Policy|136.12]]

LPA:136.9 Plans, Specs and Estimates (PSE)

2022-03-16T16:20:34Z

Bramar12:

File:136.9.8 2022.docx

2022-03-16T16:18:30Z

Bramar12:

LPA:136.9 Plans, Specs and Estimates (PSE)

2022-03-16T16:02:58Z

Bramar12:

File:136 9 8LPADBEProvisions.docx

2022-03-16T15:54:37Z

Bramar12:

LPA:136.9 Plans, Specs and Estimates (PSE)

2022-03-16T15:52:43Z

Bramar12:

File:136.4.10 2022 LPA Invoice.xlsx

2022-02-22T22:22:49Z

Bramar12: Bramar12 uploaded a new version of File:136.4.10 2022 LPA Invoice.xlsx

File:136.4.10 2022 LPA Invoice.xlsx

2022-02-22T22:20:31Z

Bramar12: Bramar12 uploaded a new version of File:136.4.10 2022 LPA Invoice.xlsx

LPA:136.4 Consultant Selection and Consultant Contract Management

2022-02-22T22:15:51Z

Bramar12:

File:136.4.10 2022 LPA Invoice.xlsx

2022-02-22T22:08:54Z

Bramar12:

LPA:136.13 LPA Policy Changes

2021-06-11T13:55:57Z

Bramar12:

6/11/21: Updated [[media:136.6.6 2021.docx|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]] to bring it into compliance with existing guidance in [[LPA:136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]].

5/14/21: At the end of the [[LPA:136.6 Environmental and Cultural Requirements#In making a de minimis|last paragraph of EPG 136.6.4.2.3 De Minimis Determination]], guidance was clarified that the public must be able to review the effects of the project on the Sec 4f property.

5/11/21: New guidance is now available at [[LPA:136.8 Local Public Agency Land Acquisition#136.8.7.5 Administrative Settlements|EPG 136.8.7.5 Administrative Settlements]] for making administrative settlements, preparing a letter of justification and other considerations.

5/10/21: The [[media:146 CUF After Mar 2021.pdf|Commercially Useful Function (CUF) Determination Form]], discussed in [[LPA:136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], has been revised with more open ended questions that assist in determining whether a DBE is performing a Commercially Useful Function. The form now includes a field observation section for inspectors to note what they saw in the field.

4/27/21: The former EPG 136.7.3.1.2.1.11 Buy America Requirements was deleted since the Buy America JSP is now in the spec book. The new guidance in [[LPA:136.7 Design#136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)|EPG 136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)]] presents the requirement for the use of the Supplemental Revisions JSP.

4/20/21: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], has been updated to current practice.

2/19/21: [[media:136.9.4 Mar 2021.docx|Fig. 136.9.4, ADA Checklist]] was updated. On Page 15 of the checklist, the force to activate Accessible Pedestrian Signal pushbuttons was revised as was their minimum distance from the curb line and their height from the ground. On both Page 15 and 16, guidance was more closely tied to compliance with the EPG.

2/18/21: Contact information has been updated in [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].

1/15/21: At the bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.1 Introduction|Key Environmental/Cultural Resources Compliance Milestones]] table, added Public Involvement information. Also, clarified that public involvement is needed with the RER in a new paragraph at bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)|EPG 136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)]].

11/23/20: Guidance was expanded in [[LPA:136.11 Local Public Agency Construction#136.11.13 Documentation Requirements|EPG 136.11.13 Documentation Requirements]] through [[LPA:136.11 Local Public Agency Construction#136.11.13.2 Payment Diaries|EPG 136.11.13.2 Payment Diaries]]. MoDOT will no longer be approving specific software for use; the LPA must ensure the software chosen meets the outlined criteria. Guidance about what should be documented in the construction diaries was clarified in [[LPA:136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]].

9/30/20: Guidance for the A-date process in [[LPA:136.8 Local Public Agency Land Acquisition#Square 14|EPG 136.8.1.6 Local Public Agency - Right of Way and Easement Acquisition, "Square 14"]] and the first and third paragraphs of [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] has been clarified and updated to reflect current policy and processes.

9/2/20: Clarified [[media:136.4.7 2020.docx|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], by adding "Remove note before posting" to instructions just below the table on the second page.

8/13/20: The seventh paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.6 Base Floodplain and Regulatory Floodway|EPG 136.6.4.6 Base Floodplain and Regulatory Floodway]] was revised to make CFR requirements more apparent.

7/14/20: Minor updates were made to Fig. 136.9.3, Federal Project Bid Proposal Boilerplate.

7/9/20: The last sentence of the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)|EPG 136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)]] is new guidance about how to fill out Fig. 136.9.9, DBE Submittal Forms. Fig. 136.9.3, Federal Project Bid Proposal Boilerplate and Fig. 136.9.9, DBE Submittal Forms were also updated.

7/1/20: In the second paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]], guidance was clarified, now including submitting a copy of the supplemental to the ECR email group.

6/23/20: The second sentence in the first paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] was added to clarify guidance about an LPA disqualifying a consultant.

6/18/20: Guidance in [[LPA:136.6 Environmental and Cultural Requirements#136.6.3 Categorical Exclusion (CE)|EPG 136.6.3 Categorical Exclusion (CE)]] was updated with the FHWA agreement requirements.

6/17/20: The process in [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] has dramatically changed. MoDOT has hired a consultant to provide oversight the Local Public Agency’s Section 106 compliance. The EPG directed the LPA to send a Project Information form to the SHPO to start the Section 106 process. That is no longer required. The new approach is for the LPA to submit a Request for Environmental Review to MoDOT.

5/1/20: In [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.7 Inspection of Documents|EPG 136.8.2.7 Inspection of Documents]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.8 Federal Project Number|EPG 136.8.2.8 Federal Project Number]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] and [[LPA:136.8 Local Public Agency Land Acquisition#136.8.10.1 General|EPG 136.8.10.1 General]], guidance has been added about the documentation MoDOT RW staff is to enter into the LPA State Management System Application (SMS). Also, In EPG 136.8.2.2 Acquisition Authority, the LPA may now request an A-date by submitting only one set (instead of two sets) of completed right of way plans.

12/16/19: In [[LPA:136.4 Consultant Selection and Consultant Contract Management#A consulting engineering firm|EPG 136.4.1.6 Conflict of Interest]], clarified guidance by adding information pertaining to when a consultant acts as a city engineer.

9/18/19: Numerous minor revisions were made in [[LPA:136.3 Federal Aid Basics#136.3.8.4 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.4 Bridge Engineering Assistance Program (BEAP)]] as the new BEAP contract goes into effect. Two BEAP documents (Figs. 136.3.19 and 136.3.20) were updated while two BEAP figures (Fig. 136.3.22 Estimate of Cost and Fig. 136.3.23 General Scope of Services) were deleted.

9/6/19: In [[LPA:136.11 Local Public Agency Construction#Change Order Level 1|EPG 136.11.15.2 Change Order Approval]], the LPA change order approval process was updated to current practice. The MoDOT signature is needed for Level 1 change orders and an FHWA review is only required on Change Order Level 2 PODI projects.

8/21/19: The link to the TSP was updated in the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.16 On the Job Training (OJT) (23 CFR Section 230)|EPG 136.9.4.1.1.16 On the Job Training (OJT)]].

7/22/19: In [[media:136.9.1 2019.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], checklist guidance related to wage rates was updated.

7/22/19: As a convenience, guidance for LPAs to access federal emergency relief has been expanded in [[LPA:136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]].

7/22/19: In [[LPA:136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]], guidance for LPA programs that are no longer in use was deleted. Also, guidance was updated to accommodate revisions in the FAST Act.

5/20/19: In [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species and Migratory Birds|EPG 136.6.4.5 Threatened and Endangered Species and Migratory Birds]], guidance for the Threatened and Endangerd process was clarified throughout. New (and currently used) guidance, [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5.3 Migratory Birds|EPG 136.6.4.5.3 Migratory Birds]] was also added. [[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]] replaced the old Fig. 136.6.18 LPA Environmental RER T&E Guidance, and [[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]] was added.

5/14/19: In [[LPA:136.6 Environmental and Cultural Requirements#On linear transportation projects|EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams]], guidance was clarified to attach to RER for documentation purposes.

1/16/19: [[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]], was updated.

1/15/19: In [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training]], the listing of the web-based NHI courses was updated.

1/11/19: A sentence was added to the end of the first paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]] to clarify NEPA information. This info referencing documentation involved when more than one acre is planned to be disturbed was added at the request of the FHWA.

11/30/18: [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.13 Noise Standards and Noise Abatement|EPG 136.6.4.13 Noise Standards and Noise Abatement]] was significantly simplified to reflect that LPAs must use MoDOT’s FHWA-approved noise policy.

11/20/18: [[media:136.8.8.docx|Clearance Certification Statement (Form 136.8.8)]] was slightly modified by replacing "free deed" with "donation".

11/14/18: In [[LPA:136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]] and [[LPA:136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]], archaic contract links and listings were removed. Also, in EPG 136.3.13 Agreements, a reference to the CCO site was replaced with a link to EPG 153 Agreements and Contracts.

10/26/18: Updated the documentation processes to current practices and updated the requirements of new laws and regulations. Much of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3] was revised as was "Permits for Land Disturbance" in [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8], the last paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], the third paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2], and [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.14_Air_Quality_Requirements EPG 136.6.4.14]. Fig. 136.6.1, Project Review Process flowchart, Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones, Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist and Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way were also updated. Fig. 136.6.16 was re-labeled as "LPA Project Checklist for Adverse Effects".

4/10/2018: In the second paragraph of [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)|EPG 136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)]], guidance was added about including the correct wage rate order from the Dept. of Labor on LPA projects. If an updated wage rate order has been issued within 10 days of the project letting, the updated version has typically not been included in the project documents. This is allowed, however the requirement states that if the agency finds that sufficient time is not afforded to include the updated wage order, then this finding and reasoning must be included in the individual project records.

3/29/18: Procedures in Section 106 (Cultural Resource) Compliance were clarified at the bottom of the second paragraph of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] and in the first sentence of [[136.6 Environmental and Cultural Requirements#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

3/29/18: Removed second sentence of the second paragraph ("In figuring the percentage of the contract work performed, all prices for sublet work shall be at contract unit bid prices.") from [[136.11 Local Public Agency Construction#136.11.5 Subcontracts |EPG 136.11.5 Subcontracts]]. The sentence was outdated.

3/26/18: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4 How to Complete the Request for Environmental Review]] was updated.

1/24/18: In [[136.2 Certification and Training|EPG 136.2 Certification and Training]], the contact information for the Technician Certification Program was updated.

12/26/17: [[media:Fig.136.3.24 2017.docx|Fig. 136.3.24, TEAP Program Application]] was updated. Also, in [[136.3 Federal Aid Basics#136.3.8.11.1 Introduction|EPG 136 136.3.8.11.1 Introduction]] and [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]], guidance was slightly expanded to accommodate the changes in the TEAP Program Application.

12/14/17: [[media:Fig.136.3.20 2019.docx|Fig. 136.3.20, BEAP Project Tracking Form]] was updated. Also, Gabe Wolken was added as a contact for BEAP information in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

11/30/17: In [[136.3 Federal Aid Basics#136.3.15.2 Audit and Final Reimbursement|EPG 136.3.15.2 Audit and Final Reimbursement]], the sentence stating the LPAs must supply a copy of the final audit report to the MPOs was removed.

11/13/17: Guidance in [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] was expanded since the FAST Act has extended eligibility for some programs. Eligibility to nonprofits in the large MPOs (Kansas City, St. Louis and Springfield) is now allowed.

11/1/17: A link was updated in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

10/31/17: [[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]] was updated with new “Whereas” clauses to address issues brought up by FHWA and the Advisory Council over the last few years.

9/20/17: The Subcontractor Disclosure in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated to reflect the current section of the Missouri Standard Specification for Highway Construction.

9/18/17: In [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]], the funding description and FFATA requirement were further clarified.

9/1/17: At the bottom of the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.5.2 Title Information|EPG 136.8.5.2 Title Information]], a sentence was added with a link to a checklist of items to determine property ownership for ADA projects.

6/29/17: A new PowerPoint, [[media:136.4.1.ppt|Consultant Inspection]], in [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.3 Construction Engineering/Construction Inspection (CE)|EPG 136.4.1.3.3 Construction Engineering/Construction Inspection (CE)]] provides guidance on how to solicit and procure a consultant for construction. Its guidance is primarily aimed at MoDOT Construction employees but may also be of assistance to others.

6/23/17: [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]] was updated to show the ''LPA Internal Procedures Manual'' requires LPAs submit the FFATA form with the programming data form.

6/9/17: Guidance for how to obtain additional help for environmental clearance of borrow sites and other land disturbance activities outside right of way was clarified in the fifth sentence of the first paragraph in [[136.6 Environmental and Cultural Requirements#136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way|EPG 136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way]].

5/24/17: Updated Fig. 136.3.20, BEAP Project Tracking Form with new contact information.

4/27/17: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], an archaic sentence was deleted that had required MoDOT to approve subcontracts.

3/28/17: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was revised to reflect changes made in the EPG on Wage Rates. State Only Prevailing wage option in section 9 was deleted.

1/5/17: In requirement #2 of [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], it was clarified that a firm is not required to submit a certificate of authority to become prequalified when it does work outside the jurisdiction of the MO Board for APEPLSPLA.

1/4/17: In [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], minor clarifications based on the new stormwater permit have been made. This includes new guidance, "Individual State Operating Permit for TS4".

12/27/16: Updated [[media:136.3.1 2016.doc|Fig. 136.3.1, Programming Data Form]], with additional information.

11/17/16: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated to reflect the current versions of the MoDOT specs and standard plans.

10/20/16: In [[136.6 Environmental and Cultural Requirements#136.6.2 National Environmental Policy Act (NEPA) Classification|EPG 136.6.2 National Environmental Policy Act (NEPA) Classification]], a clarifying sentence was added in the first paragraph to help LPAs find info in [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]].

10/6/16: Fig. 136.6.4 LPA Request for Environmental Review (RER) was eliminated and replaced with a [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f link to the new RER]. Also, in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], federal wage rate language was removed to make guidance stay current with federal regulations.

9/6/16: The former prorata tax form (7-22.2C) was updated so as to be only for the LPAs. It was also relabeled as [http://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx Local Public Agency Prorata Real Estate Tax Claim (Form 136.8.7.1.11)].

9/2/16: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], the need for a performance/contract bond in the executed construction contract for LPA projects was clarified.

7/22/16: A minor revision to [[media:136.10.2 2016.doc|Fig. 136.10.2, Bid Concurrence Checklist]] was made so that asterisks are no longer to be shown by items that DBE will perform.

7/5/16: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the $25,000 contract threshold was removed from the certification requirements for suspension and debarment to make guidance consistent with consultant contract language.

6/23/16: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was added to clearly indicate that subcontracts require FHWA Form 1273.

6/15/16: In [[136.11 Local Public Agency Construction#136.11.13.4 Erosion Control|EPG 136.11.13.4 Erosion Control]], the outdated link to the "Erosion Control Inspection Record" was replaced with a link to "Land Disturbance Inspection Record".

6/2/16: [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], was clarified.

5/27/16: Guidance in [[136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species|EPG 136.6.4.5 Threatened and Endangered Species]] was expanded and clarified. The new [[media:136.6.18.docx|Fig. 136.6.18, LPA Environmental RER T&E Guidance]] was also added. Also, in Articles XVI and XVII of [[media:Fig. 136.4.1 May 2016.docx|Fig. 136.4.1, Engineering Services Contract]], references were added to Title VI and ADA requirements.

5/19/16: In [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], the previous Fig. 136.6.4 was replaced with a new link, [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]. The new [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents updated instructions.

5/13/16: Updated the [[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]] and [[media:136.11.23 2016.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] in EPG 136.11. [[media:136.11.3 2016.pdf|Fig. 136.11.3, Progress Report]] was made a fillable form.

4/29/16: In the last sentence of [[136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]], "free" was removed from the description of NHI training courses, since not all of them are now free.

4/27/16: Deleted Fig. 136.11.17 Semi-Final Inspection Letter since it was redundant to Fig. 136.11.23 LPA Semi-Final Inspection Checklist (Form C-236). [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] was revised to reflect this change.

4/1/16: There were numerous updates in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]] to reflect current practices. In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]], the use of the Parcel File Checklist was deleted. In the second paragraph, the record retention period of 3 years was revised to begin when the project closure action is submitted to the FHWA. In [[136.8 Local Public Agency Land Acquisition#136.8.6.3.1.20D.9 Manufactured Homes|EPG 136.8.6.3.1.20D.9 Manufactured Homes]], the determination of whether a mobile home is personalty was clarified. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.1.2 Negotiator's Report|EPG 136.8.7.1.2 Negotiator's Report]], the Parcel File Checklist, the Negotiator's Report form and the Negotiator's Narrative no longer should be attached to the cover of each parcel file. In [[136.8 Local Public Agency Land Acquisition#136.8.8.3 Use of a Fee Attorney or Special Counsel|EPG 136.8.8.3 Use of a Fee Attorney or Special Counsel]], the permissible use of a Fee Attorney was introduced and defined. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.9 Relocation Assistance|EPG 136.8.9 Relocation Assistance]], the quotation defining a displaced person was slightly modified. Finally, the term "taking" was replaced with "acquisition" in several locations within EPG 136.8.

3/24/16: Updated Fig. 136.3.20, BEAP Project Tracking Form.

3/4/16: Updated [[media:110.2 checklist 2016.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]].

3/3/16: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to reflect the recodified National Historic Preservation Act.

3/1/16: In [[136.7 Design#136.7.2.8 Proprietary Items |EPG 136.7.2.8 Proprietary Items]], a link to the Proprietary Item Library was inserted.

2/24/16: Guidance in [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]] was clarified by adding a reference to [[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was clarified by additional guidance and by renumbering the subarticles.

2/22/16: A link to [[media:136.11.23.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] was added and the guidance for it was clarified.

2/18/16: The former "Final Acceptance Checklist" was relabeled as the new [[media:136.11.22.docx|Fig. 136.11.22, LPA Final Acceptance Checklist]].

1/27/16: In [[media:Fig. 136.4.1 2016.docx|Fig. 136.4.1, Engineering Services Contract]], revised Article VII D.2, D.3 and E to indicate the overhead rate (OHR) established at the execution of the original contract shall be utilized throughout the life of the contract. This reduces potential errors caused by having to change the OHR on billing invoices every year based on audited OHR. Revision allows consultants to utilize one OHR throughout the life of the contract

1/26/16: Three archaic figures in EPG 136.3 Federal Aid Basics were removed: Fig. 136.3.5 HS 4, Safe Routes to School Program Agreement; Fig. 136.3.7 FS 12, Transportation Enhancement Funds Program Agreement and Fig. 136.3.8 FS 12 SUP, Transportation Enhancement Funds Supplemental Agreement. New link to Fig. 136.3.5, FS25, Transportation Alternatives Program added.

1/22/16: Four LPA agreements were updated: [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS11_STP_Urban_Program_Agreement.docx Fig. 136.3.6, FS 11, STP Urban Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS13_Off_System_Bridge_Replacement.doc Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS14_On_System_Bridge_Replacement.docx Fig. 136.3.10, FS 14, On-System Bridge Replacement and Rehabilitation Program Agreement] and [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS15_CMAQ_Program.docx Fig. 136.3.11, FS 15, Congestion Mitigation and Air Quality Agreement].

1/15/16: In [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]], the differences between corrections and exceptions were clarified. Also, a minor clarification updated [[media:136.11.9 2016.docx|Fig. 136.11.9, Contractor DBE Certification]].

1/14/16: [[media:136.4.11 2016.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was updated to reflect that Audits and Investigations Division no longer conducts pre-audits.

1/5/16: [[#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was revised to reflect current MoDOT requirements in Sec 107.4. Since the Safety Requirement JSP is no longer a JSP (it has been moved to Sec 107.4), reference to it was removed from the EPG text as well as from [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

1/4/16: In [[136.6 Environmental and Cultural Requirements#136.6.4.1 Section 106 (Cultural Resource) Compliance |EPG 136.6.4.1 Section 106 (Cultural Resource) Compliance]], the revision 1) addressed LPA questions and comments and 2) implemented change by the Advisory Council on Historic Preservation from hardcopy submittals to electronic submittals. The revision helps LPAs more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act. Also, added [[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]], [[media:136.6.16.pdf|LPA Project Checklist]] and [[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]] and the How-to tutorial, [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]. These changes will help LPA partners more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act.

12/30/15: A couple of typos were corrected in [[media:136.4.10 Dec 30 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]].

12/24/15: In [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]], new [[media:136.11.18.docx|Fig. 136.11.18, LPA Final Inspection Letter]], [[media:136.11.19.docx|Fig. 136.11.19, LPA Final List of Acceptance Testers]], [[media:136.11.20.docx|Fig. 136.11.20, LPA DBE Certification Letter]] and [[media:136.11.21.docx|Fig. 136.11.21, LPA Vendor Lien Waiver]] provide templates for consistent submittals by LPAs.

12/23/15: In [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was clarified to state that the LPA is responsible for assuring the subcontractors are qualified. Elsewhere in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], Fig. 136.11.6 was replaced with [[media:136.11.6 Dec 2015.pdf|Fig. 136.11.6, Subcontractor Certification Regarding Affirmative Action]]. [[media:136.11.4 2015.doc|Fig. 136.11.4, Request for Approval of Subcontract]], was updated with various clarifications. In [[media:136.11.5 Dec 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]], the Percent Sublet this Request equation was updated. Also, from EPG 136.4, various fields were updated in [[media:136.4.10 Dec 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], to eliminate calculation errors. Further, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated by removing JSP J. Final Payment Documents JSP. (This JSP was prematurely added to the boilerplate. Removal will eliminate confusion for LPA partners.) The new [[media:136.11.17.docx|Fig. 136.11.17, LPA Semi-Final Inspection Letter]], provides a template for consistent submittals by the LPAs.

11/24/15: In [[136.3 Federal Aid Basics#136.3.15.3 OMB Audit|EPG 136.3.15.3 OMB Audit]], to stay current with 2 CFR part 200, the federal expenditure amount was increased from $500K to $750K before an independent audit is required.

11/6/15: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was revised so that DBE Goals will now be established on LPA On-Call Consultant Contracts. This replaces the statewide programmatic goal and provides a level playing field for all on-call consultants in the utilization of DBEs. [[media:Fig. 136.4.1 Nov 2015.docx|Fig. 136.4.1's Attachment E Section 7]] modified to reflect that on-call consultant contracts now set DBE goals.

10/27/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.11 CE Funding Obligation|EPG 136.4.2.11 CE Funding Obligation]], verbiage in the first paragraph was deleted to align guidance to what is in [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract]] (Article VII, A).

10/21/15: [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]] was clarified, particularly guidance about "corrections" vs. "exceptions", for LPAs performing Final Acceptance of an LPA project.

10/20/15: In [[136.11 Local Public Agency Construction#136.11.18 Final Plans| EPG 136.11.18 Final Plans]], a reference to EPG 136.11.19 was added and a reference to Engineer on Record (EOR) removed to clarify the bridge plan Final Plans requirements.

10/20/15: For convenience, the [[media:146 CUF July 27 2015.pdf|Commercially Useful Function (CUF) Determination Form]] was added to the figure box at the top of [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

10/16/15: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to include the DBE JSP for Liquid Asphalt.

10/13/15: In [[136.7 Design#136.7.5.3 Incentive/Disincentive Provisions|EPG 136.7.5.3 Incentive/Disincentive Provisions]], renamed and updated the old FHWA Contract Administration Core Curriculum's link to a link to FHWA's Technical Advisory for Incentive/Disincentive for Early Completion.

10/1/15: In [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.5_Railroads EPG 136.7.2.5 Railroads] and the first paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.4_Railroads EPG 136.9.2.4 Railroads], guidance about railroad coordination (even if no railroads are impacted) was clarified to comply with the FHWA statement required for all fed-aid projects. FHWA policy now requires a specific "railroad status statement" from the LPA even when no railroads are affected by the project. Line 11 of [[media:136.9.1 Oct 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]] now requires supporting documentation for railroad impacts.

9/22/15: Guidance was updated to conform with new BEAP contract. In the fourth paragraph of [[136.3 Federal Aid Basics#Upon completion of the consultant's evaluation|EPG 136.3.8.10.3 Administration]], guidance was updated about where the report is sent. IRS mileage rates are specified in the third paragraph of [[136.3 Federal Aid Basics#136.3.8.10.4 Funding and Authorized Costs|EPG 136.3.8.10.4 Funding and Authorized Costs]]. In the third paragraph of EPG 136.3.8.10.4 Funding and Authorized Costs, it is now specified that the BEAP Project Tracking Form include a total cost for the project, including personnel costs as well as direct costs. In the first paragraph of [[136.3 Federal Aid Basics#136.3.8.10.5 General Process for a BEAP Study|EPG 136.3.8.10.5 General Process for a BEAP Study]], the process to submit the draft copy of a BEAP Study has been revised. In [[#136.3.8.10.6 Local Public Agency Responsibilities|EPG 136.3.8.10.6 Local Public Agency Responsibilities]], the LPA will now provide pictures of a structure that is not of the Nat'l Bridge Inventory. Also, in [[136.3 Federal Aid Basics#Whenever load rating calculations are done|EPG 136.3.8.10.7 Consultant Responsibilities]], the consultant is to provide inventory and operating ratings for the HS20 design vehicle and provide a load posting recommendation when load rating calculations are part of the BEAP Study. Finally, all of the BEAP documents (Figs. 136.3.19-136.3.23) were updated.

9/17/15: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.18 Final Plans|EPG 136.11.18 Final Plans]], guidance was clarified to show that MoDOT only needs "as built" plans when there have been significant structural or material changes to the original design plans (that is, changes that would require approval of the Engineer on Record, EOR).

9/17/15: In the first paragraph of [[136.10 Advertisement for Bid and Project Award#136.10.7.3 Bid Evaluation Considerations|EPG 136.10.7.3 Bid Evaluation Considerations]], the minimum standard for the number of bid evaluations has been set at three. When three bids are not available, the LPA is asked to explain.

9/10/15: Links to the latest version of SEMA's Floodplain Development Permit Application and No-Rise Certificate have been provided.

8/21/15: In the third paragraph of [[136.4 Consultant Selection and Consultant Contract Management#Each individual shall rate the firms|EPG 136.4.2.6 Step 5 - Selection of Consultant]], guidance was clarified by eliminating vagueness about the necessity for local public agencies to submit review forms and comments about rating firms.

8/20/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], three contracts were updated ([[media:136.3.5 2015.pdf|Fig. 136.3.5, HS 4, Safe Routes to School Program Agreement]], [[media:136.3.9 Aug 2015.docx|Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement]] and [[media:136.3.21 2015.pdf|Fig. 136.3.21, BR11, BEAP Hourly Rate Contract]].)

8/19/15: The final bullet (about listing the parcel numbers and names of owners of all parcels acquired) in [[136.8 Local Public Agency Land Acquisition#136.8.10.3.3 Required data to be submitted with clearance certification|EPG 136.8.10.3.3 Required data to be submitted with clearance certification]] was deleted to reflect the changes already done in Form 136.8.8, Clearance Certification Statement.

7/27/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the outdated ''A Listing of Parties Excluded from Federal Procurement and Non-procurement Programs'' link was replaced with a new, useful link to [https://www.sam.gov/portal/SAM/#1 System for Award Management].

7/24/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF July 27 2015.pdf|CUF Determination form]] has been provided.

7/16/15: In the big, gray "Additional Information for MoDOT Employees" box in [[136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]], an old link to CCO's intranet was updated to their new SharePoint site. LPAs will not be able to access the SharePoint site (just like they were not able to access the intranet site). Two EPG article links were also added. [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated with a new link to the Affidavit of Compliance in Section 10.

6/30/15: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to correct a technical issue and to reference recently developed bridge documentation standards.

6/22/15: [[media:110.2 checklist Jan 2015.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]] was updated.

6/19/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], links to numerous contracts were updated. A new link to contract [[media:136.3.28 2015.docx|FS 13-SUP BRO Supplemental Agreement (Fig. 136.3.28) ]] was also made available.

6/16/15: To eliminate confusion, a reference in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1 Material Acceptance] to one of the types of sampling and testing (a combination of certification documentation, delivery tickets and visual inspection) was deleted.

6/12/15: In [[136.11 Local Public Agency Construction#136.11.17.1 Material Acceptance|EPG 136.11.17.1 Material Acceptance]], the Small Material Quantity Acceptance Table was removed. Current info is available at [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|EPG Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)]].

6/12/15: Both guidance in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] and [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract ]] were updated to show that the engineer is required to submit Good Faith Efforts documentation for all agreements greater than $50,000. The engineer must also document Good Faith Efforts made to achieve that DBE goal if the agreed percentage specified is less than the percentage stated.

6/9/15: A very minor change (adding "LPA" to the title) was made to [[media:136.6.11 2015.doc|Fig. 136.6.11, LPA Floodplain Development Permit]] so that this form will not be confused with MoDOT's other Floodplain Development Permit/Application form.

6/8/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.5 Bridge (Structure) Submittals|EPG 136.9.2.5 Bridge (Structure) Submittals]], a third paragraph was added (per Sec 202.40.1.1) to provide guidance that a notification of demolition 10 days prior to start is required; also renovation or demolition requires hazardous waste reports and must be in the bid proposal. [[media:136.9.1 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], was also updated to reflect these revisions.

5/29/15: A new file, [[media:Fig. 136.11.16.docx|Fig. 136.11.16, Approved Contract Administration Software]], is now available in the second paragraph of [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.1_Project_Diaries EPG 136.11.13.1 Project Diaries]. The file was introduced to identify systems that secure diaries.

5/22/15: [[media:136.3.1 2015.doc|Fig. 136.3.1, Programming Data Form]], was revised by adding questions about the need for right of way. Also, Fig. 136.3.3 Utilities Scoping Checklist was renumbered as [[media:136.7.8.doc|Fig. 136.7.8, Utilities Scoping Checklist]], and moved to [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]].

5/15/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF May 2015.pdf|CUF Determination form]] has been provided.

5/12/15: Several links in [[136.7 Design#136.7.3.1.2 Job Special Provisions|EPG 136.7.3.1.2 Job Special Provisions]] were updated to the [https://spexternal.modot.mo.gov/sites/de/JSP/Forms/Alt%20LPA.aspx new SharePoint link for JSPs]. Once you are in the new site, just scroll down a little and you will see all the LPA JSPs.

5/4/15: In [[media:Fig. 136.4.1 May 2015.docx|Fig 136.4.1, Engineering Services Contract]], the good faith effort requirements of #7 under Attachment E (on pg. 19) was modified. The Engineer is now required to submit the Good Faith Efforts documentation illustrating reasonable efforts to obtain DBE Participation.

4/23/15: [[136.3 Federal Aid Basics#136.3.7.4 Prompt Payment Policy|EPG 136.3.7.4 Prompt Payment Policy]] was added, in accordance with Missouri law. The existing EPG 136.3.7.4 Policy Enforcement was renumbered as EPG 136.3.7.5.

4/22/15: The [[media:136.9.4 2015.doc|ADA checklist]] was updated with relatively minor updates in [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]].

4/22/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]], the reference to E-Verify was removed from the first bulleted item.

4/20/15: In [[136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], the DBE Truckers Interview Form was removed from use in the CUF interview.

4/20/15: In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], the guidance was clarified to state that the LPA may talk to the property owners about the project prior to the issuance of an A-Date. They can’t do appraisals, make offers, etc., until the A-Date is issued. Some LPAs were under the impression that they were not allowed to tell property owners anything about a project until they had an A-Date.

4/9/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was further updated.

4/2/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was updated to include some additional FHWA requirements. New items on the form:
:* If the project has a State Number correlated with it, list it on the Obligation Form after the Federal Aid Number
:* Estimated Award Date – Enter the date the Construction Contract Award Date is anticipated.
:* Travel way ID: Route, Beginning Log Point & Ending Log Point
:* Railroad Impacts – Is the project going to have Railroad Impacts? (Drop Down) Yes or No
:* Utility Clearance – Is the project going to have Utilities Impacts? (Drop Down) No Impacts, Conditional Clearance, or Entire Clearance
:* Construction Completion Date - Enter the date the construction will be complete is anticipated.
:* To Auto Calculate, highlight the $0.00 on Total Estimate or Bid Amount and Press F9.

3/25/15: [[media:136.4.11 2015.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was udpated with the new link to MoDOT's Approved Consultant Prequalification List.

3/20/15: The new subarticle, [[136.7 Design#136.7.2.6.4 Buy America for Utilities|EPG 136.7.2.6.4 Buy America for Utilities]], provides clarification on Buy America requirements for utility relocation.

3/19/15: [[media:Fig. 136.4.1 2015.docx|Fig. 136.4.1 Engineering Services Contract]] was revised by removing the Attachment C-Overhead Rate Breakdown from the contract.

3/17/15: A new sentence was added to the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.3 Dedications|EPG 136.8.7.3 Dedications]] to further clarify the documentation needed when property or property rights are dedicated to an LPA.

3/6/15: [[media:136.11.5 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]] and [[media:136.11.6 2015.doc|Fig. 136.11.6, Contractor’s Instructions for Filling out Request to Subcontract Work]] were updated to correct DBE allowance language.

2/26/15: In [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] and the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.8.1 General|EPG 136.8.8.1 General]], guidance has been expanded for the streamlined documentation process for the acquisitions of LPA projects. Two new forms, [[media:136.8.2.2.docx|Right of Way Acquisition Schedule (Form 136.8.2.2)]] and [[media:136.8.2.2.A.docx|Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)]] were added and [[media:136.8.1 2015.doc|Acquisition Authority Request (Form 136.8.1)]] was updated.

2/23/15: A typo in [[media:136.8.20 2015.docx|Form 136.8.20 LPA Project Acquisition Monitoring Checklist]] was corrected.

2/20/15: In the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1's] item #1, MoDOT's QC/QA Off-Systems Guide Schedule for FAST table is now to be used as a minimum for material acceptance. In item #1's second paragraph, certification card must now be on hand during sampling and testing. In item #2, independent assurance samples and test will be required of the LPA or the LPA's consultant. Also, in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20's] item #3, a final list of acceptance testers used on the project must now be provided by the LPA.

2/6/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF Jan 2015.pdf|CUF Determination form]] has been provided.

1/28/15: A minor correction was made to the title of [http://epg.modot.org/index.php?title=136.8_Local_Public_Agency_Land_Acquisition#136.8.6.3.4_Uniform_Residential_Appraisal_Report_.28URAR.29_and_Addendum EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum] by replacing "Approval" with "Appraisal".

1/8/15: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated with the new link to the ADA checklist.

12/31/14: In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]], [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to add reference to two JSPs: LDs Specified for Winter Months and Safety Requirements. Further, [[136.7 Design#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was added because the new [[media:136.7.7.docx|Safety Requirements JSP]] is now required when a project is on MoDOT’s right of way.

11/26/14: In [[media:Fig. 136.4.1 2014.docx|Fig. 136.4.1 Engineering Services Contract]], the title of Attachment E was changed on pg.9 to reflect the actual title of the Attachment on pg. 17. [[media:136.9.1 2014.xlsx|Fig. 136.9.1 Final PS&E Submittal Checklist]] was revised to reflect that all plan sheets are signed and sealed by the engineer of record.

11/20/14: In EPG 136.3.12 Federal-aid Participation for Local Work, more specifically in both the fourth paragraph of [[136.3 Federal Aid Basics#136.3.12.3.4 Procedures|EPG 136.3.12.3.4 Procedures]] and the fifth paragraph of [[136.3 Federal Aid Basics#136.3.12.4.5 Procedures|EPG 136.3.12.4.5 Procedures]], guidance was revised to clarify change orders and supplements. Guidance now emphasizes that scope and estimates are to be complete and accurate.

11/17/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], two forms were updated: [[media:136.8.8 Nov 2014.doc|Fig. 136.8.8 Clearance Certification Statement]] and [[media:136.8.20 2014.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]].

10/16/14: In the third paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.11.5.2 Approval of Contract|EPG 136.8.11.5.2 Approval of Contract]], a sentence was removed that had stated that a current real estate agent is required in Missouri.

9/26/14: In the first paragraphs of [[:Category:136 Local Public Agency (LPA) Policy|EPG 136 Local Public Agency (LPA) Policy]], references to Safe Routes to School were removed and references to MAP-21 were added.

9/25/14: Three forms were updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]: [[media:136.8.25 Sept 2014.doc|Form 136.8.25 Sample Donation Letter and Waiver of Appraisal]], [[media:136.8.26 2014.doc|Form 136.8.26 Sample Letter Offer (Payment Estimate)]] and [[media:136.8.27 2014.doc|Form 136.8.27 Sample Letter Offer (Value Finding or Standard Format Appraisal)]].

9/23/14: The consultant contract limit of the $100,000 total for on-call contracts was clarified in a recent video conference. The second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]] was clarified to indicate the total on-call cannot exceed $100,000 for the project.

9/12/14: Guidance in the first paragraph of [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]] and the second to the last paragraph in [[136.3 Federal Aid Basics#136.3.8.11.5 Funding|EPG 136.3.8.11.5 Funding]] was updated to reflect that Traffic Division is no longer involved in the TEAP process for LPA project solicitation

8/28/14: [[media:136.6.7 201.docx|Fig. 136.6.7 Memorandum of Agreement for Migration of Adverse Effects]] was further corrected as a reference to a previous law, STURAA, was replaced with the new law MAP-21.

8/27/14: The two State Wage Rates links from the MO Dept of Labor were updated in [[136.12 Figures, Glossary and Other Useful Links#136.12.3.3 Links to Other Resources|EPG 136.12.3.3 Links to Other Resources]]. Also, in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[media:136.6.7.doc|Fig. 136.6.7, Memorandum of Agreement for Migration of Adverse Effects]] was corrected by moving the location of a statement about stipulations.

8/22/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was revised by adding a drafter's note to provide guidance for highlighted sections. Language to define the contracting authority was also added.

8/8/14: [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] now reflects that project closeout certifications are to be electronically received 60 days of the Final Inspection date.

8/8/14: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.3 Bid Guaranty (49 CFR 18.36)|EPG 136.9.4.1.1.3 Bid Guaranty]], the guidance about the bid guarantee amount was clarified so as to not burden the contractor with high bid bonds. Dollar amounts for bid bond requirements are not to be used.

8/7/14: Updated the [http://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators].

8/6/14: A new version of the [[media:136.7.2.9 sample letter.docx|Request for a Finding in the Public’s Interest sample letter]] was provided in EPG 136.7.2.9.

7/29/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] was updated again.

7/17/14: In Item #1 under the seventh parapraph of [[136.3 Federal Aid Basics#136.3.10.8 Use of Bridge Soft Match Credit|EPG 136.3.10.8 Use of Bridge Soft Match Credit]], the new [[media:Fig.136.3.27.xls|Fig. 136.3.27 Example of a Soft Match Credit Transfer Request]] has been referenced in a brief sentence. Also, in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]], both [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] and Fig. 136.3.20 BEAP Project Tracking Form were updated.

6/23/14: Updated [[media:136.8.8 2014.doc|Clearance Certification Statement (Form 136.8.8)]].

6/13/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators June 2014.pdf|Roster of Approved Contract Negotiators]].

6/11/14: In [[136.6 Environmental and Cultural Requirements#4. Check to see whether the bridge has been excluded|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], the promised FHWA "Bridge Program Comment Excepted Bridges List"
website is now available.

5/29/14: Updated the [[media:136.8.25 2014.doc|Sample Donation Letter and Waiver of Appraisal, Form 136.8.25]].

5/22/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators May 2014.pdf|Roster of Approved Contract Negotiators]].

5/14/14: The first two paragraphs of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] were revised to show that the [[media:136.8.17 2014.doc|Parcel File Checklist (Form 136.8.17)]] is now optional.

5/13/14: [[media:136.3.18 2014.xls|Fig. 136.3.18 Construction Reimbursement Form]] was updated. Also, [[media:136.8.20.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]] verbiage was tweaked to include more uniform act check items.

5/12/14: A very minor correction in EPG 136.11 Local Public Agency Construction's [[136.11 Local Public Agency Construction#Small Material Quantity Acceptance Table|Small Material Quantity Acceptance Table]]. Now, the AC is shown to be measured in tons and PCC measured in cubic yards.

5/7/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], [[media:136.8.18.docx|Form 136.8.18, RW Plan Review Checklist]] was updated.

4/30/14: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.3 Consultant Evaluations for On-Call Services|EPG 136.4.2.4.3.3 Consultant Evaluations for On-Call Services]] was clarified to show who signs the LPA On-Call Consultant Evaluation and what happens to this document afterwards.

4/28/14: [[media:136.4.6.docx|Fig. 136.4.6 List of Unallowable Costs]] was updated in EPG 136.4 Consultant Selection and Consultant Contract Management.

4/21/14: In [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]], and the first paragraphs of both [[136.3 Federal Aid Basics#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]], the $10,000 requirement for invoicing was removed. It had been replaced with the requirement to invoice at least one time per month but not more often than every 2 weeks. Also, in [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], a requirement was implemented for the LPA to evaluate the consultant upon completion of work if they were hired by a standard solicitation. Thus, a "should" was replaced with a "must" in the first sentence.

4/15/14: At the bottom of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]],"MoDOT will certify the dates on which any on-site inspections were made" was deleted.

4/1/14: In the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], the Dept. of Labor's link and associated information was updated.

3/31/14: In [[media:136.9.4 Apr 2014.doc|Fig. 136.9.4 ADA Checklist]], two items were clarified, two more items were removed to better align with Access Board’s PROWAG info. PROWAG references were also added to assist users in finding further information on the US Access Bd. website.

3/19/14: Near the top of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], guidance was added that defined LPA jobs with "No Potential to Cause Adverse Effects" and that do not need a Sec 106 submittal to the SHPO.

3/18/14: In the second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]], a sentence was added to tell the LPA to write a scope for the consultant and produce an estimate to determine whether the project is eligible for the on-call list.

3/11/14: A minor clarification of titles was made at the bottom of Fig. 136.9.4 ADA Checklist. "Resident Engineer" and "Area Engineer" were replaced with "Engineer of Record".

3/10/14: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], it was clarified that the copies of the contact and associated files to be submitted to the District Contact must be electronic copies.

3/7/14: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List|EPG 136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List]], it was clarified that it is not mandatory for LPAs to consider at least 3 firms for each project when reviewing the LPA On-Call Consultant List.

3/6/14: A link was inserted for the [http://www.modot.org/business/lpa/OnCallListing.htm LPA On-Call Consultant List] in three locations in [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.11_Traffic_Engineering_Assistance_Program_.28TEAP.29 EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)].

3/5/14: EPG 136.3.18 TAP was moved to [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 TAP]] and the subsequent EPG 136.3.8 subarticles were renumbered accordingly. The eligible project sponsor information at the bottom of the newly renumbered [[136.3 Federal Aid Basics#136.3.8.7.2 Project Eligibility and Selection|EPG 136.3.8.7.2 Project Eligibility and Selection]] was deleted and replaced with a link to [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] to ensure consistency in the definition of eligible sponsors.

2/24/14: New guidance is now available for the LPA On-Call Consultant List at [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]]. Additional revisions were made in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.2 Step 1 – Scope of Services|EPG 136.4.2.2 Step 1 – Scope of Services]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4 Step 3 - Advertising the RFQ Solicitation|EPG 136.4.2.4 Step 3 - Advertising the RFQ Solicitation]] for this new list. A new form, [[media:136.4.19.docx|Fig. 136.4.19 LPA On-Call Consultant Evaluation]], has also been introduced.

2/18/14: [[media:136.8.1 2014.doc|Fig. 136.8.1, Acquisition Authority Request]] was updated.

2/5/14: The contacts were updated in the [[media:136.12.3.3.1 Obligation Request Form 2014.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms].

2/4/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated by removing the requirement for using our template bid bond. Also, "lien waver" was added to the list of documentation examples in #4b of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]].

1/31/14: In [[media:136.4.15 2014.doc|Fig. 136.4.15]], a misspelled word was corrected.

1/30/14: The definition of County Aid Road Trust (CART) Funding was added to [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.2_Glossary EPG 136.12.2 Glassary].

1/29/14: In [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.3_Links_to_Other_Resources EPG 136.12.3.3 Links to Other Resources], the ADAAG links were updated.

1/28/14: In [[136.7 Design#Deviations from MoDOT and Federal Requirements|EPG 136.7.2.7 Design Exceptions]], a minor clarification was made to the guidance for the engineer of record submitting the approved design exception to the MoDOT District Contact. It was made clear that the approved design is to be submitted only for projects on MoDOT's system.

1/10/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]] was updated.

1/9/14: New guidance, [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 Transportation Alternatives Program (TAP)]] is now available. TAP includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways. A brief listing of links, [[136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]] is also new. Other minor revisions (such as the definitions of MAP-21 and TAP) arising from MAP-21 were made in [[136.1 Introduction#136.1.1 Background and Purpose|EPG 136.1.1 Background and Purpose]] and [[136.12 Figures, Glossary and Other Useful Links#136.12.2 Glossary|EPG 136.12.2 Glossary]].

12/18/13: Additional environmental documentation of FHWA approval is now required under Section One of the [[media:136.8.1 2013.doc|Acquisition Authority Request (Form 136.8.1)]].

11/4/13: [[media:136.11.1 Nov 2013.doc|Fig. 136.11.1, General Guidelines for LPA Preconstruction Conference]], was updated to include "land disturbance permit" as part of the pre-construction conference topics.

10/18/13: Guidance in [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.10_Value_Engineering EPG 136.7.2.10 Value Engineering] was updated to comply with MAP-21, the federal surface transportation law. Now, National Highway System (NHS) projects costing at least $50,000,000 and NHS bridge projects costing at least $40,000,000 require a Value Engineering (VE) study. (Previously, VE studies were required for NHS projects costing $25M and NHS bridge projects costing $20M.) Design/Build projects are exempt from this VE study requirement.

10/11/13: EPG 136.3.15.1 Progress Invoice was moved to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3] to reflect the federal definition of Reasonable Progress. There was no change in policy.

10/1/13: EPG 906 TEAP has been moved to [[136.3 Federal Aid Basics#136.3.8.11 Traffic Engineering Assistance Program (TEAP)|EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)]]. The modified EPG language reflects Design Division timelines and processes. One of the main process changes is that the TEAP studies will be provided through on-call consultants. (Local agencies will select a consultant from an approved list of on-call consultants to complete a TEAP study for them.) The TEAP application has also been completely revised to resemble other DE or LPA standard applications. In FY 2014, the Traffic & Highway Safety Division and the Local Programs group will partner to administer TEAP. The TEAP processes and timelines will remain the same. In FY 2015, the administration of TEAP will be through the Local Programs group.

9/27/13: In [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]], new guidance has been provided for the Utility Status Letter to be prepared by the LPA.

9/24/13: The format, not the content, of [[media:136.4.7 Sept 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated.

9/23/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], guidance including three new files was added to provide sufficient documentation so LPA can produce an actual contract. Also, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate ]] was updated to include sample contract forms.

9/20/13: In the EPG 136.6 sidebar, at the top of the article, a link to the Advisory Council on Historic Preservation's [http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] was added under "Other Figures and Information for EPG 136.6". It applies to all federally funded or permitted projects, and gives a good background on the Section 106 process.

9/18/13: A typo was corrected in [[media:136.9.5 2013.doc|Fig. 136.9.5, LPA Certification of PS&E]].

9/12/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], the link to the ''Uniform Audit & Accounting Guide'' was updated to the 2012 edition of this publication.

9/11/13: Very minor editorial revisions were made to Figs. [[media:136.4.9 Sept 2013.doc|136.4.9 (Local Sponsor ESC Sample Cover Letter)]], [[media:136.8.25 Sept 2013.doc|136.8.25 (Sample Donation Letter & Waiver of Appraisal)]], [[media:136.8.26 Sept 2013.doc|136.8.26 (Sample Letter Offer – Pay Estimate)]] and [[media:136.8.27 Sept 2013.doc|136.8.27 (Sample Letter Offer – Value Finding)]].

9/9/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], a note was added to Point #2 to clarify whether the Certificate of Authority is required.

9/6/13: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], several forms ([[media:136.8.25 2013.doc|Form 136.8.25 Sample Donation Letter & Waiver of Appraisal]], [[media:136.8.26 2013.doc|Form 136.8.26 Sample Letter Offer – Pay Estimate]] and [[media:136.8.27 2013.doc|Form 136.8.27 Sample Letter Offer – Value Finding]]) were updated due to a request from FHWA.

9/5/13: A minor clarification was made in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification]. Point #2 was expanded to show that the consultant will be required to have a Certificate of Good Standing and hold a certification of authority from the MO Board for Architects, Professional Engineers, Professional Land Surveyors and Landscape Architects.

8/21/13: At the bottom of [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], a minor reference to EPG 806.8 SWPPP was added for greater convenience.

8/20/13: The [http://moltap.org/ Missouri Local Technical Assistance Program] link was updated in EPG 136.12.3.3.

8/19/13: The link to newest 7/2012 [http://www.modot.org/business/contractor_resources/documents/RequesttoSubcontract_C-220.pdf Request to Subcontract Work Form] was updated in EPG 136.11.8.

8/12/13: For greater convenience, links to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm "functional classification"] have been added to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]].

8/6/13: Subconsultant requirements were updated in [[media:Fig. 136.4.14 Aug 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]].

7/12/13: The [[media:Fig.136.3.19 2019.pdf|BEAP Consultant List]] was updated.

7/11/13: Revisions made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.1 Subconsultant cost exceeding $25,000|EPG 136.4.2.7.3.1 Subconsultant cost exceeding $25,000]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.9 MoDOT Review of Consultant Contract|EPG 136.4.2.9 MoDOT Review of Consultant Contract]] result from MoDOT's Audits and Investigation Division ceasing the pre-negotiations reviews and shifting the reviews to project managers and/or contract administrators. Also updated the checklist in [[media:Fig. 136.4.14 July 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] to be more helpful.

7/8/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]], the MRC form was replaced with the new Consultant Certification of Indirect Cost form.

7/5/13: Fig. 136.3.20, BEAP Project Tracking Form, was updated.

6/26/13: Some minor formatting issues were addressed in [[media:Fig. 136.4.1 June 26, 2013.docx|Fig. 136.4.1, Engineering Services Contract ]].

6/25/13: EPG 754 BEAP info was slightly modified and moved to [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

6/25/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.1 Federal Law|EPG 136.4.1.1 Federal Law]], a minor clarification of the italicized text from "federally funded projects" to "projects that utilize Federal Aid Highway Program funds for engineering". Also, in [[media:136.4.10 2013.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], more spaces were added for direct salaries in the invoice.

6/18/13: Three links (to BRO and Soft Match Balances, DBE Submittal Forms and Disadvantaged Business Enterprises) were removed from EPG 136.12.3.2. Also, EPG 136.12 Figures and Glossary was retitled to [[136.12 Figures, Glossary and Other Useful Links|EPG 136.12 Figures, Glossary and Other Useful Links]].

6/17/3: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the acceptance for provision for asphalt cement price index, seal coat price index, underseal price index and UBAWS membrane price index was updated.

6/13/13: In [[136.6 Environmental and Cultural Requirements#Program Comment for Post-1945 Common Bridge Types.|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], Post-1945 Bridge information was added to allow the exemption of some bridges from the Sec 106 review.

6/11/13: Incorrect references to "consultant" were replaced with "engineer" in [[media:Fig. 136.4.1 June 2013.docx|Fig. 136.4.1, Engineering Services Contract]].

6/10/13: An updated table of approved Missouri Scenic Byways was added to [[136.3 Federal Aid Basics#136.3.8.8.2 Project Eligibility and Selection|EPG 136.3.8.8.2 Project Eligibility and Selection]]. Also, in both [[136.10 Advertisement for Bid and Project Award#136.10.7.1.1 Responsive Bid|EPG 136.10.7.1.1 Responsive Bid]] and [[136.10 Advertisement for Bid and Project Award#136.10.7.3.3 DBE Submittal Form Review|EPG 136.10.7.3.3 DBE Submittal Form Review]], the DBE requirements at bid opening were clarified.

6/6/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]], the requirement to send the e-verify with each letter of interest was removed. MoDOT now requires firms to be prequalified and part of prequalification is the e-verification of documents. Also, a minor correction was made to the revision date of [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

6/5/13: The [http://www.modot.org/business/consultant_resources/documents/StandardConsultantPrequalificationProcess.pdf How-To Tutorial for MoDOT's Consultant Standard Prequalification Process] is now available. Also now available are links to the [http://www.modot.org/business/consultant_resources/standard_prequalification_process.htm Standard Prequalification Process] and [http://www.modot.org/business/consultant_resources/documents/SAFEHARBORELIGIBILITYREQUIREMENTS_004.pdf Safe Harbor Indirect Cost Rate (SHR) Prequalification Process].

6/4/13: A minor correction was made to [[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]. (In the figure, Item 13 was changed to Item 15 under Question 5.) Also, the link to the [http://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers] was updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]].

5/31/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000|EPG 136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000]], new guidance clarified that a subconsultant charging less than $25K must also submit the Management Representation and Certification Form.

5/30/13: Information was added to [[media:136.4.7 May 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] and [[media:Fig. 136.4.14 May 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] ensuring hazardous waste inspections and reports were being done. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.4 Construction Engineering (CE) and Construction Administration|EPG 136.4.4 Construction Engineering (CE) and Construction Administration]] having links to EPG 136.11 was added. The former EPG 136.4.4 was renumbered as EPG 136.4.5 Key Submittals/Requirements. Finally, a minor revision was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/21/13: In [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]], it was clarified that the approved preliminary plan is to be available for public viewing/display during the 21-day advertisement period.

5/17/13: Minor clarification was added to [[media:136.9.1 May 17, 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], and [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/16/13: New guidance about contract execution timeframe has been provided in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.5 Contract Execution|EPG 136.4.2.7.5 Contract Execution]].

5/16/13: [[media:110.2 checklist 2013.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]], was updated. Also, guidance for selecting and scoring consultants was added to the bottom of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]].

5/15/13: Fig 136.4.8, District Representative ESC Cover Letter, was removed since this form is no longer required.

5/14/13: The name of a figure was updated in [[media:136.9.1 May 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]].

5/10/13: At the bottom of [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.2.2_Project_Eligibility_and_Selection EPG 136.3.8.2.2], [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.3.2_Project_Eligibility_and_Selection EPG 136.3.8.3.2] and [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.5.2_Project_Eligibility_and_Selection EPG 136.3.8.5.2], convenient links for additional guidance for STP and CMAQ funds were added to guidance having to do with project eligibility and selection.

5/9/13: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the checkbox for "all e-verify information" on the bidders checklist was removed since the e-verify information is only a requirement prior to award and is not required to be submitted with the bids.

5/3/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], expanded and clarified guidance for what the LPA should submit to the district after the LPA executes the contract. Also, a minor clarification was made to the title of [[media:136.11.1 2013.doc|Fig. 136.11.1]], General Guideline for LPA Preconstruction Conference.

5/2/13: A very minor update was made to [[media:Fig. 136.4.1 May 2013.docx|Fig. 136.4.1 ESC]]. Also, in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], updated the links to both the Roster of Approved Contract Appraisers and Roster of Approved Contract Negotiators.

4/30/13: [[media:136.4.7 Apr 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], was updated with a minor revision.

4/22/13: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF 2015.pdf|CUF Determination form]] has been provided by MoDOT's External Civil Rights Division.

4/15/13: A convenient link to CUF red flags was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 CUF]. Also, guidance was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20 Project Closeout Certifications, 4b] for the LPA to provide documentation that each DBA was paid in full. This type of DBE documentation may include a letter, e-mail or copies of reimbursement checks.

4/15/13: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], the [[media:136.12.3.3.1 Obligation Request Form 2013.docx|Obligation Request Form]] was updated with a very minor revision.

4/4/13: Some references within the checklist of [[media:Fig. 136.4.14 Apr 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]], were updated.

4/2/13: A very minor update (a new logo) was made to [[media:Fig. 136.4.8 Apr 2013.doc|Fig. 136.4.8, District Representative ESC Cover Letter]].

3/27/13: A very minor update was made to [[media:Fig. 136.4.1 Mar 2013.docx|Fig. 136.4.1 ESC]].

3/20/13: [[media:Fig. 136.4.14 Mar 2013.doc|Fig. 136.4.14, Checklist for Reviewing Consultant Contracts]], was revised with updated document references.

3/12/13: Information regarding the page limits for the letter of interest was updated in [[media:136.4.7 Mar 2013.doc|Fig. 136.4.7]].

2/28/13: In [[media:136.4.9 Feb 2013.doc|Fig. 136.4.9]], a sentence was added regarding a city not being staffed to do engineering work and the need to hire a consultant.

2/26/13: [[media:136.4.7 Feb 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated to include "right of way plans" in the sample scope of services.

2/25/13: [[136.11 Local Public Agency Construction#136.11.12 Construction Administration|EPG 136.11.12 Construction Administration]] was re-titled (from "EPG 136.11.12 Consultant Construction Engineering Services") and expanded to give more guidance on construction administration expectations.

2/21/13: [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.10 ADA Checklist|EPG 136.9.2.10]] was retitled "ADA Checklist" (from "ADA Certification and Checklist"), a minor change.

2/8/13: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was updated with minor corrections.

2/4/13: In [[media:136.4.11 Feb 2013.doc|Fig. 136.4.11]], the conflict of interest line item was added.

2/4/13: In [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]], the definition of an eligible sponsor for federal aid transportation projects was clarified. This change allows MoDOT to focus our limited resources on public agencies that have public accountability and typically have the internal structure and knowledge to deliver a federal aid project. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. All other entities including, but not limited to, school districts and not-for-profit agencies must partner with a city or county to apply for and/or administer a federal aid transportation project.

2/1/13: [[media:136.9.1 2013.xlsx|Fig. 136.9.1]] updated to remove the requirement for ADA certification. Also, Fig. 136.9.12 (ADA Certification) deleted and incorporated into [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]].

2/1/13: In several locations in EPG 136.4 Consultant Selection and Consultant Contract Management, clarification of the criteria for prequalifying a consultant for MoDOT and LPA work. Info that was added back on 11/1/12 was removed, among other updates to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.6 Conflict of Interest|EPG 136.4.1.6 Conflict of Interest]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]]. Also, Figs. [[media:136.4.7 2013.doc|136.4.7]], [[media:Fig. 136.4.8 2013.doc|136.4.8]], [[media:136.4.9 2013.doc|136.4.9]], [[media:136.4.11 2013.doc|136.4.11]] and [[media:Fig. 136.4.14 2013.doc|136.4.14]] were updated to reflect the new consultant prequalification requirements. The ''How to Evaluate'' PowerPoint tutorial was updated. Finally, [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]] was updated to include the following sections:
:* Added prompt payment language
:* Added suspension and termination language
:* Added lobbying certification language
:* Added OPTIONAL insurance language
:* Added the Conflict of Interest Form as Attachment G
:* Added ADA certification language (no longer have to use a separate ADA certification form, which was Fig. 136.9.12).

1/29/13: In EPG 136.7.2.4.2, the old Fig. 136.9.4 was updated to the correct, current figure.

1/28/13: In Item "b" of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.1.2_Step_2.2C_Cultural_Resource_Investigations Step 2a. The Cultural Resource Survey] in 136.6 Environmental and Cultural Requirements, guidance has been added to conveniently provide SHPO architectural survey info.

1/22/13: A very minor clarification to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.12.4.4_Submittal_Requirements EPG 136.3.12.4.4] (a reference to Fig. 136.3.17 was added).

1/17/13: [[media:136.9.11.pdf|Fig. 136.9.11, Example Estimate]], has been added. This estimate is broken down into the required categories for payment.

1/16/13: Some of the verbiage in the second paragraph of [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.11_CE_Funding_Obligation EPG 136.4.2.11 CE Funding Obligation] was clarified.

1/15/13: In [[136.11 Local Public Agency Construction#136.11.15.1 Change Order Documentation|EPG 136.11.15.1 Change Order Documentation]], guidance about whether re-designs are eligible for federal participation was clarified. A similar, smaller clarification was also made in #7 of [[136.3 Federal Aid Basics#136.3.15 Reimbursement and Auditing|EPG 136.3.15 Reimbursement and Auditing]].

12/27/12: In [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], updated references to Fig. 136.11.9 from "Contractor Certification" to "Contractor DBE Certification".

12/21/12: A note was added to [[media:136.4.17 Dec 2012.xlsx|Fig. 136.4.17]] about PE ceiling or CE ceiling amounts.

12/10/12: [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.11_E-Verify_Affidavit_.26_MOU_.28RsMO_285.530.29 EPG 136.9.4.1.1.11 E-Verify Affidavit & MOU] was updated. (The bid proposal must now state that the E-verify affidavit and MOU must be submitted prior to award of the contract.) Also [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was clarified on the use of bid bond forms and when worker eligibility documents must be submitted.

12/5/12: Item 78 in [[media:136.9.1 Dec 5, 2012.xlsx|Fig. 136.9.1]] was updated with a minor revision to match the Obligation Request Form categories.

11/27/12: [http://epg.modot.org/index.php?title=136.7_Design#136.7.3.1.2.1.4_Lump_Sum_Items EPG 136.7.3.1.2.1.4 Lump Sum Items] was clarified by stating that spec lump sum items do not require a JSP.

11/26/12: Several minor clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. The most notable clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.2 Preliminary Engineering Activities by Local Forces|EPG 136.4.1.3.2 Preliminary Engineering Activities by Local Forces]] (about when the LPA is not requesting reimbursement for the in-house design services), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] (about rating as many firms as necessary), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]] (about encouraging subconsultants to be prequalified), [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]] (adding that each invoice must show the total DBE payments for the particular invoice) and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]] (about LPA responsibility to fund the work).

11/21/12: Minor updates were made to Figs. [[media:136.4.11 2012.doc|136.4.11]] and [[media:Fig. 136.4.14 Nov 2012.doc|136.4.14]].

11/19/12: In EPG 136.11.2 Work by LPA Forces, the [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf link to FHWA Fom 1273] was updated.

11/15/12: [[media:136.4.10 Nov 15, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated to expand the DBE information.

11/2/12: LPAs' website advertisement opportunities were expanded in the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.3_Bid_Opening_Advertisement EPG 136.10.3 Bid Opening Advertisement ].

11/1/12: Guidance was added to [[136.4 Consultant Selection and Consultant Contract Management#6. Bridge Consultants Only:|EPG 136.4.1.5 Consultant Qualification, #6 Bridge Consultants Only]] that the Bridge Experience Profile and Personal Bridge Experience Record forms must be updated every 3 years.

10/25/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.7.2_Basis_of_Payment EPG 136.4.2.7.2 Basis of Payment], changed the mileage reimbursable rates from the IRS rate to GSA's current POV Mileage Reimbursable Rate. Also updated [[media:Fig. 136.4.14 2012.doc|Fig. 136.4.14]] to reflect this change.

10/23/12: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], removed Fig. 136.12, Sample Form for Submitting Invoices from the gray "Forms and Information" box. This form was out-of-date and has been relabeled elsewhere.

10/22/12: [[media:136.9.12 Oct 2012.doc|Fig. 136.9.12's]] cross slope compliance guidance was slightly modified.

10/12/12: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], guidance was clarified on how to document consultant evaluations.

10/11/12: A minor typo update was made to [[media:136.8.8 2012.doc|Form 136.8.8]].

10/10/12: A minor change was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], clarifying that the E-verify information must be submitted with each bid.

10/5/12: [[media:136.4.10 Oct 5, 2012.xlsx|Figs. 136.4.10]] and [[media:136.4.17 Oct 5, 2012.xlsx|136.4.17]] were updated. In Fig. 136.4.10, more cells were locked and Cell C68 was updated, while in Fig. 136.4.17, commentary was added on how to fill out Section 2 of the invoice. Also, in [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] the "How To" PowerPoint, [[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]], was added.

10/1/12: In [[media:136.4.10 Oct 2012.xlsx|Fig. 136.4.10]], changed cells to have 2 decimal points instead of none. In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], minor clarifications were made about including inspection reports in the bid proposal. In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9]], minor clarifications were made to [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.1_Environmental.2C_Historical_and_Cultural_Requirements EPG 136.9.2.1] and [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity 136.9.4.1.1.4] about including all hazardous waste reports and changing the timeline for submitting subcontractor affirmative action certification prior to the notice to proceed for construction, respectively. In [[media:136.9.1 Sept 28, 2012.xlsx|Fig. 136.9.1]], a line item was added for Asbestos and Lead Paint Inspection Reports that need to be a part of the bid book. In [[136.11 Local Public Agency Construction|EPG 136.11]], a requirement for Hazardous Waste Notifications was added to [[media:136.11.1 Sept 2012.doc|Fig. 136.11.1]].

9/25/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was revised by adding a revision date and a statement on project award.

9/24/12: A minor clarification was made to [http://epg.modot.mo.gov/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.15_Disadvantaged_Business_Enterprise_.28DBE.29_.2849_CFR_Part_26.29 EPG 136.9.4.1.1.15] about the DBE goal applying to the entire federally-funded project. Also, a very minor update was made to [[media:136.9.1 Sept 2012.xlsx|Fig. 136.9.1]].

9/5/12: Three figures, [[media:136.4.10 Sept 5, 2012.xlsx|136.4.10]], [[media:136.4.17 Sept 2012.xlsx|136.4.17]] and [[media:136.4.18 Sept 5, 2012.docx|136.4.18]], were updated with minor revisions.

9/4/12: The ADA Checklist, Fig. 136.9.4, was updated, replacing the old "ADA Post-Construction" and "Post-Inspection" Checklist. The new ADA Checklist presents expanded information to comply with the US Access Board's PROWAG 2005 and 2010 ADA/ABA standards. Also, [[media:136.4.10 Sept 2012.xlsx|Fig. 136.4.10]] was updated with a minor revision.

8/30/12: Under "Federal-Aid Essential Videos" in the gray box at the top of [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], the "Federal-Aid Program Overview" video was replaced with three other videos.

8/29/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification], guidance was clarified for consultant qualification.

8/29/12: DBE requirement guidance was clarified in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.3.2_Supplemental_Agreements EPG 136.4.3.2 Supplemental Agreements].

8/27/12: Links to various FHWA videos were added to the gray boxes at the top of several articles (including [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[136.7 Design|EPG 136.7 Design]], [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 PSE]], [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] and [[136.11 Local Public Agency Construction|EPG 136.11 LPA Construction]]).

8/22/12: The invoice template guidance was clarified and slightly expanded in the "Invoice Detail" portion of [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]].

8/20/12: Fig. 136.9.1 was revised with a minor update.

8/9/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] (Federal Project Bid Proposal Boilerplate) was updated.

7/31/12: Revised [[media:136.4.10 July 31, 2012.xlsx|Fig. 136.4.10]] and [[media:136.4.18 July 2012.docx|Fig. 136.4.18]] with minor updates.

7/30/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1]], the link to FHWA Form 1273 was updated. The new link is the same as the current link to this form in EPG 136.9 Plans, Specs and Estimates (PSE).

7/23/12: [[media:136.4.10 July 23, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated with a minor revision.

7/23/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.4.1_Advertising_on_MoDOT.E2.80.99s_Site EPG 136.4.2.4.1 Advertising on MoDOT’s Site], guidance was clarified by adding "When advertising on MoDOT's website, the LPA can choose to also advertise in a newspaper but it is not required."

7/18/12: Several links were updated and references to form attachments were updated in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. Also, [[media:Fig. 136.4.1.docx|Fig. 136.4.1]] had minor clarifications and [[media:136.4.17 July 2012.xlsx|Fig. 136.4.17]] had one minor update.

7/17/12: [[media:136.4.10 July 2012.xlsx|Fig. 136.4.10]] was updated with minor changes.

7/17/12: A clarification in the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.3_Utility_Status EPG 136.9.2.3 Utility Status]: "bid opening" was replaced with "construction obligation".

7/12/12: Figs. 136.4.18 and 136.9.1 were updated with minor corrections.

7/6/12: In [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4]], Figs. 136.4.10 and 136.4.17 were updated as xlsx files.

7/2/12: [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf Fig. 136.9.7, Required Contract Provision], was updated.

6/25/12: Fig. 136.5.4, Non-Infrastructure Obligation Request Form, was made available in [[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]].

6/19/20: In EPG 136.4, the "How To" tutorial [[media:136.4 How to Evaluate.ppt|How to Evaluate Consultant Proposals, Complete Rating Sheets and Make a Selection]] was added. Also, minor updates were done to [[media:136.4.10 June 20, 2012.doc|Fig. 136.4.10, LPA Consultant Services Invoice]].

6/14/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]] and [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], the Roster of Approved Contract Appraisers was updated so that LPAs can access it. Also, the Roster of Approved Contract Negotiators was added.

6/12/12: In [http://epg.modot.mo.gov/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2 Painting Bridges and Demolition of Painted Surfaces], a process change has been required by MoDOT's signing an MOU with DHSS. For any lead testing activity, the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS.

6/11/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.1_Renovation_and_Demolition_of_Structures EPG 136.6.4.10.1 Renovation and Demolition of Structures], the use of an Asbestos Building Inspector was specified rather than "a certified asbestos inspector". Also, in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], Figs. 136.4.10 and 136.4.18 were updated.

6/6/12: Fig. 136.11.6 was clarified so that which form is being filled out and which of the other two figures comprising each half when the contractor fills it out are now clearly indicated.

6/4/12: A small clarification was made in Fig. 136.9.12.

5/25/12: Fig. 136.9.1 was updated with minor clarifications. Also, [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.11_PS.26E_Certification EPG 136.9.2.11] was added to further clarify the PS&E certification.

5/21/12: Several minor corrections of references to Federal Bid Proposal Boilerplate sections in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.9.4.1.1.4] through [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.7_Lobbying_Certification_.2849_CFR_part_20.29 EPG 136.9.4.1.1.7].

5/17/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.2_National_Environmental_Policy_Act_.28NEPA.29_Classification EPG 136.6.2 NEPA Classification], the info about the three-year shelf life of the NEPA was clarified. In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1 Commonly Used Forms]], the Obligation Request Form was updated. Also, Fig. 136.3.17 Work by Local Forces Proposal was updated.

5/11/12: A useful PowerPoint tutorial, "How to Complete the RFQ and Get it Advertised", is now available in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.3_Step_2_-_Creating_an_RFQ_Document EPG 136.4.2.3].

5/10/12: Fig. 136.9.1 was updated with minor clarifications. Also, there were minor corrections to [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.1_Certification_Regarding_Anti-collusion EPG 136.10.6.1], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.2_Certification_Regarding_Use_of_Contract_Funds_for_Lobbying EPG 136.10.6.2], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.3_Certification_Regarding_Debarment_and_Suspension EPG 136.10.6.3] and [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.10.6.4].

5/3/12: Updated [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

4/30/12: [[media:136.9.1.xls|Fig. 136.9.1]] updated as an Excel file.

4/30/12: Two new figures (Figs. 136.11.14 and 136.11.15) and associated guidance were added to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3 Progress Invoices] and [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.3_Invoices EPG 136.11.13.3 Invoices].

4/30/12: Because the info required by Fig. 136.3.1 Programming Data was split between it and Fig. 136.6.4 LPA Request for Env'l Review, the guidance for programming projects was revised. Note changes in the table in [[136.3 Federal Aid Basics#136.3.7.1 Procedures|EPG 136.3.7.1]], new guidance in [[136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]] and shortened guidance in [[136.3 Federal Aid Basics#136.3.8.1.3 Project Programming|EPG 136.3.8.1.3]], [[136.3 Federal Aid Basics#136.3.8.2.3 Project Programming|EPG 136.3.8.2.3]], [[136.3 Federal Aid Basics#136.3.8.3.3 Project Programming|EPG 136.3.8.3.3]], [[136.3 Federal Aid Basics#136.3.8.5.3.1 Roadway Type Projects|EPG 136.8.5.3.1]] and [[136.3 Federal Aid Basics#136.3.8.5.3.2 Non-Infrastructure Projects|EPG 136.3.8.5.3.2]].

4/27/12: The guidance on the need for an erosion control plan was clarified in the first paragraph of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8 Stormwater and Erosion Control]. In the third paragraph of EPG 136.6.4.8, it was further clarified that the SWPPP does not need to be site-specific, but the erosion control plan does need to be site-specific.

4/24/12: Comments from the Corps of Engineers have clarified guidance in both [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams] and [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.4_Channel_Modification EPG 136.6.4.4 Channel Modification].

4/24/12: Several "How To" PowerPoint tutorials were added to EPG 136 LPA Policy articles. View these new tutorials at the bottom of the large, gray "Figure" boxes at the top of [[136.6 Environmental and Cultural Requirements#PowerPoint Tutorials|EPG 136.6]], [[136.8 Local Public Agency Land Acquisition#PowerPoint Tutorials|EPG 136.8]] and [[136.11 Local Public Agency Construction#PowerPoint Tutorials|EPG 136.11]].

4/23/12: EPG 136 was generally re-written following thorough research. Please check the entire contents of any EPG 136 article you may be consulting so as not to miss any policy changes.

[[Category:136 Local Public Agency (LPA) Policy|136.13]]

File:136.6.6 2021.docx

2021-06-11T13:50:29Z

Bramar12:

LPA:136.12 Figures, Glossary and Other Useful Links

2021-06-11T13:49:35Z

Bramar12: /* 136.12.1 Figures */

==136.12.1 Figures==

<center>
{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|-
! Colspan="2" style="background:#BEBEBE"|[[136.1 Introduction|EPG 136.1 Introduction]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:Fig. 136.1.10 Project Flowchart for Local Federal-Aid Projects.pdf|136.1]] || align="left" |Project Flowchart for Local Federal-Aid Projects
|-
| [[media:136.1.10.1 LPA Planning Process Chart.pdf|136.1.1]] ||align="left" | LPA Planning Process Chart
|-
| [[media:136.1.10.2 MoDOT Programming Process Chart.pdf|136.1.2]] ||align="left" | MoDOT Programming Process Chart
|-
| [[media:136.1.10.3 Right of Way Process Chart.pdf|136.1.3]] ||align="left" | Right of Way Process
|-
| [[media:136.1.10.4 Preliminary Plan Process Chart.pdf|136.1.4]] ||align="left" | Preliminary Plans Process
|-
| [[media:136.1.10.5 Plans Specifications and Estimate Process Chart.pdf|136.1.5]] ||align="left" | Final Plans Specifications & Estimate Process
|-
| [[media:136.1.10.6 Letting Plans and Contract Proposal Process Chart.pdf|136.1.6]] ||align="left" | Letting Plans & Contract Proposal Process
|-
| [[media:136.1.10.7 Construction Bidding and Contract Process Chart.pdf|136.1.7]] ||align="left" | Construction Process
|-
| [[media:136.1.10.8 LPA MoDOT Agreement Process Chart.pdf|136.1.8]] ||align="left" | LPA MoDOT Agreement Process Chart
|-
| [[media:136.1.10.9 Engineering Services Contract Process Chart.pdf|136.1.9]] ||align="left" | Engineering Services Contract Process Chart
|-
! Colspan="2" style="background:#BEBEBE"|[[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
|[[media:136.3.1 Sept 2017.doc|136.3.1]] ||align="left" |Programming Data Form
|-
|[[media:136.3.4.pdf|136.3.4]] ||align="left" |Non-State Bridge Soft Match Credit Program Documentation Checklist
|-
|[[media:136.3.16.doc|136.3.16]] ||align="left" |Sample Ordinance
|-
|[[media:136.3.17 May 2012.doc|136.3.17]] ||align="left" |Work by Local Forces Proposal
|-
| [[media:136.3.18 2014.xls|136.3.18]] ||align="left" |<div id="Construction Reimbursement Form
"></div>Construction Reimbursement Form
|-
|[[media:Fig.136.3.19 Sept 2019.pdf|136.3.19]]||align="left" | Current BEAP Consultant List
|-
|[[media:Fig.136.3.20 2021.docx|136.3.20]]||align="left" | BEAP Project Tracking Form
|-
|[[media:Fig.136.3.24 2019.docx|136.3.24||align="left" | TEAP Program Application]]
|-
|[[media:Fig.136.3.25.xls|136.3.25||align="left" | TEAP Consultant MOU]]
|-
|[[media:Fig.136.3.26.xls|136.3.26||align="left" | TEAP Project Invoice Form]]
|-
|[[media:Fig.136.3.27.pdf|136.3.27||align="left" | Example of a Soft Match Credit Transfer Request]]
|-
! Colspan="2" style="background:#BEBEBE"|[[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:Fig. 136.4.1 May 2016.docx|136.4.1]] ||align="left" |Engineering Services Contract
|-
| [[media:Fig. 136.4.2.doc|136.4.2]] ||align="left" |Consultant Selection Criteria
|-
|[[media:134.3.2 2021.pdf|136.4.3/134.3.2]]|| align="left" |Allowable Profit Curve as a % of Direct Salary Costs
|-
|[[media:Fig. 136.4.4.doc|136.4.4]]|| align="left" |Supplemental Agreement to Engineering Services contract
|-
|[[media:136.4.5.doc|136.4.5]] ||align="left" |Consultant Performance Appraisal Form
|-
| [[media:136.4.6.docx|136.4.6]] ||align="left" |Common Unallowable Costs
|-
|[[media:136.4.7 2019.docx|136.4.7]] ||align="left" |Sample Solicitation & Sample Scope of Services
|-
|[[media:136.4.9 Sept 2013.doc|136.4.9]] ||align="left" |Local Sponsor ESC Sample Cover Letter
|-
|[[media:136.4.10 2016.xlsx|136.4.10]] ||align="left" |LPA Consultant Services Invoice
|-
|[[media:136.4.11 2019.docx|136.4.11]] ||align="left" |Consultant Selection & ESC Submittal Checklist
|-
|[[media:Fig. 136.4.12.pdf|136.4.12]] ||align="left" |QBS Process Flowchart
|-
|[[media:136.4.13.doc|136.4.13]] ||align="left" |Consultant Services Q&A
|-
|[[media:Fig. 136.4.14 Aug 2013.doc|136.4.14]] ||align="left" |Checklist for reviewing Consultant Contracts
|-
|[[media:136.4.15 2014.doc|136.4.15]] ||align="left" |Conflict of Interest Disclosure Form
|-
|[[media:136.4.16.pdf|136.4.16]] ||align="left" |Overhead Schedule Example
|-
|[[media:136.4.17 Dec 2012.xlsx|136.4.17]] ||align="left" |Engineering Services Invoice EXAMPLE
|-
|[[media:136.4.18 Sept 5, 2012.docx|136.4.18]] ||align="left" |Checklist for Engineering Services Invoice
|-
|[[media:136.4.19.docx|136.4.19]] ||align="left" |LPA On-Call Consultant Evaluation
|-
! Colspan="2" style="background:#BEBEBE"|[[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.5.1.xls|136.5.1]]|| align="left" |Services Provided Worksheet
|-
| [[media:136.5.2.xls|136.5.2]]|| align="left" |Materials Worksheet
|-
| [[media:136.5.3.xls|136.5.3]]|| align="left" |Equipment Usage Worksheet
|-
| [[media:136.5.4 2013.doc|136.5.4]] || align="left" |Non-Infrastructure Obligation Request Form
|-
|[[media:136.5.5.doc|136.5.5]]||align="left" |LPA Request for Environmental Services - Non-Infrastructure
|-
! Colspan="2" style="background:#BEBEBE"|[[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.6.1.docx|136.6.1]] ||align="left" |Project Review Process flowchart
|-
| [[media:136.6.2.docx|136.6.2]]|| align="left" |Key Environmental/Cultural Resources Compliance Milestones
|-
| [[media:136.6.3 Jan 18 2019.docx|136.6.3]]|| align="left" |Environmental/Cultural Resources Compliance Checklist
|-
| - || align="left"| [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2018.doc|136.6.4]] ||align="left" | How to Complete the Request for Environmental Review
|-
|[[media:136.6.5.pdf|136.6.5]]||align="left" | Instructions for Preparing Categorical Exclusion Determination
|-
| [[media:136.6.6 2021.docx|136.6.6]]|| align="left" |Generalized flowchart of the Section 106 Process for Local Public Agencies
|-
| [[media:136.6.7 2017.docx|136.6.7]] ||align="left" |Memorandum of Agreement for Migration of Adverse Effects
|-
| [[media:136.6.8 2013.doc|136.6.8]]||align="left" | LPA Section 4(f) Compliance Worksheet for Public Lands
|-
| [[media:136.6.9.doc|136.6.9]]|| align="left" |Content of a Section 4(f) Evaluation
|-
| [[media:136.6.10.doc|136.6.10]] ||align="left" |Diagram of Typical Floodplain
|-
| [http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf 136.6.11]|| align="left" |LPA Floodplain Development Permit
|-
| [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf 136.6.12]|| align="left" |Engineering “No-Rise” Certificate
|-
| [[media:136.6.13.doc|136.6.13]] ||align="left" |Procedures for “No-Rise” Certification for Proposed Development
|-
| [[media:136.6.14.docx|136.6.14]] ||align="left" width=500px|Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way
|-
|[[media:136.6.15.docx|136.6.15]] ||align="left" width=500px| Example e106 Form
|-
|[[media:136.6.16 2018.pdf|136.6.16]] ||align="left" width=500px|LPA Project Environmental Checklist
|-
|[[media:136.6.17.docx|136.6.17]] ||align="left" width=500px|Sample LPA Transmittal of MOA Letter
|-
|[[media:Fig. 136.6.18.pdf|136.6.18]] ||align="left" width=500px|Threatened and Endangered Species Federal Aid Transportation Submittal Checklist
|-
|[[media:Fig. 136.6.19.pdf|136.6.19]]||align="left" width=500px| August 2018 MoDOT USFWS Threatened and Endangered Species Habitats
|-
! colspan="2" style="background:#F5F5F7"|Other Figures and Information for EPG 136.6
|-
|colspan="2" align="center"|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|colspan="2" align="center"|[http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|colspan="2" align="center"|[http://dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|colspan="2" align="center"|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|colspan="2" align="center"|[http://www.usace.army.mil/CECW/Documents/cecwo/reg/nwp/nwp2007_gen_conditions_def.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|colspan="2" align="center"|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|colspan="2" align="center"|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
! Colspan="2" style="background:#BEBEBE"|[[136.7 Design|EPG 136.7 Design]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| 136.7.1|| align="left" |Dimensional Accuracy
|-
| 136.7.2||align="left" | Utility Depth and Encasement Requirements
|-
| [[media:136.7.3.xls|136.7.3]]|| align="left" |Blank Structure Inventory and Appraisal Sheet
|-
| [[media:136.7.4.xls|136.7.4]]|| align="left" |LFD Load Rating Summary Sheet
|-
| [[media:136.7.5.xls|136.7.5]]|| align="left" |LRFR Load Rating Summary Sheet
|-
| [[media:136.7.6.doc|136.7.6]]||align="left" | Example Notice of Public Hearing
|-
| [[media:136.7.7.docx|136.7.7]]||align="left" | Safety Requirements JSP
|-
| [[media:136.7.8.doc|136.7.8]] ||align="left" |Utilities Scoping Checklist
|-
! Colspan="2" style="background:#BEBEBE"|[[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Request%20for%20RW%20Acquisition%20Authority%20136.8.1.docx 136.8.1]||align="left" | Acquisition Authority Request
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Adj%20of%20Value%20or%20Just%20Compensation%20Form%20136.8.2.docx 136.8.2]||align="left" | Adjustment of Value or Just Compensation
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Administrative%20Settlement%20Justification%20Form%20136.8.3.docx 136.8.3]||align="left" | Administrative Settlement Justification
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Monitor%20Checklist%20Form%20136.8.4.docx 136.8.4]||align="left" | Appraisal Monitor Checklist
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Appraisal%20Review%20Form%20136.8.5.docx 136.8.5]||align="left" | Appraisal Review
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Assumptions%20and%20Limiting%20Conditions%20Form%20136.8.6.docx 136.8.6]||align="left" | Assumptions and Limiting Conditions
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Certificate%20of%20Appraiser%20Form%20136.8.7.docx 136.8.7]||align="left" | Certificate of Appraiser
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Clearance%20Certification%20Statement%20Form%20136.8.8.docx 136.8.8]||align="left" | Clearance Certification Statement
|-
| [[media:136.8.8a.docx|136.8.8a]]||align="left" |Right of Way Required - Personal Property Moved - Occupied Improvements Acquired
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Comparable%20Lease%20Form%20136.8.9.docx 136.8.9]||align="left" | Comparable Lease
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Donation%20in%20Exchange%20for%20Construction%20Features%20Letter%20Form%20136.8.10.docx 136.8.10]||align="left" | Donation in Exchange for Construction Features Letter
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Final%20Vacancy%20Notice%20for%20Relocation%20Form%20136.8.11.docx 136.8.11]||align="left" | Final Vacancy Notice for Relocation
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Legal%20Justification%20for%20Settlement%20Form%20136.8.12.docx 136.8.12]||align="left" | Legal Justification for Settlement
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Legal%20Trial%20Report%20136.8.13.docx 136.8.13]||align="left" | Legal Trial Report
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/LPA%20Negotiator%20Services%20Agreement%20Form%20136.8.14.docx 136.8.14]||align="left" | LPA Negotiator Services Agreement
|-
|[http://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx 136.8.7.1.11] ||align="left"| Local Public Agency Prorata Real Estate Tax Claim
|-
| - ||align="left" |[[media:236 RW Leaflet.doc|LPA Right of Way Acquisition Brochure]]
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Negotiator's%20Report%20Form%20136.8.15.docx 136.8.15]||align="left" | Negotiator’s Report
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Nonresidential%20Sale%20Form%20136.8.16.docx 136.8.16] ||align="left" |Nonresidential Sale
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Parcel%20File%20Checklist%20Form%20136.8.17.docx 136.8.17]||align="left" | Parcel File Checklist
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Plan%20Review%20Checklist%20Form%20136.8.18.docx 136.8.18]||align="left" | Plan Review Checklist
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Privately%20Donated%20Land%20as%20Credit%20to%20Matching%20Share%20of%20Project%20Costs%20Form%20136.8.19.docx 136.8.19]||align="left" | Privately Donated Land as Credit for Match
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Project%20Acquisition%20Monitor%20Checklist%20Form%20136.8.20.docx 136.8.20]||align="left" | Project Acquisition Monitor Checklist
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Proposal%20for%20Appraisal%20Work%20Form%20136.8.21.docx 136.8.21]||align="left" | Proposal for Appraisal Work
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Relocation%20Monitor%20Checklist%20Form%20136.8.22.docx 136.8.22]||align="left" | Relocation Monitor Checklist
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Residential%20Sale%20Form%20136.8.23.docx 136.8.23]||align="left" | Residential Sale
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Review%20Appraiser%20Contract%20Form%20136.8.24.docx 136.8.24]||align="left" | Review Appraiser Contract
|-
|[http://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Schedule%20Form%20136.8.2.2.docx 136.8.2.2]||align="left"| Right of Way Acquisition Schedule
|-
|[http://epg.modot.org/forms/RW/LPA%20Links/Right%20of%20Way%20Acquisition%20Scehdule%20Instructions%20Form%20136.8.2.2.A.docx 136.8.2.2.A]||align="left"| Right of Way Acquisition Schedule Instructions
|-
| - ||align="left" |[http://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers]
|-
| - ||align="left" |[http://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators]
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Sample%20Donation%20Letter%20and%20Waiver%20of%20Appraisal%20Form%20136.8.25.docx 136.8.25]||align="left" | Sample Donation Letter & Waiver of Appraisal
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Pyment%20Estimate%20Form%20136.8.26.docx 136.8.26]||align="left" | Sample Letter Offer – Pay Estimate
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Sample%20Letter%20Offer%20Value%20Finding%20or%20Standard%20Formt%20Appraisal%20Form%20136.8.27.docx 136.8.27]||align="left" | Sample Letter Offer – Value Finding
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Scope%20of%20Assignment%20Form%20136.8.28.docx 136.8.28]||align="left" | Scope of Assignment
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Standard%20Appraisal%20Format%20Form%20136.8.29.docx 136.8.29]||align="left" | Standard Appraisal Format
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Summary%20of%20HB%201944%20Form%20136.8.30.docx 136.8.30]||align="left" | Summary of HB 1944
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Summary%20Value%20of%20Tenant%20Interests%20Form%20136.8.31.docx 136.8.31] ||align="left" |Summary Value of Tenant Interests
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Uniform%20Residential%20Appraisal%20Report%20Form%20136.8.32.docx 136.8.32]||align="left" | Uniform Residential Appraisal Report
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Value%20Finding%20Appraisal%20Format%20Form%20136.8.33.docx 136.8.33]||align="left" | Value Finding Appraisal Format
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/Waiver%20Valuation%20Payment%20Estimate%20Form%20136.8.34.docx 136.8.34] ||align="left" |Waiver Valuation
|-
| [http://epg.modot.org/forms/RW/LPA%20Links/60%20Day%20Notice%20of%20Owners%20Rights%20Form%20136.8.35.docx 136.8.35]||align="left" | 60-Day Notice of Owners Rights
|-
! Colspan="2" style="background:#BEBEBE"|[[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.9.1 2019.xlsx|136.9.1]]|| align="left" |Final PS&E Submittal Checklist
|-
| [[media:136.9.2.doc|136.9.2]]|| align="left" |Subcontractor Certification Regarding Affirmative Action
|-
| [[media:Fig. 136.9.3 Jan 2021.docx|136.9.3]]|| align="left" |Federal Project Bid Proposal Boilerplate
|-
| [[media:136.9.4 Mar 2021.docx|136.9.4]]|| align="left" |ADA Checklist
|-
| [[media:136.9.5 2020.docx|136.9.5]]|| align="left" |LPA Certification of PS&E
|-
| [[media:136.9.6.doc|136.9.6]]|| align="left" |Utility Status Letter
|-
| [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf 136.9.7]|| align="left" |FHWA 1273
|-
| [[media:136.9.8.doc|136.9.8]]|| align="left" |DBE Provisions
|-
| [[media:Fig. 136.9.9 2020.docx|136.9.9]]|| align="left" |DBE Submittal Forms
|-
| [[media:136.9.10.pdf|136.9.10]]|| align="left" |Example Itemized Bid Form
|-
| [[media:136.9.11.pdf|136.9.11]] ||align="left" |Example Estimate (with categories)
|-
| [[media:136.9.12 Oct 2012.doc|136.9.12]] ||align="left" |ADA Certification
|-
! Colspan="2" style="background:#BEBEBE"|[[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.10.1 2020.docx|136.10.1]] ||align="left" |Sample Advertisement
|-
| [[media:136.10.2 2016.doc|136.10.2]]|| align="left" |Bid Concurrence Checklist
|-
| [[media:136.10.3.docx|136.10.3]] || align="left" |Sample Contract Agreement
|-
| [[media:136.10.4.doc|136.10.4]] || align="left" |Sample Contract Bond
|-
| [[media:136.10.5.pdf|136.10.5]] || align="left" | Sample Contractor's Acknowledgement
|-
! Colspan="2" style="background:#BEBEBE"|[[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]]
|-
! style="background:#F5F5F7"|New Figure No.!! style="background:#F5F5F7"|Figure Title
|-
| [[media:136.11.1 Nov 2013.doc|136.11.1]]|| align="left" |General Guideline for LPA Preconstruction Conference
|-
| [[media:136.11.2.xlsx|136.11.2]] ||align="left" |Change Order Form
|-
| [[media:136.11.3 2016.pdf|136.11.3]] ||align="left" |Progress Report
|-
| [[media:136.11.4 2015.doc|136.11.4]]|| align="left" |Request for Approval of Subcontract
|-
| [[media:136.11.5 Dec 2015.xls|136.11.5]]|| align="left" |DBE Subcontract Worksheet
|-
| [[media:136.11.6 Dec 2015.pdf|136.11.6]]|| align="left" |Subcontractor Certification Regarding Affirmative Action
|-
| [[media:136.11.7.doc|136.11.7]] ||align="left" |Wage Rate Interview (Labor Compliance/EEO)
|-
| [[media:136.11.8.doc|136.11.8]] ||align="left" |Form FHWA-1391
|-
| [[media:136.11.9 2016.docx|136.11.9]]|| align="left" |Contractor DBE Certification
|-
| [[media:136.11.10.doc|136.11.10]]|| align="left" |Contractor’s Affidavit Regarding Settlement of Claims
|-
| [[media:136.11.11.doc|136.11.11]]|| align="left" |Affidavit (Compliance with Prevailing Wage Law)
|-
|[[media:136.11.12.doc|136.11.12]]||align="left" | Site Visit Checklist
|-
|[http://epg.modot.mo.gov/forms/CM/27_Job_Site_Bulletin_Board_Checklist_fillable.pdf 136.11.13]||align="left" | Job Bulletin Board Checklist
|-
|[[media:Fig. 136.11.14 secure.pdf|136.11.14]]||align="left" |Construction Invoice Example 1
|-
|[[media:Fig. 136.11.15.pdf|136.11.15]]||align="left" |Construction Invoice Example 2
|-
|[[media:Fig. 136.11.16.docx|136.11.16]]||align="left"|Approved Contract Administration Software
|-
|[[media:136.11.18.docx|136.11.18]]||align="left"| LPA Final Inspection Letter
|-
|[[media:136.11.19.docx|136.11.19]]||align="left"| LPA Final List of Acceptance Testers
|-
|[[media:136.11.20.docx|136.11.20]]||align="left"| LPA DBE Certification Letter
|-
|[[media:136.11.21.docx|136.11.21]]||align="left"| LPA Vendor Lien Waiver
|-
|[[media:136.11.22.docx|136.11.22]]||align="left"| LPA Final Acceptance Checklist
|-
|[[media:136.11.23 2016.pdf|136.11.23]]||align="left"|LPA Semi-Final Inspection Checklist (Form C-236)
|-
| - ||align="left"|[[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]]
|-
| - ||align="left"|[[media:146 CUF After Mar 2021.pdf|Commercially Useful Function (CUF) Determination Form]]
|-
| EPG Article ||align="left" | [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling & Testing (FAST)]]
|}
</center>

==136.12.2 Glossary==

'''AASHTO:''' American Association of State Hwy & Transportation Officials

'''AADT:''' Annual Average Daily Traffic. (ADT, Average Daily Traffic, is also commonly used.)

'''ACHP:''' Advisory Council on Historic Preservation

'''Agreement:''' The legal document between agencies necessary to administer projects.

'''AISC:''' American Institute of Steel Construction

'''Allocation:''' The reservation of federal funds to the local agencies each year.

'''APE:''' Area of Potential Effects

'''AREMA:''' American Railway Engineering and Maintenance-of-Way Association.

'''Authorization:''' Approval by FHWA to incur future costs relative to a project.

'''BMP:''' Best Management Practive

'''BRM:''' On-System Bridge Replacement and Rehabilitation Program.

'''BRO:''' Off-System Bridge Replacement and Rehabilitation Program.

'''Brooks Act:''' Consultant contracts for engineering and design related services financed with Federal-Aid highway funds must result from negotiations which utilize [[:Category:134 Engineering Professional Services#134.1 Introduction|qualifications-based selection procedures]]. Qualifications based procedures do not allow for price to be used as a factor in the selection process.

'''Categorical Exclusion (CE):''' Projects that are minor enough in nature that they will not require preparation of a formal environmental statement.

'''CE:''' Construction Engineering

'''CE2:''' Categorical Exclusion II

'''CERCLIS:''' Comprehensive Environmental Response, Compensation, and Liability Information System

'''CFR:''' Code of Federal Regulations

'''Change Order:''' A supplement to the contract that provides authority to pay for revisions in quantities or authorize changes to design features or specifications.

'''CMAQ:''' Congestion Mitigation and Air Quality

'''COE:''' U.S. Army Corps of Engineers

'''Commission:''' Missouri Highway and Transportation Commission.

'''Competitive Bidding:''' Construction projects are required to be advertised and awarded to the lowest responsible and responsive bidder through open competitive bidding, unless use of an eligible force account is more cost effective.

'''Construction Engineering (CE):''' Construction inspection engineering

'''Council:''' Advisory Council on Historic Preservation

'''County Aid Road Trust (CART) Funding:''' CART Funds are apportioned to counties on the basis of two factors : 1) one-half of the funds are credited to the county based on the ratio that its road mileage bears to the total county road mileage in the unincorporated areas of the state, and 2) one-half is credited to the county based on the ratio that its rural land valuation bears to the rural land valuation of the entire state.

'''Credit Bridge:''' Bridge constructed to BRO standards with local funds, 80% of the cost may be applied to a normal federally funded bridge project in lieu of the 20% local match.

'''Cultural Resources:''' A cultural resource is any archaeological site, building, structure (e.g., bridge), district, or object. A historically significant cultural resource is one that meets certain criteria and is included in, or eligible for inclusion on, the National Register of Historic Places (NRHP) and is termed a historic property or historic resource. Not all cultural resources are historically significant, but potential project impacts to all must be considered.

'''DBA:''' Decibel Adjusted

'''DBE:''' Disadvantage (or Disadvantaged) Business Enterprise

'''Debarred:''' Suspended from entering into a contract with the Government

'''Deficient Structure:''' A bridge which is either structurally deficient or functionally obsolete.

'''DEIS:''' Draft Environmental Impact Statement

'''Design Standards:''' Projects on the National Highway System (NHS) must be designed with AASHTO and/or FHWA approved standards. It is recommended that all projects follow AASHTO guidelines for design and construction.

'''DNR:''' Missouri Department of Natural Resources

'''DOI:''' U.S. Department of Interior

'''Donations:''' “Donations” and “Contributions” are costs incurred for eligible non-federal share project activities that are necessary for the implementation of a project and are provided by a third party to an LPA without charge.

'''EA:''' Environmental Assessment

'''EEO:''' Equal Employment Opportunity

'''EIS:''' Environmental Impact Statement

'''EO:''' Executive Order

'''EPA:''' Environmental Protection Agency

'''EPG:''' [http://epg.modot.org/index.php?title=Main_Page Engineering Policy Guide]

'''FEIS:''' Final Environmental Impact Statement

'''FEMA:''' Federal Emergency Management Agency

'''FHWA:''' Federal Highway Administration

'''FONSI:''' Finding of No Significant Impact

'''Force Account Work:''' Work that arises unexpectedly during the construction of a project. The work can be performed by a contractor, a subcontractor or the local agency's forces and the cost is determined by keeping track of the labor forces, equipment, material and associated costs used to complete the unexpected work.

'''FPPA:''' Farmland Protection Policy Act

'''Functionally Obsolete:''' A bridge is generally considered functionally obsolete if it is unable to properly accommodate traffic due to poor roadway alignment, waterway, insufficient width, waterway, low structural evaluation, or inadequate clearances. For a more detailed description of the specific criteria used to determine this item, refer to [[:Category:753 Bridge Inspection Rating|EPG 753 Bridge Inspection Rating]] or the appropriate FHWA publication.

'''FWS:''' U.S. Fish and Wildlife Service

'''HABS:''' Historic American Building Survey

'''HAER:''' Historic American Engineering Record

'''Hazardous Waste:''' [[127.8 Hazardous and Solid Waste|Hazardous waste]] is a material that could cause harm to people or the environment; it can include solid materials, liquids, and gases. Some examples could be gas station releases, drums or containers of known or unknown material, tanks, old dumps, and e-waste. Any container with unknown contents should be considered hazardous until identified by a qualified person. If there is a question about what might be hazardous, contact the Missouri Department of Natural Resources Environmental Emergency Response Unit at 573-634-2436 for assistance with identification.

'''HBP:''' Highway Bridge Program.

'''Historic Property:''' A historic property is a cultural resource that meets at least one of the following criteria: a) it is associated with events that have made a significant contribution to our history; b) it is associated with significant persons in our past; c) it has high artistic value, is the work of a master craftsman, or embodies distinctive characteristics of a type, period, or method of construction; or d) it can answer specific research questions and topics or can contribute to our current state of knowledge. Historic properties typically must be at least 50 years of age or older but exceptionally important properties can be less than 50 years old.

'''Historic Resource:''' A historic resource is a cultural resource that meets at least one of the following criteria: a) it is associated with events that have made a significant contribution to our history; b) it is associated with significant persons in our past; c) it has high artistic value, is the work of a master craftsman, or embodies distinctive characteristics of a type, period, or method of construction; or d) it can answer specific research questions and topics or can contribute to our current state of knowledge. Historic resources typically must be at least 50 years of age or older but exceptionally important resources can be less than 50 years old.

'''HMGP:''' Hazard Mitigation Grant Program

'''HUD:''' U.S. Department of Housing and Urban Development

'''Independent Assurance Test:''' A test performed independently of a job control test and according to the [[:Category:123 Federal-Aid Highway Program#123.3.1 Independent Assurance Samples and Tests (IAS) System Based|guide schedule]].

'''In Kind Services:''' Donated labor, equipment or material.

'''ISTEA:''' Intermodal Surface Transportation Efficiency Act. Six year Highway Act from October 1, 1991 to September 30, 1997.

'''Job Control Test:''' Routine test performed on the site by the local agency or its representative to assure that the project is constructed in compliance with the applicable specifications.

'''Keeper:''' Keeper of the National Register of Historic Places

'''LFD:''' Load Factor Design

'''Low Water Bridge:''' A bridge having a waterway capacity design less than the 10 year frequency discharge.

'''Low Water Crossing:''' Waterway crossing other than a bridge where construction improvements have been made to produce a firm surface for vehicles to travel.

'''LPA:''' Local Public Agency

'''LRFD:''' Load and Resistance Factor Design

'''LRFR:''' Load and Resistance Factor Rating

'''LUST:''' Leaking petroleum underground storage tank

'''LWCF:''' Land and Water Conservation Fund

'''LWCFA:''' Land and Water Conservation Fund Act

'''MAP-21:''' Moving Ahead for Progress in the 21st Century. Two-year Highway Act from October 1, 2012 to September 30, 2014.

'''MDC:''' Missouri Department of Conservation

'''MHTC:''' Missouri Highway and Transportation Commission

'''MoDOT:''' Missouri Department of Transportation

'''MOA:''' Memorandum of Agreement

'''Materials Certification:''' Statements provided by the contractor, fabricator, or manufacturer that certain materials comply with the requirements of the contract.

'''[http://www.modot.mo.gov/business/standards_and_specs/standardplans.htm Missouri Standard Plans]:''' Construction detail plans available from MoDOT which meet AASHTO design requirements.

'''[http://www.modot.mo.gov/business/standards_and_specs/highwayspecs.htm Missouri Standard Specifications for Highway Construction, 2004 Edition]:''' The directions, provisions and requirements for the performance of the work for the quantity, quality and proportion of materials.

'''MPO:''' Metropolitan Planning Organizations carry out the transportation planning process for communities with a population greater than 50,000.

'''MUTCD:''' ''Manual on Uniform Traffic Control Devices ''

'''National Register:''' National Register of Historic Places

'''NBI:''' National Bridge Inventory

'''NEPA:''' National Environmental Policy Act

'''NFIB:''' Nation Flood Insurance Program

'''NFIP:''' National Flood Insurance Program

'''NHPA:''' National Historic Preservation Act

'''NOA:''' Notice of Availability

'''NPDES:''' National Pollutant Discharge Elimination System

'''NRCS:''' Natural Resources Conservation Service

'''NRHP:''' National Register of Historic Places

'''NWP:''' Nationwide Section 404 Permit

'''Obligation Limitation:''' Limits the amount of federal funds that may be obligated during a certain time period (also called Obligation Authority and Contract Control).

'''Obligation of Funds:''' The formal commitment by FHWA to participate in a share of the project costs.

'''Off-System Routes:''' Routes that have a functional classification of rural local, local road or street, or a rural minor collector.

'''On-System Routes:''' Routes that have a functional classification of urban collector, rural major collector, rural or urban arterial, or an expressway.

'''PA:''' Programmatic Agreement

'''PDEIS:''' Preliminary Draft Environmental Impact Statement

'''PE:''' Preliminary Engineering. All engineering work performed by the local agency or their consultant prior to award of contract.

'''PEA:''' Preliminary Environmental Assessment

'''PFEIS:''' Preliminary Final Environmental Impact Statement

'''PS&E:''' Construction plans, specifications, and quantity estimates.

'''Posting:''' Establishment of a maximum weight limit for vehicles using the bridge.

'''Pro Rata Share:''' The legal federal share for a project established at the time of project approval. Pro rata share is typically expressed as a percentage of the total participating costs of the project.

'''Public Interest Finding:''' Cost effective justification that must be provided to MoDOT by a local agency that is seeking to do a federally funded project with its own forces.

'''QBS:''' Qualifications Based Selection

'''RCG:''' Recording and Coding Guide for the structure inventory and appraisal of the nations bridges

'''Rehabilitation:''' Work required to eliminate the items that cause a bridge to be identified as deficient.

'''Reimbursement:''' Payment of federal funds to a local agency.

'''RER:''' Request for Environmental Review

'''Responsible Person in Charge:'''

'''RFP:''' Request for Proposal

'''RFQ:''' Request for Qualifications

'''ROD:''' Record of Decision

'''RSMO:''' Revised Missouri State Statue

'''SAFETEA-LU:''' Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users. Five-year Highway Act from October 1, 2004 to September 30, 2009 with two one-year extensions to September 30, 2012.

'''Section 106:''' Section 106 of the National Historic Preservation Act of 1966 - the primary legislation that requires cultural resource investigations. Any project using federal funds or needing federal permits must comply with the Section 106 requirements. The Section 106 process consists of three primary stages, with the outcome of each stage determining whether the activities of the next stage are necessary (36 CFR Part 800)

'''Section 401:''' Water Quality Certification

'''Section 404/Wetlands:''' A project may involve activities in an area that contains wetland or waters of the United States and may require a Section 404 permit from the U.S. Army Corps of Engineers. It is a violation of federal law to place fill in waters of the U.S. or wetlands without the necessary permits.

'''Section 4(f):''' Section 4(f) of the Department of Transportation Act of 1966 – provides protection for public parks and recreation areas, wildlife and waterfowl refuges and significant historic sites on publicly owned land. It requires demonstrating that there is no feasible and prudent alternative to the use of the property and that all is possible planning has been done to minimize harm to the property.

'''Section 6(f) of the Land and Water Conservation Fund:''' A project that has potential involvement with parks or other public lands which may have been purchased or improved using funds from the Land and Water Conservation Fund (LWCF).

'''S.E.M.A.:''' The State Emergency Management Agency has responsibility for coordinating state agencies' response to disasters.

'''SHPO:''' State Historic Preservation Officer

'''SI&A:''' Structure Inventory and Appraisal Sheet

'''SIP:''' State Implementation Plan

'''Soft Match:''' Credit earned by counties who replace their deficient bridges with local funding. It can be used in lieu of the 20% local match on bridge projects.

'''SOQ:''' Statement of Qualifications

'''Sponsor:''' The local government or public agency responsible for providing matching funds for the proposed project.

'''SRTS:''' Safe Routes to Schools

'''STIP:''' Statewide Transportation Improvement Program

'''STP:''' Surface Transportation Program

'''Structurally Deficient:''' A bridge is generally considered to be structurally deficient if it is in relatively poor condition, or has insufficient load carrying capacity for modern design loadings. The insufficient load capacity may be the result of the loads used in the original design or degradation of structural properties due to deterioration. For a more detailed description of the specific criteria used to determine this item, [[:Category:753 Bridge Inspection Rating|EPG 753 Bridge Inspection Rating]] or appropriate FHWA publications should be consulted.

'''Sufficiency Rating:''' A numerical rating of a bridge based on its structural adequacy, safety, serviceability, functional obsolescence and essentially for public use.

'''TAP:''' Transportation Alternatives Program

'''TEA21:''' Transportation Equity Act for the 21st Century. Six-year Highway Act from October 1, 1997 to September 30, 2003 with a one-year extension to September 30, 2004.

'''TIFF:''' Tagged Image File Format

'''TIP:''' Transportation Improvement Program

'''Title 23 U.S.C.:''' Title 23 of the United States Code contains most of the laws governing the Federal-Aid Highway Program.

'''TNM:''' Traffic Noise Model

'''UPARR:''' Urban Park and Recreation Recovery

'''USC:''' United States Code

'''USDA:''' United States Department of Agriculture

'''USGS:''' United States Geological Survey

'''UST:''' Petroleum Underground storage tank site

'''WBE:''' Women Business Enterprise. Term not in current usage. Definition of Disadvantaged Business Enterprise includes WBEs.

'''Work by Local Forces:''' Construction performed by the local agency's work force. If the local agency elects to perform work with its own forces, and/or use their own materials and equipment, MoDOT and FHWA must approve all work being done. The work by local forces must be in the public interest and shown to be cost effective. See [[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 details.

'''23 CFR:''' Title 23 of the Code of Federal Regulations is a collection (updated annually) of the general and permanent rules and regulations required to implement the provisions of federal law relating to the National Highway Traffic Safety Administration and Federal Highway Administration.

==136.12.3 Helpful Information and Links==

Please use the [http://www3.modot.mo.gov/FEDAID.nsf/LPA?OpenForm LPA Manual Change Request Form] to request manual changes throughout the year or the [http://www3.modot.mo.gov/FEDAID.nsf/Comments?OpenForm Revisions Comments Form] to make comments on proposed revisions.

===136.12.3.1 MoDOT District and Central Office Information===
{|style="padding: 0.3em; margin-right:5px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="470px" align="center"
|-
!align="center"|[http://www.modot.mo.gov/northwest/ NW District] !!align="center"|[http://www.modot.mo.gov/northeast/ NE District]!!align="center"|[http://www.modot.mo.gov/kansascity/ Kansas City District] !!align="center"|[http://www.modot.mo.gov/central/ Central District]
|-
|align="center"|St. Joseph ||align="center"| Hannibal ||align="center"|Lee's Summit ||align="center"| Jefferson City
|-
!align="center"|[http://www.modot.mo.gov/stlouis/ St. Louis District] !!align="center"|[http://www.modot.mo.gov/southwest/ SW District]!!align="center"|[http://www.modot.mo.gov/southeast/ SE District] !!align="center"|
|-
|align="center"|Chesterfield|| align="center"|Springfield||align="center"|Sikeston ||align="center"|
|-
!align="center" colspan="4"|Central Office
|-
|colspan="2" align="center"|MoDOT – Financial Services (FS)||colspan="2" align="center"|MoDOT - Design (DE)
|-
|colspan="2" align="center"|P.O. Box 270||colspan="2" align="center"|P.O. Box 270
|-
|colspan="2" align="center"|Jefferson City, MO 65102||colspan="2" align="center"|Jefferson City, MO 65102
|-
|colspan="2" align="center"|(573) 526-8106; Fax: (573) 526-2819||colspan="2" align="center"|(573) 751-2876; Fax: (573) 526-3261
|-
!colspan="4" align="center"|__________________
|-
!colspan="4" align="center"|[http://www.modot.mo.gov/plansandprojects/long-range_plan/ListofMissouriMPOs.htm METROPOLITAN PLANNING ORGANIZATIONS]
|-
!colspan="4" align="center"|__________________
|-
!colspan="4" align="center"|OTHER REGULATORY AGENCIES
|-
!colspan="2" align="center"|State Historic Preservation Office!!colspan="2" align="center"|Charles Scott
|-
|colspan="2"| MO Dept. of Natural Resources||colspan="2" | Field Supervisor
|-
|colspan="2" |P.O. Box 176 ||colspan="2"| Columbia Field Office
|-
|colspan="2" |Jefferson City, MO 65102 ||colspan="2"| U.S. Fish and Wildlife Service
|-
|colspan="2" |Phone (573) 751-2479 ||colspan="2" |101 Park DeVille Drive, Suite A
|-
|colspan="2"| ||colspan="2"|Columbia, MO 65203-0007
|-
|colspan="2"| ||colspan="2"|Phone (573) 234-2132
|-
!align="center" colspan="2"|Policy and Coordination Division!!align="center" colspan="2"|Kevin Ward
|-
|colspan="2"|MO Dept. of Conservation ||colspan="2"|Federal Highway Administration
|-
|colspan="2"|P.O. Box 180 ||colspan="2"|3220 W. Edgewood, Suite H
|-
|colspan="2"|Jefferson City, MO 65102-0180||colspan="2"| Jefferson City, MO 65109
|-
|colspan="2"|Phone (573) 751-4115||colspan="2"| Phone (573) 636-7104
|-
!colspan="4" align="center"|__________________
|-
!align="center" colspan="4"|CORPS OF ENGINEER'S OFFICE
|-
|align="center" colspan="4"|(Contact MoDOT district office if clarification is needed for which Corp Office has jurisdiction)
|-
!colspan="2"|Commanding Officer !!colspan="2"|Commanding Officer
|-
|colspan="2"|Department of the Army ||colspan="2"|U.S. Army Corps of Engineers
|-
|colspan="2"|Little Rock Dist., Corps of Engineers ||colspan="2"|Kansas City District
|-
|colspan="2"|P.O. Box 867 ||colspan="2"|700 Federal Office Building
|-
|colspan="2"|Little Rock, AR 72203-0867 ||colspan="2"|601 East 12th Street
|-
|colspan="2"|Phone (501) 324-5531|| colspan="2"|Kansas City, MO 64106
|-
|colspan="2"| ||colspan="2"|Phone (816) 426-5241
|-
!colspan="2"|Commanding Officer !!colspan="2"|Commanding Officer
|-
|colspan="2"|Department of the Army ||colspan="2"|Department of the Army
|-
|colspan="2"|Rock Island Dist., Corps of Engineers||colspan="2"| Memphis Dist., Corps of Engineers
|-
|colspan="2"|P.O. Box 2004 ||colspan="2"|167 North Main Street, Room B202
|-
|colspan="2"|Rock Island, IL 61204-2004 ||colspan="2"|Memphis, TN 38103-1894
|-
|colspan="2"|Phone (309) 788-6361 ||colspan="2"|Phone (901) 544-3005
|-
!colspan="2"|Commanding Officer!!colspan="2"|
|-
|colspan="2"|U.S. Army Corps of Engineers||colspan="2"|
|-
|colspan="2"|St. Louis District||colspan="2"|
|-
|colspan="2"|1222 Spruce Street||colspan="2"|
|-
|colspan="2"|St. Louis, MO 63103-2833||colspan="2"|
|-
|colspan="2"|Phone (314) 331-8000||colspan="2"|
|}

===136.12.3.2 Other Helpful Information===

* [http://www.modot.mo.gov/safety/SafeRoutestoSchool.htm Safe Routes To School (SRTS)]

* [http://www.modot.mo.gov/scenicbyways/index.htm Scenic Byways]

* [https://www.modot.org/contact-modot-lpa MoDOT District Contacts for LPA]

* [http://www.modot.mo.gov/safety/trafficvolumemaps.htm AADT on MoDOT Routes]

* [http://www.modot.mo.gov/business/contractor_resources/External_Civil_Rights/DBE_program.htm DBE Directory]

====136.12.3.2.1 Commonly Used Forms====

[[media:136.14.2.1 Bridge Inventory Survey Form.xls|Bridge Inventory Survey Form]]

[http://www.modot.mo.gov/business/manuals/FFATA.htm Form 1590, Federal Funding Accountability and Transparency Act (FFATA)]

[http://www.modot.mo.gov/business/contractor_resources/External_Civil_Rights/jobtraining.htm On the Job Training Manual and Submittal Forms]

[http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf FHWA Form 1273 Required Contract Provisions]

[[media:136.14.2.1 Utility Agreement Actual Cost 2016.doc|Utility Agreement - Actual Cost]]

[[media:136.14.2.1 Utility Agreement Lump Sum 2016.doc|Utility Agreement - Lump Sum]]

[[media:136.14.2.1 Notice to Proceed.doc|Notice to Proceed]]

[[media:136.14.2.1 Force Account Record Equipment and Material.doc|Daily Force Account Record-Equipment Rental Account/Materials Account]]

[[media:136.14.2.1 Force Account Record Labor.doc|Daily Force Account Record-Labor Account]]

[[media:136.14.2.1 Force Account Record Cost Summary.doc|Force Account Record - Cost Summary]]

[[media:136.14.2.1 Sample Timesheet.xls|Sample Timesheet]]

[[media:136.14.2.1 Construction Safety Program.pdf|Construction Contract Calls for Bid]]

[[media:136.14.2.1 Awarded Construction Contracts.pdf|Awarded Construction Contracts]]

[[media:136.14.2.1 Local Project Checklist.pdf|Local Project Checklist]]

[[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]]

====136.12.3.2.2 Examples of Completed Forms====

[[media:136.14.2.2 Form CE2.doc|Form CE-2 Example]]

[[media:643.2 Lump Sum Estimate.doc|Utility Lump Sum Estimate Example]]

[[media:643.2 Actual Cost Estimate.doc|Utility Actual Cost Estimate Example]]

[[media:136.14.2.2 Utilites Status Letter.pdf|Sample Utilities Status Letter]]

[[media:136.14.2.2 Sample JSP for Utilities.pdf|Sample Job Special Provisions for Utilities]]

[[media:136.14.2.2 Bridge Slab Pour Checklist.pdf|Bridge Slab Pour Checklist & Pre-Pour Meeting Topics]]

===136.12.3.3 Links to Other Resources===

* [[:Category:242 Optional and Alternate Pavement Designs|EPG 242 Optional and Alternate Pavement Designs]]

* Equal Employment Opportunity Requirements ([http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3275bea9e2d87163209535159a10234d&rgn=div5&view=text&node=41:1.2.3.1.1&idno=41 41 CFR 60.1] and [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=3275bea9e2d87163209535159a10234d&rgn=div5&view=text&node=41:1.2.3.1.2&idno=41 41 CFR 60.2])

* [http://www.fhwa.dot.gov/ Federal Highway Administration]

* [http://www.fhwa.dot.gov/legsregs/directives/cfr23toc.htm Code of Federal Regulations 23 Highways]

* [http://www.fhwa.dot.gov/reports/utilguid/ Program Guide - Utility Adjustments and Accommodations on Federal-Aid Highway Projects]

* [http://www.usace.army.mil/Pages/Default.aspx US Army Corps of Engineers]

* Americans with Disabilities Act Access Guidelines (ADAAG):

:: [http://www.access-board.gov/ The United States Access Board]

:: [http://www.access-board.gov/guidelines-and-standards Access Board’s Guidelines and Standards]

:: [http://www.access-board.gov/guidelines-and-standards/buildings-and-sites/about-the-ada-standards/ada-standards Access Board’s ADA standards page]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks Access Board’s Streets and Sidewalks]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/background Access Board’s Background on the Public Rights-of-Way Rulemaking]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way Access Board’s Public Rights-of-Way]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/proposed-rights-of-way-guidelines Access Board’s Proposed Guidelines (2011)]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/background/revised-draft-guidelines Access Board’s PROWAG (2005)]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/guidance-and-research Access Board’s Guidance and Research]

:: [http://www.access-board.gov/guidelines-and-standards/streets-sidewalks/public-rights-of-way/other-prow-resources Access Board’s Public Righs-of-Way Resources]

::[http://www.mutcd.fhwa.dot.gov/ Manual on Uniform traffic Control Devices - signals]

::[http://www.fhwa.dot.gov/environment/sidewalks/index.htm FHWA – Designing Sidewalks and Trails for Access, Part I]

::[http://www.fhwa.dot.gov/environment/sidewalk2/index.htm Part II]

::[http://www.modot.org/othertransportation/bike_ped/Bikepedintro.htm MoDOT Bike/Ped webpage]

::[http://www.modot.mo.gov/business/standards_and_specs/documents/60810.pdf MoDOT Standard Plan 608.10]

::[http://www.modot.org/business/standards_and_specs/Online%20Standard%20Plans/60850.pdf MoDOT Standard Plan 608.50]

::[http://www.modot.mo.gov/business/standards_and_specs/documents/ConcreteSidewkCurbRamps1.pdf MoDOT Special Sheet, Concrete Curb Ramps]

*[http://www.wdol.gov/dba.aspx#0 Federal Wage Rates]

*[http://www.fhwa.dot.gov/programadmin/contracts/index.cfm FHWA's Construction webpage]

*[http://www.modot.mo.gov/business/standards_and_specs/highwayspecs.htm Missouri Standard Specifications for Highway Construction]

*[https://labor.mo.gov/prevailing-wage State Wage Rates for Local Agency Projects]

*[http://labor.mo.gov/DLS/PrevailingWage/gwo State Wage Rates for MoDOT Projects]

*[http://www.enhancements.org/ National Transportation Enhancement Clearinghouse]

*[http://moltap.org/ Missouri LTAP, Local Technical Assistance Program]

*[http://www.fhwa.dot.gov/federalaid/projects.cfm Guide to Federal-Aid Programs and Projects]

*[http://www.fhwa.dot.gov/reports/financingfederalaid/ Financing Federal-Aid Highways]

===136.12.3.4 Recent Changes to LPA Policy===

This information has been moved to [[136.13 LPA Policy Changes|EPG 136.13 LPA Policy Changes]].

[[Category:136 Local Public Agency (LPA) Policy|136.12]]

LPA:136.6 Environmental and Cultural Requirements

2021-06-11T13:44:54Z

Bramar12: /* 136.6.4.1 Section 106 (Cultural Resource) Compliance */

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|<center>'''Figures'''</center>
|-
|[[media:136.6.1.docx|Fig. 136.6.1, Project Review Process flowchart]]
|-
|[[media:136.6.2.docx|Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones]]
|-
|[[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]]
|-
|[https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]]
|-
|[[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing Categorical Exclusion Determination]]
|-
|[[media:136.6.6.doc|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]]
|-
|[[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]]
|-
|[[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]
|-
|[[media:136.6.9.doc|Fig. 136.6.9, Content of a Section 4(f) Evaluation]]
|-
|[[media:136.6.10.doc|Fig. 136.6.10, Diagram of Typical Floodplain]]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11, LPA Floodplain Development Permit]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12, Engineering “No-Rise” Certificate]
|-
|[[media:136.6.13.doc|Fig. 136.6.13, Procedures for “No-Rise” Certification for Proposed Development]]
|-
|[[media:136.6.14.docx|Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way]]
|-
|[[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]]
|-
|[[media:136.6.16 2018.pdf|Fig. 136.6.16, LPA Project Checklist for Adverse Effects]]
|-
|[[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]]
|-
|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
|-
|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|-
! <center>'''Other Figures and Information for EPG 136.6'''</center>
|-
|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|[http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|[http://www.dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|[https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|[http://www.modot.org/business/lpa/cert_train.htm NEPA Training video] - scroll down to bottom left
|-
|[http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] - this Advisory Council on Historic Preservation's toolkit provides additional and supplemental info for the Section 106 process
|-
|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
|<div id="PowerPoint Tutorials"></div>
|-
! <center>'''"How To" PowerPoint Tutorials'''</center>
|-
|[[media:136.6 How to Complete the Application.ppt|How to Complete the Application for Section 106 Clearance]]
|-
|[[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=develop Project Development]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=environm Environment]
|}

=136.6.1 Introduction=

Meeting environmental and cultural resource requirements and getting the necessary approvals and permits for local public agency (LPA) projects can involve multiple steps and varying lengths of time. Not meeting requirements in a timely manner can delay or even halt your project. You must obtain National Environmental Policy Act (NEPA) approval from the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)] before 35% plan completion. Before you can begin right-of-way acquisition for the project, you need concurrence from the State Historic Preservation Office (SHPO) that [[127.2 Historic Preservation and Cultural Resources|Section 106 (cultural resources)]] has been addressed satisfactorily. Some resources with specific requirements in addition to NEPA include historic buildings, archaeological sites, historic bridges, historic sites and parklands, wetlands and waterbody crossings, endangered species and conversion of farmland. Information on these topics and others can be found in this article and in the [http://www.modot.org/business/lpa/cert_train.htm NEPA Training video].

'''Roles and Responsibilities:''' MoDOT’s role in the project review process is to advise the LPA of requirements that must be met, review any NEPA submittals for completeness before forwarding to FHWA, and ensure that all needed permits, approvals, or other supporting documentation are obtained. The LPA is expected to provide complete and accurate information about the project. Complying with the applicable laws and regulations is the LPA’s responsibility. The LPA interacts with MoDOT through the designated district contact. For the occasional project that is classified as an Environmental Assessment (EA) or Environmental Impact Statement (EIS) under NEPA, a MoDOT environmental staff member will be a liaison between the LPA and FHWA. The liaison participates in project team meetings, is responsible for all communication with FHWA concerning the project, and helps ensure satisfactory compliance with NEPA. A flowchart summarizes the environmental/historic preservation project review process in [[media:136.6.1.docx|Figure 136.6.1]]. The timeframes needed to achieve key environmental/cultural resources compliance milestones are shown below and in [[media:136.6.2.docx|Figure 136.6.2]] (landscape format to print for reference). [[media:136.6.3 Jan 18 2019.docx|Figure 136.6.3]] contains a helpful checklist to guide the LPA through this process.

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
!style="background:#BEBEBE" colspan="4"|Key Environmental/Cultural Resources Compliance Milestones
|-
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Obtain NEPA classification||Provide adequate project information with Request for Environmental Review||Provide classification|| 30 days
|-
|Complete NEPA documentation if required: 1. Programmatic CE (no documentation required) 2. Letter CE 3. CE2 4. EA 5. EIS ||Prepare and submit required documentation|| Review documentation, provide comments, and submit documentation (revised by LPA as needed) to FHWA || 1. Programmatic CE – 4 weeks 2. Letter CE – 6 weeks 3. CE2 – 10 weeks 4. EA – 18 months 5. EIS – 36 months
|-
|Comply with Section 106 (cultural resources)||Obtain SHPO's concurrence||Ensure Section 106 compliance||Generally, 10 weeks * Can take 6–12 months if SHPO finds adverse effect
|-
|Section 4 (f) 1. Historic bridge programmatic 2. Public land prog. or ''de minimis'' 3. Full draft and final evaluation ||1. Prepare MOA 2. Provide documentation 3. Provide documentation||1. Review MOA 2. Review & submit to FHWA 3. Review & submit to FHWW ||1. 6 months 2. 60 days 3. 12 months
|-
|Comply with Clean Water Act Sections 404 and 401||Obtain permits||Ensure compliance||Nationwide: 6–8 weeks Individual: 4–6 months
|-
|Comply with Endangered Species Act||Consult with MDC and obtain clearance letter||Review consultation|| 1–6 months
|-
|Floodplains||Contact local floodplain administrator for any needed permits||Ensure compliance|| 1–6 months
|-
|Comply with Clean Water Act Section 602||Obtain NPDES permit||Ensure Section 602 compliance|| 1–3 months
|-
|Comply with env. laws regarding use of borrow & spoil sites||Comply with applicable laws||Ensure compliance with applicable laws|| Varies according to law
|-
|Hazardous waste||Determine presence, contact DNR if hazardous materials are found||Ensure compliance|| 1 month
|-
|Comply with Farmland Protection Policy Act (FPPA)|| Obtain Farmland Rating||Ensure FPPA compliance|| 6 weeks
|-
|Environmental Justice, Title VI, ADA, etc.||Ensure compliance||Ensure compliance|| 1 month
|-
|Noise|| Complete noise study if necessary|| Ensure compliance|| 1–6 months
|-
|Comply with Clean Air Act||Ensure Clean Air Act compliance, model if necessary||Ensure Clean Air Act compliance||6–12 months if modeling required
|-
|Public Involvement|| Provide planned or completed public involvement|| Ensure compliance with [[:Category:129 Public Involvement|EPG 129 Public Involvement]]|| 1-8 weeks
|}

=136.6.2 National Environmental Policy Act (NEPA) Classification=

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] to the MoDOT district contact within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER initiates MoDOT environmental and historic preservation staff’s review of the project to determine the appropriate NEPA classification. The district contact will notify the LPA of the project’s classification as well as other environmental permits and clearances the LPA must obtain.

Since the environmental classification is based on the scope of the project and expected magnitude of impacts, providing all information requested on the form is vital to getting the NEPA classification as early as possible. Whenever the project scope or location changes or more than a year has passed since MoDOT’s environmental and historic preservation staff reviewed the RER, the LPA will submit to the MoDOT district contact a new RER that describes and shows any changes. Based on that information, the project will be reexamined. A completed and approved NEPA document has a limited shelf life of three years from the date on the NEPA document. If construction obligation has not occurred within three years of the date on the NEPA document/date, a new RER must be filled out and reviewed and a new NEPA document/date will be issued. After obtaining approval of a ROD, FONSI, or CE determination and before requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

The basic NEPA classifications are:

:* Categorical Exclusion (CE)—typically sufficient for projects that do not individually or cumulatively have a significant environmental effect. Most projects will be classified as CEs.

:* Environmental Assessment (EA)—required for projects in which the environmental impact is not clearly established. Projects such as a two-lane relocation or adding lanes to an existing highway corridor generally require an EA.

:* Environmental Impact Statement (EIS)—required for projects that may have significant adverse impacts or that are controversial. Projects such as a new controlled-access freeway, a highway project of four or more lanes on a new location, or new construction or extension of a separate roadway for buses or high occupancy vehicles not located within an existing highway facility typically require an EIS.

=136.6.3 Categorical Exclusion (CE) =

The majority of transportation projects in Missouri are classified as categorical exclusions (CEs) and are completed as a programmatic CE (PCE) or a CE2. Approximately 96% of LPA projects have been classified as programmatic CEs, with the remainder classified as CE2s and very rarely as an EA or EIS (see [[127.14 National Environmental Policy Act (NEPA) Classification and Documents#127.14.5 NEPA Glossary|EPG 127.14.5 NEPA Glossary]]).

An agreement with FHWA allows MoDOT to automatically classify specific types of projects that require no more than 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, as PCEs. PCEs do not require FHWA review. MoDOT and FHWA executed this [[media:136.6.3 programmatic agreement.pdf|programmatic agreement]] on October 15, 2018. The thresholds that cannot be exceeded are contained within the agreement. If a project exceeds one of the thresholds, a CE2 must be approved by FHWA.

For projects that require over 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, MoDOT will advise the LPA to complete a [http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot CE2 Form] describing the project, the impacts expected from the project, and mitigation to compensate for the project’s impacts. The Form requests information such as the federal project number, route, county, project termini and length, project description, current and future average daily traffic (ADT), right of way and easement needs, displacements/relocations, a location map, and any other associated attachments. [[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing a CE2 Form]], guides the LPA through the process. For FHWA to concur that the project is a CE2 instead of an EA or EIS, the CE2 document must clearly demonstrate that the project will not have significant impacts and therefore, is categorically excluded from the requirement to prepare an EIS or EA. MoDOT will notify the LPA of the CE2 approval, request for more information, or FHWA’s decision that an EA or EIS needs to be prepared.

=136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations=

The resource-specific information that follows is intended to aid the LPA in complying with federal and state environmental laws and regulations. Ultimately, the LPA is solely responsible for compliance with all applicable laws and regulations, regardless of the information, or lack thereof, included here. The LPA must ensure that all commitments specified in environmental documents are identified in plans and job specifications as appropriate. The LPA is also responsible for implementing all commitments and monitoring included in environmental documents.

==136.6.4.1 Section 106 (Cultural Resource) Compliance ==
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|'''Useful Section 106 Websites'''
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|[http://www.achp.gov/work106.html Advisory Council on Historic Preservation]
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|[http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office]
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|[http://www.environment.fhwa.dot.gov/histpres/index.asp Federal Highway Administration]
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|[http://www.modot.org/ehp/HistoricPreservation.htm MoDOT Historic Preservation Section]
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[[127.2 Historic Preservation and Cultural Resources|Section 106 of the National Historic Preservation Act (NHPA) of 1966]] requires the consideration of the potential impacts of federally funded or permitted projects to significant cultural resources. Cultural resources include archaeological sites, buildings, structures (e.g., bridges), objects or historic districts. The significance of a cultural resource is evaluated by applying a specific set of criteria that is set forth by the [http://www.nationalregisterofhistoricplaces.com/faq.html National Register of Historic Places]. Cultural resources that meet the criteria of eligibility for listing on the National Register are referred to as “historic properties.” Failure to comply with Section 106 requirements could jeopardize federal funding and permits for a project. Section 106 encourages, but does not mandate, the preservation of historic properties. The goal of Section 106 is to ensure that preservation values are factored into the planning process for all federally funded or permitted projects. Compliance with Section 106 requires three things:

:1. ''Identify historic properties.'' Determine project’s area of potential effects (APE), identify cultural resources within the APE, and evaluate historic significance of these cultural resources;

:2. ''Assess adverse effects.'' Assess if the project will have an adverse effect on historic properties; and

:3. ''Resolve adverse effects.'' Avoidance, minimization, and/or mitigation of any project adverse effects on historic properties.

[[image:136.6.4.1.jpg|center|750px]]

Additional information on the Section 106 process is available on the webpages of the [http://www.achp.gov/work106.html Advisory Council on Historic Preservation] and the [http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office].

[[media:136.6.6.2021docx|Fig. 136.6.6]] illustrates the steps that the LPAs should follow to comply with Section 106.

===136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations===

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER submittal initiates the Section 106 review.

MoDOT has hired a consultant to oversee the LPA Section 106 compliance. The basic process is:

:1. The LPA should submit their Request for Environmental Review (RER). The consultant will review the RER and determine if the job Section 106 compliance is covered by the Section 106 agreement document on Minor Highway Projects.

::A. If it is the consultant will state on the RER that the project has Section 106 clearance and list the Stipulation and the date the decision was made.

::B. If the project is not covered by the Minor Highway Projects agreement, the consultant will state on the RER that a Section 106 investigation and submittal to SHPO is required.

:2. If a Section 106 investigation is required, the LPA will then move to [[#136.6.4.1.2 Step 2, Cultural Resource Investigations|EPG 136.6.4.1.2 Step 2, Cultural Resource Investigations]].

::A. The consultant will review the LPA’s (or their consultants) Section 106 submittal before it is sent to SHPO.

::B. If the Section 106 finding is “no historic properties affected” or “no adverse effect to historic properties and the State Historic Preservation Office concurs with this finding the Section 106 process has been completed.

::C. If the finding is “adverse effect to a historic property,” the LPA will then need to negotiate and execute a Section 106 agreement document (e.g., Memorandum of Agreement or Programmatic Agreement).

:3. If a Section 106 agreement document is required, the LPA will then move to [[#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

::The consultant will also oversee the LPA’s (or their consultants) consultation and development of the Memorandum of Agreement.

[[image:136.6.4.1.1 Historic Bridge.jpg|center|750px|thumb|<center>'''The Historic Big Creek Bridge – an 8-panel, pin-connected Camelback through truss bridge</center>''']]

===136.6.4.1.2 Step 2, Cultural Resource Investigations===

'''If the SHPO requests a Section 106 survey the LPA will need to hire a qualified [http://www.dnr.mo.gov/shpo/consultants.htm cultural resource consultant] or staff member to conduct the survey and to submit a report of their findings to the SHPO.'''

'''Step 2a. The Cultural Resource Survey'''

:a. Cultural resource surveys typically are limited to the area of potential effects (APE) (i.e., For archaeology, this is the maximum footprint of the project consisting of proposed and existing right of way, and permanent and temporary easements) and any off-site areas, if known, (e.g., borrow, staging, wasting, etc.). For architectural resources, the APE may include the limits of the project plus a buffer around the project area so indirect effects of the project are considered (usually 50 ft in urban settings and 100 ft in rural settings).

:For archaeological resources, the APE is the maximum footprint of the project consisting of existing and new right-of-way, and temporary and permanent easements.

::1. An architectural survey consists of photographing buildings within the architectural APE and providing descriptions and historical information about those buildings constructed more than 50 years ago. In addition to buildings, features associated with a property such as gateposts, hitching posts, outbuildings, signage, etc. should be included in the photographic coverage. Clear photographs, which show the resource clearly, should be included in the survey report. Photographs taken out of car windows or where the resource is hidden behind vegetation are not acceptable.

::2. A Phase I archaeological survey is an intensive, systematic, investigation of the APE of the proposed project to identify any archaeological site that may be affected by the proposed project. If there is good surface visibility (e.g., a plowed field), archaeological sites may be identified by a pedestrian survey, which consists of archaeologists walking the area to examine what is exposed on the surface. If there is poor surface visibility (e.g., a pasture) the archaeologists use shovel or auger tests to look for artifacts. Shovel tests are small hand-dug holes about 12 inches wide and up to 24 inches deep, while auger tests are 8-inch diameter holes up to 6 feet deep. In most survey areas, shovel tests or auger tests will be excavated at 50 foot intervals. The excavated soil is examined for artifacts and other evidence of prehistoric or early historic archaeological sites.

::Phase II archaeological site testing will be needed if any potential National Register eligible sites are encountered in the APE that could be impacted by the proposed project. The Phase II is a limited archaeological excavation of a site to determine its significance and whether it meets National Register eligibility standards. The standard method for testing an archaeological site is the hand-excavation of test units. Test Units are usually 3 ft. x 3 ft. or 3 ft. x 6 ft. in size and are dug usually to a depth of 3 to 4 feet. These test units are excavated to search for intact artifact deposits and/or features (e.g., hearths, storage pits, hut basins, etc.) that would provide information about the people whose activities had created the site. The archaeological consultant will need to consult with SHPO and MoDOT on the proposed Phase II testing strategy before it is implemented. A Phase II investigation takes approximately 1-2 weeks per site.

:b. Reporting the results of the cultural resource survey should follow the SHPO [http://www.dnr.mo.gov/shpo/docs/MO_phase1_guide.pdf “Guidelines for Contract Cultural Resource Survey Reports”]. The standard method to submit the results is the [http://www.dnr.mo.gov/forms/780-1718.pdf SHPO Section 106 Memo]. Directions in completing this memo are provided on [http://www.dnr.mo.gov/shpo/sectionrev.htm SHPO’s website]. Additional [http://www.dnr.mo.gov/shpo/archisurvey.htm SHPO guidance on requirements for architectural surveys] is posted on the SHPO website, including [http://www.dnr.mo.gov/forms/780-2125-f.pdf the Architectural/Historic Inventory Form] that should be used for buildings that are believed to be eligible for listing on the National Register of Historic Places.

:c. The Section 106 submittal will be reviewed and commented on by SHPO. SHPO has by law 30 calendar days to respond.

::1. If no cultural resources were identified, the SHPO usually will respond “no historic resources affected.” The Section 106 process is complete and no further action is necessary.

::2. If cultural resources were identified, their eligibility for the National Register of Historic Places (National Register) must be determined.

::3. In some cases, additional field investigations and /or historical research may be required for the cultural resource professional to determine resource eligibility.

The SHPO comments only apply to the project as submitted. Any changes to the project may require a supplemental submittal to SHPO regarding these changes (e.g., project limits, significant modifications to the nature of the project, etc.). Any subsequent communication with SHPO should include the Project Number assigned by SHPO to the original submittal.

If human remains are encountered during any fieldwork, the LPA and consultants must comply with state burial laws ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194] – unmarked remains or [https://revisor.mo.gov/main/OneSection.aspx?section=214 RSMO 214] – cemeteries). This requires initially contacting local law enforcement. If the human remains are not part of a crime scene, jurisdiction of the remains and disturbance of them falls on either local courts (RSMO 214) or the SHPO (RSMO 194). Consultation with appropriate American Indian tribes should be required if the human remains are believed to be of Native Americans – either prehistoric or historic. The LPA must contact FHWA prior to any consultation with Indian tribes. FHWA, as the Federal agency, is legally responsible for the tribal consultation process. The LPA may only consult directly with an Indian Tribe if authorized by FHWA.

'''Step 2b. Determination of Eligibility'''

'''If cultural resources are present, the LPA, in consultation with SHPO and FHWA/MoDOT, determines whether a cultural resource meets the eligibility requirements of the National Register. A cultural resource professional may need to conduct additional investigations to evaluate the eligibility of some resources. The cultural resource professional will need to consult with the MoDOT Historic Preservation staff on the proposed testing plan for an archaeological site before implementing it.'''

Readily available information can often be used to determine the National Register eligibility of identified cultural resources. This information should consist of the results of the cultural resource survey, any subsequent investigations, or other available information such as pictures and available history of structures. If the adverse effects to the potentially National Register eligible cultural resource cannot be avoided by the project the National Register eligibility determination is included in the Section 106 submittal.

:a. The SHPO is requested to concur or disagree with the National Register eligibility of a cultural resource. The cultural resource professional should provide an assessment of resource eligibility.

:b. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is not eligible for the National Register, the Section 106 process is complete. No further action is necessary.

:c. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is eligible for the National Register, a determination of effect (Step 2c) is made next.

::1. If SHPO, LPA, and FHWA/MoDOT disagree on the eligibility of a resource, the LPA should request the FHWA to contact the Keeper of the National Register of Historic Places (Keeper) for a definitive opinion. If the FHWA decides that the Keeper needs to be consulted they will provide the LPA with a list of the required documentation. This process can be lengthy (up to six months), so it should be avoided if possible.

::2. If the Keeper finds that the resource is not eligible, the LPA no longer needs to consider the project’s effects to that specific resource.

'''Step 2c. Determination of Effect'''

'''If historically significant cultural resources are present, the LPA, FHWA/MoDOT, and SHPO will determine the effect of the project on each National Register eligible property (called “historic property”). '''

The effect of a project on a historic property should be determined through consultation among the LPA, SHPO, and FHWA/MoDOT, using the criteria of adverse effects found at 36CFR800.4(1) and the examples of adverse effects found at 36CFR800.4(2). There will be a determination of either “no historic properties affected,” “no adverse effect” or “adverse effect.” The LPA will provide its opinion regarding effect along with its evaluation of eligibility to the SHPO for their concurrence. If the SHPO concurs with the LPA, this finding will be transmitted to the FHWA. If there is a disagreement among the LPA and SHPO, FHWA and MoDOT may be brought into the discussions to help facilitate an agreement.

:a. No Adverse Effect – If the finding is that the project effect is not adverse upon the historic property(ies), the Section 106 process is complete.

:b. Adverse Effect – If the project effect is adverse to the historic property(ies) (i.e., adversely affecting the characteristics that make it eligible for listing on the National Register), the LPA will consult with the SHPO on avoidance or mitigation of the adverse effect. It may be possible to redesign portions of the project to avoid adverse impacts to the historic property. The LPA will explore avoidance options, continued use, or rehabilitation of the historic property (not necessary for most archaeological sites). In addition, the public (interested parties, holders of permits, owners of affected lands, and private individuals) may be allowed to review and comment on the project, and participate in the decision-making process.

If the SHPO concurs with the results of the Section 106 Survey submittal being “no historic properties affected” or “no adverse effect to a historic property,” Section 106 compliance is completed. The date of the SHPO letter would be used as the Section 106 compliance date. If the result of the survey is “adverse effect to a historic property” the LPA precedes with Steps 3 and 4.

If the project changes after receipt of the SHPO letter with a “no historic properties affected” or “no adverse effect to a historic property” concurrence, the project must be resubmitted to the SHPO with the changes to the project identified. '''A change in the scope of the project may change the effects of the project on historic properties.'''

In instances where a project has an adverse effect, prior to continuing to the next step, the Advisory Council on Historic Preservation (Council) must be notified of the adverse effect and be invited to participate in consultation for the development of a Memorandum of Agreement (MOA). The [[media:136.6.16 2018.pdf|LPA Project Checklist for Adverse Effects]] for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) summarizes the steps the LPA must complete and which agencies will be involved in reviewing information. The LPA should complete the e106 form following the Directions, except leave Section 4 blank (see [[media:136.6.15.docx|Fig. 136.6.15, the example e106 form]]). The form should be e-mailed, along with supporting documentation to MoDOT for review. Once the form meets MoDOT approval, it will be forwarded to FHWA to be submitted to the Council, which has two weeks to respond.

The Council will become involved in consultation if the project has:

:1. Substantial impacts on historic properties, meaning that nationally significant properties or unusual properties are present or there are a large number of properties being affected by the project, including multiple properties within a historic district;

:2. They may become involved if the project presents questions about Section 106 policy or how the Section 106 regulations are interpreted;

:3. The project has the potential for presenting procedural problems. Procedural problems could include substantial public controversy, disputes among the consulting parties, likely litigation, or requests for Council involvement by consulting parties; or

:4. The project presents issues of concern to Indian tribes.

If an adverse effect cannot be avoided for certain kinds of historic properties, FHWA may determine that a Section 4(f) evaluation must be completed. Cultural resources requiring Section 4(f) evaluation are typically architectural or bridge resources, or archaeological sites that warrant preservation in place (usually mortuary sites). [http://environment.fhwa.dot.gov/4f/index.asp Section 4(f) of the Department of Transportation Act of 1966] states that a transportation project requiring the use of publicly owned land of a public park, recreation area, wildlife and waterfowl refuge, or a historic site (i.e., a “historic property” as defined by Section 106) may be approved only if:

:1) There is no prudent and feasible alternative to using that land; and

:2) The project includes all possible planning to minimize harm to the park, recreation area, wildlife and waterfowl refuge, or historic site resulting from the use.

Section 4(f) is unique to Department of Transportation projects and is a process that can take up to 12 months. The LPA should make sure it works closely with MoDOT and FHWA if there is a possibility of a need for a Section 4(f) Evaluation. Information on the Section 4(f) Evaluation process is provided elsewhere in EPG 136, however if the project is a bridge replacement and the only Section 4(f) issue is the bridge, MoDOT Historic Preservation will complete the Programmatic Section 4(f) evaluation documentation for FHWA review, using information provided by the LPA.

[[image:136.6.4.1.3.jpg|center|750px|thumb|<center>'''Portal View of the Historic Big Creek Bridge</center>''']]

===136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement===

'''If historic properties will be adversely affected by the project, the LPA will coordinate with the MoDOT Historic Preservation staff, SHPO and FHWA in preparation of a Memorandum of Agreement (MOA). Section 106 is not complete until an MOA is executed and the stipulations are completed.'''

The steps involved in developing an MOA and providing the information necessary for a Programmatic Section 4(f) Evaluation (if the adverse effect is to a historic bridge) are also detailed in the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f).

If adverse effects to a historic property cannot be avoided, a MOA will be prepared through consultation with LPA, FHWA, MoDOT, the SHPO, and other appropriate consulting parties. The MOA will document the stipulations to be carried out to mitigate the adverse effect upon the historic property(ies), including the appropriate level of documentation for the resource. If the resource is a bridge, the ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effect'' (Bridge Documentation Standards) should be referenced including the level at which the bridge will be documented. It is a legally binding agreement document that is signed by the signatory parties (usually the FHWA, SHPO and the LPA). [[media:136.6.7 2017.docx|Fig. 136.6.7]] provides an example of a MoDOT bridge MOA and the [[media:136.6.15.docx|e106 form]]. In addition, the Council provides a “model MOA” for archaeological data recovery on its website.

'''If the adverse effect is to a Native American archaeological site, the FHWA must consult with the Indian tribes with a historical interest in the project area and provide them an opportunity to participate in the consultation process.'''

:a. The MOA process is started by the LPA’s preparation and submittal of a draft MOA and the e106 form updated to include consultation that may have occurred on the project since the Council notification occurred, and an Alternatives Analysis (for bridge projects). The documents are forwarded to MoDOT Historic Preservation for review and comment.

:b. The Alternatives Analysis must include the following information (for additional information on the alternatives that must be considered, consult the [https://www.environment.fhwa.dot.gov/4f/4fbridge.asp FHWA Programmatic Section 4(f) Web-page]):

::1. A description of the purpose and need for the project;
::2. A description of the current condition of the bridge;
::3. A discussion of the do nothing alternative
::4. A discussion of the rehabilitation option for the bridge;
::5. A discussion of an alternative that would save the bridge by realigning the road to avoid the bridge;
::6. A discussion of an alternative that would relocate the bridge to another location to save it (can include discussion of the advertising efforts and their results)
::7. Rough cost estimates for the alternatives, including construction and right of way.

:c. When the MOA is satisfactory, MoDOT will inform the LPA, SHPO and FHWA that it is satisfactory. If the Council has responded, the LPA can begin the process of signing the MOA. The LPA should prepare a copy of the MOA for each signatory.

:d. If the adverse effects are to a Native American archaeological site, FHWA will provide a copy of the draft MOA and accompanying information to Indian tribes with historical interest in the project area or attach religious and cultural significance to the site to provide them the opportunity to participate in the consultation process.

:e. The LPA will send the signed MOA to the SHPO, using text similar to the [[media:136.6.17.docx|sample letter]] and copy MoDOT and FHWA on the transmittal letter. The SHPO will sign the MOA and forward it to the FHWA for execution, copying MoDOT and the LPA on the transmittal letter. The MOA is considered to be executed upon FHWA signature, who is the last party to sign the document (general signatory order is LPA, any other invited signatories, SHPO and then FHWA).

:f. Once the MOA is executed, MoDOT will prepare the Programmatic Section 4(f) evaluation for bridge projects and submit it to FHWA (see the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) for further details of how Section 4(f) fits into the Section 106 process).

If Steps 3 and 4 are required, the date the MOA is executed can be used as the Section 106 compliance date when requesting authorization to proceed from MoDOT and FHWA.

===136.6.4.1.4 Step 4, Mitigation of Adverse Effect===

'''The LPA will implement and fulfill the stipulations of the MOA. Ultimately, the SHPO must concur that the stipulations of the MOA have been satisfied. '''

Following the execution of the MOA, the LPA will implement stipulations of the MOA to mitigate the adverse effects upon the historic property(ies). The following mitigation measures have been used on various projects:

'''Bridges and Architectural Resources'''

The LPA and FHWA consult with the SHPO to determine the level and kind of documentation required for the historic property during the development of the MOA: Historic American Engineering Record (HAER) documentation, Historic American Building Survey (HABS) standards, or state-level documentation, as identified in the [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effects (Bridge Documentation Standards)'']. For most of these historic properties the state-level documentation is selected as the preferred method for recordation.

Bridges are advertised (in compliance with MAP-21) for availability and offered to interested parties for reuse in place or at an alternate location, but will be demolished if no one expresses a reasonable interest. The bridge should be advertised on MoDOT’s [http://www.modot.org/freebridges/ Free Bridges webpage] for a minimum of 60 days, which can be done in coordination with MoDOT Historic Preservation staff, as well as direct marketed to local governments, historical or preservation societies and trail groups in the area. The SHPO should be consulted regarding the agencies the bridge will be direct marketed to (this can be done as part of the MOA consultation). The transfer of ownership or demolition of the bridge occurs after the archival photographs, or the selection of photographs, has been accepted by the SHPO as adequate for the resource.

The specific HABS/HAER guidelines can be found at the [http://www.nps.gov/history/hdp/standards/guidelines.htm National Park Service’s Heritage Documentation Programs website], but the basic documentation usually includes:

::1. Copies of original plans or drawings. If copies of the original plans are not available, measured drawings may be produced at a precise scale from actual dimensions recorded in the field. Drawings may be produced either by hand or with computer-aided drafting.

::2. Large-format photographs are produced as contact prints from 4x5 and 5x7 black-and-white negatives and color transparencies. The formats allow maximum enlargement with minimal loss of detail and clarity, and the black-and-white processing allows for archival stability.

::3. Written histories place the site or structure within the appropriate context, addressing both the historical and the architectural or engineering aspects of its significance.

Bridges should be documented to the Bridge Documentation Standard designated in the MOA. Guidance for researching, describing and photographing a historic bridge can be found in [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]].

:If the SHPO recommends that the historic property be documented to the state level of documentation, the following information should be provided:

::1. 8 in. X 10 in. high-resolution black-and-white digital images (>600 dpi) to fully document overall views and details of the historic property. Photographs should be taken and processed according to [http://www.nps.gov/nr/publications/bulletins/photopolicy/index.htm standards for photographs] accompanying National Register documentation, including the appropriate considerations for paper and ink. It is a good idea to identify the paper and ink used, if possible. Digital, archival standard, compact discs with all views will be provided.

::2. A historic narrative and technical descriptions for the historic property.

::3. Plans or drawings for the historic property; specifically, floor plans for the historic building if it is architecturally significant and/or a copy of the original engineering construction plans for the historic bridge.

::4. The final documentation shall be provided to the SHPO along with archival digital discs containing the TIFF images and report PDF. Additional copies shall be provided to appropriate local historical groups, and retained by the LPA. Bound copies and/or CDs of the final documentation also will be available to others upon request.

{| style="margin: 1em auto 1em auto"
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|[[image:136.6.4.1.4 depot.jpg|400px|thumb|<center>'''Historic Marthasville Depot'''</center>]] ||[[image:136.6.4.1.4 restored depot.jpg|400px|thumb|<center>'''Restored Historic Marthasville Depot'''</center>]]
|}

The guidelines for [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf State Level Bridge Documentation Standards] are available. The general standards are described below. For all state level documentation photographs taken to NRHP standards are required.

:1. Level I documentation is for major rivers and their tributaries and includes in depth documentation of the history of the bridge, including describing its planning process, how it influenced social history, commerce, and other broad patterns of history. 8X10 inch photographs, bridge plans, and a bridge description are required.

:2. Level II documentation is a moderate level of documentation for small rivers and major creeks, with no significant association with historical events. It is anticipated that most bridges will be documented at this level. Historical documentation should document the engineering and transportation significance of the bridge including the planning for the bridge. 8X10 inch photograph, bridge plans and a brief description are required.

:3. Level III documentation consists of a well-documented inventory form with citations, and will be used for bridges over small streams away from populated areas, lettered routes in rural areas, and for bridges that may contribute to a historic district but not be individually eligible. The documentation includes 8X10 inch photographs, bridge plans and a bridge description.

:4. Level IV documentation is for bridges over small streams, creeks, highways or railroad crossings, that are not individually eligible but contribute to a larger historic property, and which have a low level of integrity; it is anticipated that few bridges will qualify for this level of documentation. This documentation consists of a documented inventory form, bridge plans and 5X7 inch photographs.

'''Archaeological Sites'''

If the adverse impacts to a National Register eligible archaeological site cannot be avoided (e.g., changes in roadway alignment, fencing, and burial under roadway fill) the usual mitigation measure is data recovery (i.e. site excavation). Excavation activities are typically limited to within the project limits. The guidance outlined in the Council’s publication, [http://www.achp.gov/archguide.html ''Recommended Approach for Consultation on the Recovery of Significant Information from Archaeological Sites''], should be followed in developing an archaeological data recovery plan. If a site is excavated, a qualified archaeologist must conduct the field investigations, analyze the remains, and prepare a Phase III data recovery report. Artifacts from excavations are the property of the LPA and must be curated at an archaeological curation facility. If human remains are encountered during the excavation, SHPO must be contacted and the state burial law ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194]) will need to be followed. Notification of the human remains should also be provided to FHWA and may need to be provided to consulting Indian tribes.

In addition to the documentation materials for the SHPO and FHWA, and the National Park Service's Heritage Documentation Program for HAER and HABS, additional copies may be needed for distribution to local repositories (historical society or local library) and interested parties.

If Steps 3 and 4 are required, then the date that FHWA signed the MOA is used as the Section 106 compliance date.

==136.6.4.2 Section 4(f) of the U.S. Department of Transportation Act of 1966 and Section 6(f) of the Land and Water Conservation Fund Act (LWCFA) Properties==

Section 4(f) of the U.S. Department of Transportation Act of 1966 requires that special consideration be given to publicly owned lands, or those held under a long-term lease, that are intended for use as public parks, recreation areas, or wildlife and waterfowl refuges as well as to publicly and privately owned historic sites listed or eligible for listing on the National Register of Historic Places. Codified at 49 U.S.C. 303, Section 4(f) applies to projects that receive funding from or require approval by a Department of Transportation (DOT) agency such as [http://www.fhwa.dot.gov/ FHWA].

It is the LPA’s responsibility to establish whether the project will require the use of or impact any Section 4(f) resources. The LPA will evaluate possible use of Section 4(f) resources early in the development of a project, when various alternatives for the proposed project are being considered. Ultimately, FHWA makes all decisions regarding Section 4(f) compliance for highway projects: whether Section 4(f) applies to a property, whether a use will occur, whether a de minimis impact determination (discussed below) is made, assessment of each alternative’s impacts to Section 4(f) properties, and (after consulting with the appropriate officials who have jurisdiction) whether the law allows selection of a particular alternative.

Before FHWA approves a project that uses Section 4(f) property, either the use must be determined to be de minimis or a Section 4(f) Evaluation must be completed. If the Section 4(f) Evaluation identifies a feasible and prudent alternative that completely avoids Section 4(f) properties, that alternative must be selected. If there is no feasible and prudent alternative that avoids all Section 4(f) properties, FHWA has some discretion in selecting the alternative that causes the least overall harm. FHWA may approve the use of land (permanent or temporary) from a Section 4(f) resource '''only if''':

:1. There is no feasible and prudent avoidance alternative to the use of land from the property and

:2. The action includes all possible planning to minimize harm to the property resulting from such use.

===136.6.4.2.1 Section 4(f) for Historic Properties===

To determine the applicability of Section 4(f) to historic sites, the LPA will consult with the FHWA (through the MoDOT district and MoDOT Historic Preservation staff), SHPO, and appropriate local officials to identify all properties listed on or eligible for the NRHP. The Section 4(f) requirements apply only to NRHP-listed or eligible properties that will be adversely affected, including archaeological sites chiefly significant for preservation in place, not data recovery.

===136.6.4.2.2 Section 4(f) for Public Lands===

If the federal, state, or local officials having jurisdiction over a park, recreation area, or refuge determine that the entire site is not significant, consideration under Section 4(f) is not required. The Section 4(f) land is presumed significant without such a determination and FHWA will decide whether Section 4(f) applies. The LPA must complete the Local Public Agency Section 4(f) compliance worksheet (for parks/refuges only) found in [[media:136.6.8 2013.doc|Fig. 136.6.8]].

For federal or other public land holdings (e.g., state forests) that are managed for multiple uses under statutes permitting such management, Section 4(f) applies only to those portions of such lands that function for or are designated in the plans of the administering agency as being for significant park, recreation, or wildlife and waterfowl refuge purposes. The officials having jurisdiction over the lands determine which lands so function or are so designated, and the significance of those lands. FHWA reviews this determination to assure it is reasonable. The determination of significance applies to the entire area used for such park, recreation, or wildlife and waterfowl refuge purposes.

===136.6.4.2.3 ''De Minimis'' Determination===

A ''de minimis'' finding means that a transportation use of a Section 4(f) property will cause minimal impact to the resource after considering impact avoidance, minimization, and mitigation or enhancement measures. If FHWA determines that the use of Section 4(f) land will have no adverse effect on the protected resource and obtains written agreement to such determination from the responsible official(s) with jurisdiction over the resource, an analysis of avoidance alternatives is not required and Section 4(f) is complete. Although a ''de minimis'' impact determination does not require evaluating whether avoidance alternatives are feasible and prudent, FHWA does consider any impact avoidance, minimization, and mitigation or enhancement measures that are included in the project to address the impacts and adverse effects on the Section 4(f) resource. The purpose of taking such measures into account is to encourage incorporating Section 4(f) protective measures as part of the project. ''De minimis'' impact findings are expressly conditioned upon implementation of any measures that were used to reduce the impact to a ''de minimis'' level. The LPA is responsible for ensuring such measures are implemented.

The ''de minimis'' impact criteria for historic sites are different from those for parks, recreation areas, and wildlife and waterfowl refuges. ''De minimis'' impacts on historic sites are defined as either a “no adverse effect” determination or “no historic properties affected” in compliance with Section 106 of the NHPA. ''De minimis'' impacts relative to publicly owned parks, recreation areas, and wildlife and waterfowl refuges are those that do not adversely affect the activities, features, or attributes of the resource.
<div id="In making a de minimis"></div>
In making a ''de minimis'' impact finding, FHWA must consider the facts supporting a ''de minimis'' impact determination, the record of coordination that precedes the'' de minimis'' finding, and the concurrence of the official(s) with jurisdiction. FHWA has the ultimate responsibility of ensuring that ''de minimis'' impact findings and required concurrences are reasonable. If FHWA makes a ''de minimis'' determination, the MoDOT district contact will notify the LPA, who will need to assemble the documentation required to support the finding. [http://www.fhwa.dot.gov/hep/qasdeminimus.htm Documentation requirements] are available. The public must also be afforded an opportunity to review and comment on the effects of the project on the protected activities, features, or attributes of the Section 4(f) property (see [[:Category:129 Public Involvement#129.8 Section 4(f) Lands|EPG 129.8 Section 4(f) Lands]]).

===136.6.4.2.4 Programmatic Section 4(f) ===

FHWA has approved five nationwide programmatic Section 4(f) evaluations. One covers federal-aid highway projects that use minor amounts of land from publicly owned public parks, recreation areas, or wildlife and waterfowl refuges. A second covers highway projects that use minor amounts of land from historic resources either listed on or eligible for the National Register of Historic Places (NRHP). The third programmatic Section 4(f) covers the use of historic bridges. The fourth is for independent bikeway or walkway construction that requires the use of recreation areas or parkland. The fifth is the net benefit programmatic Section 4(f) evaluation for projects that will use land from a Section 4(f) park, recreation area, wildlife or waterfowl refuge, or historic property and will result, in the view of FHWA and the official(s) with jurisdiction over the Section 4(f) property, in a net benefit to the 4(f) property.

The programmatic Section 4(f) documentation must demonstrate that the project meets applicability criteria for a programmatic evaluation, that avoidance alternatives have been evaluated, that no feasible and prudent alternatives exist, and that appropriate mitigation measures have been included. It must also include correspondence demonstrating that the official(s) with jurisdiction over the Section 4(f) resource agrees with the assessment of impacts and with the proposed mitigation measures. The documentation should be self-contained and self-explanatory since it will be available to the public upon request. With the exception of the programmatic Section 4(f) for historic bridges, a programmatic 4(f) evaluation cannot be used on projects requiring preparation of an EIS.

Using the nationwide programmatic evaluations can streamline the Section 4 (f) process for qualifying projects by eliminating some of the project-by-project internal review and interagency coordination. The [http://www.environment.fhwa.dot.gov/4f/4fnationwideevals.asp applicability criteria for the programmatic Section 4(f) evaluations] are available. For projects meeting the criteria, the programmatic Section 4(f) evaluation satisfies the requirements of Section 4(f) and no individual Section 4(f) evaluations need be prepared. The FHWA division office is responsible for reviewing each individual project to determine whether it meets the criteria and procedures of the programmatic Section 4(f).

===136.6.4.2.5 Section 4(f) Evaluation Process===

When adequate support exists for a Section 4(f) determination and the use of the property does not qualify for a de minimis determination or one of the nationwide programmatic Section 4(f) evaluations, the LPA will complete a Section 4(f) Evaluation. The evaluation must specifically explain why the alternatives to avoid the Section 4(f) property are not feasible and prudent and describe all measures that will be taken to minimize harm to the Section 4(f) property. Supporting information should demonstrate that there are unique problems or unusual factors involved in the use of alternatives that avoid the properties or that the cost, social, economic, environmental impacts, or community disruption resulting from such alternatives reach extraordinary magnitudes.

FHWA will review the final Section 4(f) evaluation for legal sufficiency before issuing an approval. LPAs will not proceed with any project requiring the use of Section 4(f) property and determined to be classified as a CE until notified by FHWA of Section 4(f) approval. For projects classified as EA or EIS, Section 4(f) approval is documented on a separate signature page concurrently with FHWA’s approval of the Finding of No Significant Impact (FONSI) or the final EIS. For EIS projects, the LPA should briefly summarize the Section 4(f) impacts and mitigation measures in the Record of Decision (ROD).

Circulation of a separate Section 4(f) evaluation is required when:

1. A proposed modification to the alignment or design after approval of the CE, EA, FONSI, draft EIS, final EIS, or ROD would require the use of Section 4(f) property;

2. FHWA determines that Section 4(f) applies to a property after approving the CE, EA, FONSI, draft EIS, final EIS, or ROD; or

3. A proposed modification to the alignment, design, or measures to minimize harm after the original Section 4(f) approval would result in a substantial increase in the amount of Section 4(f) land use, a substantial increase in the adverse impacts to Section 4(f) land, or a substantial reduction in mitigation measures.

If FHWA determines that Section 4(f) is applicable after approval of the CE, EA, FONSI, final EIS, or ROD, the decision to prepare and circulate a Section 4(f) evaluation will not necessarily require the preparation of a new or supplementary environmental document. Where a separate circulated Section 4(f) evaluation is prepared, such evaluation does not necessarily:

1. Prevent the issuance of new approvals,

2. Require the withdrawal of previous approvals, or

3. Require the suspension of project activities for any activity not affected by the Section 4(f) evaluation.

Detailed information on preparing a Section 4(f) Evaluation is provided in [[media:136.6.9.doc|Fig. 136.6.9]].

===136.6.4.2.6 Section 6(f) of the Land and Water Conservation Fund (LWCF) Act and Similar Grant Programs===

The Land and Water Conservation Fund (LWCF) Act provides funds for the acquisition and development of public outdoor recreation facilities. These could include community, county, and state parks, trails, fairgrounds, conservation areas, boat ramps, shooting ranges, etc. Section 6(f) of the LWCF Act places restrictions on public recreation facilities funded with LWCF monies— LWCF-assisted facilities must be maintained for outdoor recreation in perpetuity. Therefore, use of such property for a transportation project will require mitigation that includes replacement land of at least equal value and recreational utility. Section 6(f) documents are lengthy, frequently taking one to two years to process, and also require a signed Section 4(f) document to be completed.

Section 4(f) ''de minimis'' impact findings do not satisfy the requirements of Section 6(f) of the LWCF Act or other U.S. Department of Interior (DOI) grants-in-aid programs. Projects that propose the use of land from a property or site purchased or improved with funds under the LWCF Act, the Federal Aid in Sport Fish Restoration Act (Dingell-Johnson Act), the Federal Aid in Wildlife Restoration Act (Pittman-Robertson Act), or other similar law, or lands otherwise encumbered with a federal interest will require the LPA to coordinate with the appropriate federal agency regarding the agency's position on the land conversion or transfer. Other federal requirements that may apply to the Section 4(f) land should be determined through consultation with the officials with jurisdiction or appropriate DOI or other federal official. These federal agencies may have regulatory or other requirements for converting land to a different use. These requirements are independent of a ''de minimis'' impact finding and must be satisfied.

The Urban Park and Recreation Recovery (UPARR) program has provided funds toward the renovation and rehabilitation of numerous urban parks and recreation facilities. Although the UPARR funds may have been used in only a portion of a site or facility or were only a small percentage of the funds needed to renovate or rehabilitate a property, no property improved or developed with UPARR assistance can be converted to other than public recreation uses without the advance approval of the National Park Service. To be approved, a formal request for the conversion must be made by the grant recipient (urban city or county). The request must document that all alternatives to the conversion have been evaluated and rejected on a sound basis, required replacement land being offered as a substitute is of reasonably equivalent location and recreational usefulness, and the property for substitution meets the eligibility requirements for UPARR assistance.

Conversions of land funded by any of the aforementioned grant programs are tightly restricted by terms of the grant agreement and generally require lengthy coordination to meet the requirements for conversion.

==136.6.4.3 Section 404 Permits for Wetlands and Streams==

Projects that involve stream crossing(s) and/or impacts to wetlands under the jurisdiction of the U.S. Army Corps of Engineers (COE) require a Section 404 Permit or written confirmation that impacts will not trigger submittal of a Section 404 permit application. A Section 404 permit may be required for fill in any water body (waters of the U.S.)—lakes, ponds, streams, rivers, and wetlands. The COE will make a final determination as to the extent of its jurisdiction and the appropriate permit(s) for all regulated activities. If the proposed action impacts a wetland, a determination must be made that there is no practicable alternative to the wetland impact or floodplain encroachment.

The following information is required to satisfy NEPA reporting requirements as they pertain to impacts related to Section 404:

:1. A description of impacts to all streams, wetlands, and other water bodies.
:2. All coordination efforts with regulatory and resource agencies to avoid, minimize, and mitigate for impacts.
:3. Impacts of alternatives to the proposed action.
:4. Commitments and other mitigation measures for the project.

Stream and/or wetland impacts exceeding 0.5 acre or channelization beyond the minimum necessary to construct or protect the linear transportation project may require an individual permit. If the COE issues an individual Section 404 permit for project activities, the LPA must obtain an individual Section 401 Water Quality Certification from the Department of Natural Resources (DNR). For a nationwide permit (NWP), the LPA is obligated to follow the conditions specific to the appropriate NWP within DNR’s conditional 401 certifications. Most NWPs will not require an individual request for DNR’s Section 401 Water Quality Certification, because the agency has granted conditional certification for the majority of commonly used NWPs. The LPA must include the appropriate 401 certification conditions for their respective NWP(s) in the construction contract (see Item no. 3, below, for link to conditions).

The LPA should send duplicate permit applications concurrently to the COE and DNR for individual Section 404 permits/401 certifications. The COE application must be accompanied by copies of applicable permits, concurrence/clearance letters, or correspondence from resource agencies (particularly U.S. Fish & Wildlife Service for federally listed threatened or endangered species concerns under Section 7 Endangered Species Act (ESA) and the Missouri Department of Natural Resources’ State Historic Preservation Office (SHPO) for Section 106 compliance) verifying any regulatory requirements for the project. '''Section 404 permit issuance is dependent upon demonstrating compliance with other agencies’ regulatory requirements.''' This applies to both individual permits and NWPs requiring pre-construction notification. Therefore, Section 7 ESA consultation with the USFWS and Section 106 consultation with the SHPO must be complete before the COE will issue a permit or verify NWP coverage (please see EPG 136.6.4.1 and EPG 136.6.4.5 for detailed information on MoDOT’s role in ensuring ESA and Section 106 compliance on behalf of FHWA). Once the COE is ready to issue the individual permit, it will request 401 certification issuance from DNR. The LPA must include in the construction contract both the 404 and 401 permits and the conditions covered therein. A [https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/Obtain-a-Permit/ 404 permit application form] is available.
<div id="On linear transportation projects"></div>
On linear transportation projects where permanent fills impacting waters of the U.S. (not including wetlands) do not exceed 0.1 acre, there is no legal obligation to submit an application to the COE, unless one of the pre-construction notification requirements applies (see NWP descriptions and notification requirements, pages 1983-1998 of the [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Federal Register]). If a project meets the “no pre-construction notification” condition, the LPA must provide a written statement to MoDOT verifying that permanent project impacts will not exceed 0.1 acre and upload that determination to the RER as documentation of such. If either temporary or permanent impacts to wetlands will result from project construction, then a permit submittal is required.

For impacts that exceed the nationwide permit pre-construction notification thresholds, the LPA must obtain a permit from the COE and provide it to MoDOT. In either the no pre-construction notification or the permit application submittal scenario, if NWP(s) apply, then the LPA is required to abide by all of the following conditions and include them in all contract proposals to validate the NWP(s):

1. The 32 Nationwide Permit General Conditions. The [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf 2017 Nationwide Permit Conditions] define the general conditions on pages 1998-2004 (under ''C. Nationwide Permit General Conditions'').

2. The Regional Special Conditions for NWPs. The Nationwide Permit (NWP) [http://www.mvs.usace.army.mil/Portals/54/docs/regulatory/permits/2017NWP_MORegCon.pdf Regional Conditions] are available.

3. The State of Missouri Section 401 Water Quality Certification General & Specific Conditions. The [https://dnr.mo.gov/pubs/pub2815.htm State of Missouri 401 Water Quality Certification] conditions for Nationwide Permits are available.

==136.6.4.4 Channel Modification==

Channel changes alter the conditions of the natural waterway and may increase velocity of the flowing water, sometimes enough to damage the highway embankment near the stream or cause excessive scour around footings of structures. Because channel modifications may result in such outcomes, alterations should be avoided to the fullest extent practical. Where channel alterations are unavoidable, the environmental, hydraulic, legal, and geomorphic aspects involved must be evaluated. The effect on peak flow downstream and the affected flow area should be determined. Relative to Section 404 permitting, any channelization should be kept to an absolute minimum and should only be undertaken to facilitate or protect a construction project. The LPA must include justification for any channel changes in the Section 404 permit application.

1. The new channel should duplicate the existing stream and floodplain characteristics as nearly as possible, including stream width, depth, slope, flow regime, sinuosity, bank cover, side slopes, and flow and velocity distribution.

2. Channel modification may be constructed if the average channel velocity would not be increased beyond the scour velocity of the predominant soil type at the project site.

3. The COE will require individual permit authorization for projects with channel modification beyond the minimum needed to construct or protect the linear transportation project. Such modifications must be in the immediate vicinity of the project and the LPA will be required to do stream mitigation to compensate for the channel loss. This can drastically add to the cost of a project; it may require a monetary contribution to an approved stream mitigation bank/in lieu fee program or the acquisition/restoration and/or, in very limited circumstances, protection of a previously impacted stream resource.

==136.6.4.5 Threatened and Endangered Species and Migratory Birds==
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|'''Threatened and Endangered Species Program Guidance Videos'''
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|[https://youtu.be/Kg3bqv3meJk Chap. 1, Overview and Background Information]
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|[https://youtu.be/jGbwlNbP5-k Chap. 2, Common Field Assessments: Bats and Birds]
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|[https://youtu.be/ZRtRSpUHNTc MDC Tutorial: Natural Heritage Review]
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|'''Threatened and Endangered Species Assessments'''
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|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
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|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|}
Threatened and endangered (T&E) species considerations for FHWA funded projects include potential impacts to rare plants, animals, critical habitat, and natural communities (e.g., caves, prairies, karst). FHWA must document compliance with federal and state laws governing potential impacts to listed species. Project sponsors receiving federal aid are required to thoroughly investigate any impacts their projects might have on federally listed T&E species and any federally designated critical habitats.

The state of Missouri also tracks the status of over 1,100 plant and animal species that are considered rare in the state. Of these, 70 are listed as state endangered (current as of the 2019 Missouri Species and Communities of Conservation Concern publication). The state Endangered Species Law and the Missouri Wildlife Code protect state listed species. All FHWA funded projects in Missouri must also address potential impacts to state listed species.

===136.6.4.5.1 Laws and Regulations===

* The [http://www.fws.gov/endangered/laws-policies/index.html Endangered Species Act of 1973] (ESA) requires FHWA to consult with the U.S. Fish and Wildlife Service (FWS) regarding their projects and measures that can be implemented to minimize or eliminate project impacts to federally protected species and critical habitats. FHWA has designated MoDOT as the only non-federal agency that can conduct ESA Section 7 consultation on their behalf. Project sponsors must provide MoDOT with all the necessary information to document effect determinations for all federally protected species that could occur in the project area. If necessary, MoDOT will complete Section 7 consultation directly with FWS for all projects which May Affect (positively or negatively) federally listed species.

* The National Environmental Policy Act ([https://www.environment.fhwa.dot.gov/projdev/index.asp NEPA]) of 1969 (as amended) requires consideration of the physical environment for any project that uses federal funding or requires federal permits.

* The Missouri Revised Statute, Title XXXVIII, Chapter 569 (formerly CH 578, Missouri Cave Resources Act), defines prohibited actions for caves regarding trespass, vandalism, contamination, and destruction.

* The Missouri Revised Statute, Title XVI, Chapter 252, which defines the Missouri Endangered Species Law, and the Missouri Code of State Regulations, Title 3, Division 10, Chapter 4 (Wildlife Code: General Provisions) extend special protections to species that are listed as endangered in the state. The Missouri Department of Conservation (MDC) administers the Wildlife Code which pertains to permissible and prohibited actions for Missouri fish, wildlife, and plants. MDC also tracks locations of federally protected and state endangered species and species and communities of conservation concern in Missouri.

===136.6.4.5.2 Process===

The ESA requires federal agencies to evaluate every project and determine whether it could have a negative impact on any federally listed T&E species or their critical habitat. Sponsors must provide this evaluation to MoDOT for their federally funded projects and give sufficient data to justify their impact assessment for each species that could occur in the project area. T&E information should be made available to MoDOT Design Environmental Section at least 6 months ahead of Plan Submittal and Estimates (PS&E) date. Please refer to the [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]] for examples of how to assess species impacts from your federally funded project.
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|'''Additional Info'''
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|[[media:136.6.4.5.2.pdf|FHWA Feb 2015 non-fed designation letter]]
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Under the ESA, no action can be taken that will jeopardize the continued existence of any federally listed threatened or endangered species or result in the destruction or adverse modification of critical habitat for such species. If an action May Affect a federally listed species or critical habitat, FHWA and MoDOT must consult with the FWS to determine how to eliminate or minimize those impacts.

====136.6.4.5.2.1 Sponsor Responsibilities====
The sponsor must submit via the Request for Environmental Review (RER) database the completed T&E assessment package in timely manner to allow a reasonable amount of time to obtain clearance for T&E requirements and consultation, which in some case could take up to 6-8 months. Please refer to [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]], to find the appropriate information to be submitted. NOTE: Threatened and Endangered Species clearance is now required by Missouri FHWA prior receiving NEPA classification approval. (See [[LPA:136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]).

[[image:127.7.2.jpg|center|800px|thumb|<center>'''Missouri is home to 14 species of bats. Three of these species are federally protected and call Missouri caves and forests home. Occasionally, they also call our infrastructure “home”, at least temporarily. Bats can form colonies on or in bridges or use them as temporary day or night roosts, sleeping during the day, or stopping over at bridges to rest at night while feeding. Only one of these photos shows bats in a “natural” habitat; the top left photo is of Indiana bats clustering in a cave, which would be during winter hibernation. The rest are all photos of bats, even federally protected species, taking advantage of the cracks and crevices in our bridge structures. Take care to check bridges for signs of bat use prior to bridge rehabilitation or replacement projects. If you do ever see bats utilizing bridges, please do not disturb them and report the occurrence to the Environmental Staff at MoDOT. </center>''']]

It is up to the sponsor to produce a written evaluation of their project's impacts on each listed species. The sponsor must demonstrate a basic understanding of the habitat requirements for each species from the FWS official project species list and assess if the same habitat exists in the project area. MoDOT has provided example habitat descriptions for the sponsor to use in evaluating project impacts ([[media:Fig. 136.6.19.pdf|Fig 136.6.19]]). If there is suitable habitat in the project limits, then the project May Affect listed species. The sponsor or their consultant should submit the full project limits, easements, right-of-way, utilities, staging, storage, temporary crossing, and access and ground disturbance information along with aerial photos, plans (if available) and diagrams of the full project impacts.

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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.2.1.jpg|center|720px]]
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The sponsor may be asked to provide additional detailed information about the project which may include contracting for additional species and habitat surveys. The sponsor and/or the consultant may need to work with MoDOT environmental staff to determine measures that could be implemented to minimize the project’s impacts on T&E species. It is important that the sponsor, and not just the consultant, be involved in this process to ensure that suggested changes to the project are feasible and will be implemented. Any measures to minimize or eliminate impacts to T&E species must become contract commitments (i.e., job special provisions, design modifications, plan notes, etc.).

====136.6.4.5.2.2 Environmental Section Responsibilities====
Upon receiving a completed T&E submittal from the LPA sponsor or their consultant (refer to steps in the [[media:Fig. 136.6.18.pdf|T&E Checklist]]), MoDOT environmental staff will review the project details and impact evaluations from the sponsor and provide a written determination of effect for all listed species. This documentation may be in agreement with or in addition to the sponsor’s evaluation. Official effect determinations must be documented in the permanent NEPA record. MoDOT environmental staff will also specify what actions need to occur to address any environmental issues and who needs to perform those actions (the sponsor or MoDOT). MoDOT will handle all coordination with the FWS to obtain any necessary clearances.

If the sponsor determines and MoDOT agrees that there will be No Effect on listed species or their suitable habitat, then the ESA requires no further coordination at that time. In the RER, MoDOT will document that the project is clear of any T&E species constraints. If any measures or modifications are necessary to achieve a No Effect determination, these will become commitments during the NEPA decision making process and require follow-through for compliance.

If it is determined that a federally listed T&E species, suitable habitat, critical habitat, or other federally protected resource is present or is likely to occur within the project limits and the action may affect a listed species or federally designated critical habitat, FHWA and MoDOT are required to complete ESA consultation with the FWS. The ESA describes two types of consultation, formal and informal. Formal consultation is required when there will be an Adverse Effect on a listed species or Adverse Modification of federally designated critical its habitat. It is rarely necessary, and therefore it is not covered in detail here. Should formal consultation become necessary, FHWA, MoDOT, and the sponsor would work through the process together.

=====136.6.4.5.2.2.1 Informal Consultation=====
Informal consultation is conducted when a T&E species, suitable habitat, or critical habitat is present or likely to occur in the proposed project area and MoDOT on behalf of FHWA has determined that the project “may affect, but is not likely to adversely affect” (NLAA) the species. Informal consultation can only be completed if FHWA and MoDOT can provide data to show that they have removed all potential for the project to have an adverse effect on the species or its critical habitat. As the designated non-federal representative of FHWA, MoDOT environmental staff submits project details, species assessments, and effect determinations to FWS justifying that the project is not likely to adversely affect the species and request written concurrence. The justification for this submittal is taken from the sponsor’s evaluation of the project impacts. It may be necessary for the sponsor to conduct additional surveys, commit to seasonal restrictions, or modify the design of the project to avoid or minimize impacts to listed species. Commitments made during consultation must be followed to be in compliance with federal laws. All T&E commitments must be included in the NEPA documentation and attached to the RER. Once the documentation is submitted to the FWS, they usually respond within 30 days. If they concur with the NLAA determination, and the sponsor has committed to conservation measures which will be implemented for the project, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance. If FWS does not concur with that determination, then either additional clarification and protection measures may be needed or formal consultation is necessary. Informal consultation with the FWS should begin three to six months prior to Plans, Specs, and Estimates (PS&E) to allow time to complete the process and avoid project delays.

=====136.6.4.5.2.2.2 Range-wide Programmatic Informal Consultation for Indiana Bat and Northern Long-eared Bat Only=====
Your project may qualify for consultation under a programmatic agreement for summer bat habitat impacts if certain conditions can be met. The FWS and FHWA entered into an agreement for streamlining consultation for projects that are NLAA Indiana and northern long-eared bats. [http://www.fws.gov/midwest/endangered/section7/fhwa/index.html More information about this programmatic consultation agreement] is available.

Generally, if suitable summer bat habitat is present in the project limits, trees to be removed for the project are entirely within 100 ft. of the existing road, and the sponsor commits to seasonal tree clearing (i.e. clearing suitable bat habitat only between November 1 and March 31) then the project likely qualifies for programmatic consultation. The justification for this assessment is taken from the sponsor’s evaluation of the project impacts. It will be necessary for the sponsor to commit to seasonal tree clearing restrictions. MODOT environmental staff will submit documentation to FWS describing project details and verifying the project meets the programmatic consultation criteria. Once submitted to the FWS, they have 14 days to ask for additional information. If there is no comment during that time, the project has automatic concurrence for Indiana and northern long-eared bat impacts. If “No Effect” determinations are made for all other species, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance.

===136.6.4.5.3 Migratory Birds===

Sponsors could encounter the nests of bird species protected by the [https://www.fws.gov/laws/lawsdigest/migtrea.html Migratory Bird Treaty Act of 1918] (MBTA) while conducting bridge repairs and replacements. Several bird species protected by the Act commonly construct their nests on the underside of bridge decks and on the substructure. These most often include cliff swallows, barn swallows, Eastern phoebes, and American robins. Cliff swallows build their gourd-shaped mud nests in colonies, sometimes containing hundreds of nests. Often, these nests are found on bridges over water but they can also occur on bridges over major highways and railroads, particularly if the bridge is in a floodplain or near permanent water. Barn swallows also build mud nests, but they are cup-shaped and not enclosed like cliff swallows. They will also nest in colonies, but usually these are much smaller than those of cliff swallows.

[[image:136.6.4.5.3.jpg|center|700px|thumb|<center>'''Cliff swallows under a concrete bridge over a stream. This species generally nests in colonies of several birds, building their own nests in a matter of days from mud pellets. Once eggs are laid in a nest, it would be a violation of the Migratory Bird Treaty Act to destroy the nest and its eggs, young birds, or adults without a permit. The general breeding dates for this species in Missouri is April 1 through July 31, however, they could nest before and after those dates. Cliff swallows can brood multiple clutches (groups of eggs) during a single breeding season.'''</center>]]

Eastern phoebe and American robin nests are frequently found on smaller bridges over small rivers. Usually they are on the top of substructure steel components and near the abutments. They are not colony nesters but sometimes 3 or 4 nests can be found on a single bridge. Other MBTA-protected species can also be found nesting on bridges, but they are not common. Several bird species that are not protected by the MBTA are often seen nesting on bridges. These include pigeons (rock doves), European starlings, and house sparrows. These species are all non-native introductions to the US and therefore, they are not protected by the MBTA.

====136.6.4.5.3.1 Laws and Regulations====
The Migratory Bird Treaty Act of 1918 makes it illegal for anyone to take, possess, import, export, transport, sell, purchase, barter, or offer for sale, purchase or barter any migratory bird, or the parts, nests or eggs of such a bird except under the terms of a valid permit issued pursuant to Federal regulations. The migratory bird species protected by the act are listed in [https://www.fws.gov/migratorybirds/pdf/policies-and-regulations/MBTAListofBirdsFinalRule.pdf 50 CFR 10.13]. "Take" refers to killing adults, eggs or young of the bird species protected by the act.

====136.6.4.5.3.2 Process====
All projects that involve impacts to the underside of bridge decks, the substructure, or concrete box culverts should be checked for the presence of nesting birds. For LPA projects, the project sponsor or their consultant is expected to perform the inspection and report it on the Request for Environmental Review (RER) and [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]].

Inspections should take place within a year of the anticipated letting date. The checklist notes additional requirements for documenting bridge inspections. If no nests are noted, the project will be cleared and nothing further is required. If nests are noted, a Job Special Provision will need to be placed in the contract that provides guidance on how to avoid violating the MBTA. Often, removal of the old, inactive nests (those without eggs or young) before the project starts, and maintenance of the bridge in a nest-free condition until construction, is necessary. Nest removal should be done in the non-breeding season. Generally speaking, the assumed active breeding season for the majority of the birds that would use bridge and culvert structures as habitat is between April 1 and July 31. However, these are just general dates and no active bird nests should be disturbed without a permit, even outside of these dates.

[[image:136.6.4.5.3.2.jpg|center|475px]]

=====136.6.4.5.3.2.1 Sponsor Responsibilities=====
The Sponsor is responsible for reporting any nests known to be present on the structure when submitting the RER and on the LPA Environmental T&E Checklist (see excerpt below). If nests are present, a JSP for avoidance will be used and must be followed.

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="800px" align="center"
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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
|-
|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.3.2.1.jpg|center|720px]]
|}

=====136.6.4.5.3.2.2 Environmental Section Responsibilities=====

During RER reviews, the MoDOT Environmental Specialist will review the project description, plans, photos, and written assessments and determine if the project has the potential to harm protected species. MoDOT will confirm with the sponsor the JSP will be used prior to clearing the Migratory Bird review on the RER. If a project is already under construction, and nests are noted on the bridge, MoDOT will assist in determining if the nests are active, if they belong to an MBTA-protected species, and to provide the sponsor with options to avoid violations of the MBTA.

==136.6.4.6 Base Floodplain and Regulatory Floodway==

Floodplains provide a number of important functions in the natural environment—creating wildlife habitat, providing temporary storage of floodwater, preventing heavy erosion caused by fast-moving water, recharging and protecting groundwater, providing a vegetative buffer to filter contaminants, and accommodating the natural movement of streams. Executive Order 11988—Floodplain Management, Federal Highway Administration (FHWA) policy and procedures in 23 CFR 650, and other federal floodplain management guidelines direct agencies to evaluate floodplain impacts for proposed actions.

Floodplains can be described by the frequency of flooding that occurs. With Executive Order 11988, the base, or one percent annual chance, flood was formally adopted as a standard for use by all federal agencies. The base flood is the flood that has a one percent chance of being equaled or exceeded each year. Thus, the base flood can occur more than once in a relatively short period of time. The base flood is commonly labeled the “one percent flood” and often inappropriately referred to as the “100-year” flood. Larger floods may, and often have, occurred but the one percent flood is the generally accepted regulatory standard.

The National Flood Insurance Program (NFIP) uses the base flood as the standard for floodplain management and to determine the need for flood insurance. When available, NFIP flood hazard boundary maps and flood insurance studies for the project area are used to determine the limits of the base (1%) floodplain and the extent of encroachment (an action within the limits of the base floodplain). The base floodplain is the area of one percent flood hazard within a county or community—that is, the area in which the flood has a one percent chance of being equaled or exceeded in any given year.

The regulatory floodway is the area of a stream or river channel plus any adjacent floodplain areas that must be kept open to convey floodwaters from the base flood without increasing the height of the flood more than a certain amount. Federal Emergency Management Agency (FEMA) restrictions do not allow projects to cause any rise in the regulatory floodway and no more than a one-foot cumulative rise may result from all projects in the base (1%) floodplain. [[media:136.6.10.doc|Fig. 136.6.10]] illustrates the various elements of a typical floodplain.

The LPA provides information on the LPA Request for Environmental Review (RER) form regarding community participation in the NFIP and whether the project is located in a Special Flood Hazard Area (SFHA). The SFHA is the land area covered by the floodwaters of the base flood on NFIP maps and where the NFIP's floodplain management regulations must be enforced. A current list of communities for which FEMA Flood Insurance Studies have been performed is available in the [http://www.fema.gov/national-flood-insurance-program/national-flood-insurance-program-community-status-book National Flood Insurance Program Community Status Book]. [http://www.fema.gov/cis/MO.pdf Missouri-only data] is also available. If the project is located in a community or county that has not been mapped, the LPA notes this. If the community has been mapped, the LPA identifies whether the project is located in the 100-year floodplain and/or regulatory floodway.

The MoDOT district contact will inform the LPA of the need to obtain a floodplain development permit ([http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11 LPA Floodplain Development Permit Application]) from the local floodplain administrator or whether, for projects proposed within regulatory floodways, the LPA must obtain a “no-rise” certificate before a Floodplain Development Permit is issued. To find contact information for your local floodplain administrator, use the menu or map feature under Local Floodplain Administrator on the [http://www.sema.dps.mo.gov/programs/floodplain/ State Emergency Management Agency website]. [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12] contains the Engineering "No-Rise" Certification form and [[media:136.6.13.doc|Fig. 136.6.13]] describes Procedures for “No-Rise” Certification for Proposed Development in the Regulatory Floodway.

LPAs that participate in the NFIP must ensure that floodplain developments meet the NFIP regulations identified in [https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml Title 44, Code of Federal Regulations], Parts 59 through 78. (Parts 59 and 60 contain the most applicable information for a typical project.) The LPA, with assistance from the local floodplain administrator, is responsible for ensuring that FEMA NFIP requirements are met. The LPA is also responsible for obtaining all required certifications before construction begins. The LPA should note that if a project requires a Clean Water Act Section 404 permit, the floodplain development permit cannot be issued until the 404 permit is issued by the US Army Corps of Engineers ([https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml 44CFR60.3a]). Issuance of the 404 permit is also dependent on other applicable clearances such as Section 106 of the National Historic Preservation Act and Section 7 of the Endangered Species Act. Additionally, because the NFIP requirements may control the hydraulic design of the project, the LPA is advised to investigate this in the early stages of the project.

For the convenience of LPAs and engineers, [http://msc.fema.gov/portal FEMA Flood Insurance Studies and flood maps] pertaining to a project site can be viewed by selecting “Flood Insurance, Flood Maps, and/or All Flood Information.” Hardcopies of the FEMA Flood Insurance Studies and Flood Maps can also be ordered through the same site.

==136.6.4.7 State Emergency Management Agency (SEMA)/Federal Emergency Management Agency (FEMA) Buyout Lands==

The Flood Disaster Protection Act of 1988 (The Stafford Act), under Section 404, identified the use of disaster relief funds for the Hazard Mitigation Grant Program (HMGP), including the acquisition and relocation of flood-damaged property. The Volkmer Bill further expanded the use of HMGP funds under Section 404 to “buy out” flood-damaged property that had been affected by the Great Flood of 1993.

These FEMA buyout properties have numerous restrictions. No structures or improvements may be erected on these properties unless the improvements are open on all sides. The site can be used only for open space purposes and must remain in public ownership. These conditions and restrictions (among others), along with the right to enforce same, are deemed to be covenants running with the land in perpetuity and are binding on subsequent successors, grantees, or assigns. Any project decision involving a FEMA buyout property should consider that it may take two to three years to obtain an exemption from FEMA to use this parcel, and if allowed, the exemption would likely be a permanent easement rather than a transfer of property.

==136.6.4.8 Stormwater and Erosion Control==

Provisions of the federal Clean Water Act (CWA) and related state rules and regulations require stormwater permits for construction activities that disturb areas of one acre or more. Prior to initiation of any federal-aid project, the LPA needs to determine the acreage that will be disturbed. If less than one acre is disturbed, the LPA is exempt from the requirements of the CWA National Pollutant Discharge Elimination System (NPDES) program permits and DNR permit applications. However, there may be other state or local ordinances that must be addressed and the LPA should inquire whether there are local rules and regulations that govern clean water guidelines. Even if a NPDES permit is not required and there are no local clean water guidelines, the LPA must still develop and adhere to a site specific erosion control plan for ANY ground disturbance. If more than one acre is planned to be disturbed, documentation shall be provided in the NEPA document for the project and a commitment to obtain and comply with pertinent NPDES permits shall be listed in the NEPA commitments.

'''Permit for Land Disturbance'''

Missouri Department of Natural Resources (DNR) is Missouri’s regulating agency for environmental compliance. DNR issues land disturbance permits for projects one acre and greater to ensure compliance with the CWA and Missouri’s Clean Water Law. LPA’s will be required to obtain a land disturbance permit from DNR for any applicable project, unless a general operating permit exists for the entity. A few cities (Kansas City, Columbia, and others) and counties have obtained their own land disturbance permits from DNR for generic land disturbance purposes. In these areas, the LPA (city or county government) has its own restrictions and erosion control guidelines to meet the intent of its program. If one acre or more will be disturbed, the LPA should determine whether its city or county is operating under a DNR-approved program. If so, the local government jurisdiction will impose appropriate erosion controls.

When a project will disturb one acre or more and the city or county does not have a DNR-approved stormwater program, the LPA must obtain a permit from DNR and provide documentation that this commitment was completed. The LPA must develop a Stormwater Pollution Prevention Plan (SWPPP) for the project and a site-specific erosion control plan. [http://cfpub.epa.gov/npdes/stormwater/swppp.cfm Some example SWPPPs] are available. The LPA will need to contact the DNR NPDES Water Pollution Control Program office (573-751-1300 or 800-361-4827) for further directions. The LPA is responsible for providing a temporary erosion control plan to be included with the final plan submittal if any amount of acreage is to be disturbed. The plans will detail the types of temporary erosion and sediment control best management practices (BMPs) to be used and where the items will be installed. Further information on design criteria can be found in [[:Category:806 Pollution, Erosion and Sediment Control|EPG 806 Pollution, Erosion and Sediment Control]].

For information on temporary stream crossing pipes and construction, see [[806.8 Storm Water Pollution Prevention Plan (SWPPP)|EPG 806.8 Storm Water Pollution Prevention Plan (SWPPP)]].

'''Individual State Operating Permit for TS4'''

MoDOT has an individual permit (from MDNR) that applies to stormwater (TS4 Permit MO-0137910). If you are inside the limits of a regulated MS4 area, you must adhere to the MS4 requirements as defined in the respective MS4 permit specific to that municipality. Additionally, if you are discharging to a watershed subject to an approved and effective Total Maximum Daily Load (TMDL) that MoDOT is assigned a Waste Load Allocation (WLA) or discharging to an Outstanding National or State Resource Water, directly or through MoDOT’s drainage system (e.g., ditches and stormwater conveyance systems), runoff must be treated for water quality and/or quantity before entering MoDOT’s drainage system. If the project’s land disturbance is 1 acre or more and entirely on MoDOT right of way, you must comply with [[127.29 Storm Water|MoDOT’s TS4 permit]].

==136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way==

Borrow/spoil sites, staging areas, haul roads, and/or burn pits may be located outside the project footprint and therefore were not previously addressed by the NEPA document and other environmental approvals for the project. The LPA is responsible for ensuring that the contractor obtains all necessary environmental clearances for borrow sites and other land disturbance areas—including off-site locations used to deposit excess material or for haul roads. To eliminate possible delays, the LPA should specify in the engineering services contract that a proposed borrow site be investigated. The LPA will provide clearance documentation to the MoDOT district contact. Procedures for environmental clearance of borrow sites and other land disturbance activities outside right of way is available at [[127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations|EPG 127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations]].” This information is also available through the MoDOT district contact.

The requirements of [[#136.6.4.1 Section 106 (Cultural Resource) Compliance |Section 106 of the National Historic Preservation Act]] apply to all areas of land disturbance. The LPA must complete the [http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office's Section 106 Project Information Form] and submit it to DNR. The LPA will provide written certification to the MoDOT district contact that the proposed site of land disturbance has been cleared of environmental concerns under all applicable federal and state laws and regulations. These include but are not limited to the Clean Water Act; Section 4(f) of the Department of Transportation Act; the Endangered Species Act; the National Historic Preservation Act; the Farmland Protection Act; Resource Conservation and Recovery Act; Comprehensive Environmental Response, Compensation, and Liability Act; and RSMo Chapter 194, Section 194.400, Unmarked Human Burial Sites. Certification must include all clearance letters and other evidence of coordination with the appropriate regulatory agencies.

==136.6.4.10 Hazardous Waste==

A number of laws and regulations deal with hazardous waste and both underground and aboveground storage tanks. Properties containing hazardous and non-hazardous solid wastes are frequently encountered in new right-of-way acquisitions. Some properties with extensive contamination and legal liabilities may warrant avoidance. For most sites, however, early identification and planning will allow selection of feasible alternatives with incidental costs. In addressing hazardous and solid wastes, the goals are to avoid unacceptable cleanup cost and legal liability and comply with federal and state laws and regulations regarding cleanup. The most common type of hazardous waste site encountered is a petroleum underground storage tank (UST) site. LPAs shall evaluate proposed corridors for hazardous and solid waste sites by conducting a thorough database search and a field check (if necessary). Possible sources include:

:* [http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm Federal Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)]

:* [http://www.dnr.mo.gov/env/hwp/registry-log.pdf DNR Confirmed Abandoned or Uncontrolled Hazardous Waste Disposal Sites in Missouri]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Generators List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Treatment, Storage, and Disposal Facilities List], select Missouri Commercial Hazardous Waste Facilities, List--PUB968

:* [http://www.dnr.mo.gov/env/swmp/facilities/sanlist.htm DNR Solid Waste Facilities List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Registered Underground Petroleum Storage Tank List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Leaking Underground Storage Tank List]

:* [http://www.pstif.org/ Petroleum Storage Tank Insurance Fund], select Tank Sites tab

:* [http://www.nrc.uscg.mil/nrchp.html National Response Center Hotline], select Services, then query/download and select Standard Reports to run query

:* [http://www.epa.gov/enviro/ EPA Envirofacts], under Other Sites of Interest select Enviromapper

:* Other lists as appropriate.

Coordination with the Environmental Protection Agency (EPA) and DNR will help to determine liability, regulatory requirements, and potential cleanup costs. The potential to encounter unknown wastes from sites not identified through database and/or site reviews by the LPA should always be a consideration. Any unknown sites that are found during project construction shall be handled in accordance with federal and state laws and regulations. Any agency coordination, known hazardous waste site boundaries, and any measures taken to avoid, minimize or mitigate impacts to those areas must be included in the NEPA document. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate.

===136.6.4.10.1 Renovation and Demolition of Structures===

All structures, including bridges, that will be renovated or demolished must be inspected for asbestos. The reports from these hazardous waste inspections MUST be included in the bid proposal. Demolition or renovation is a three-step process under the asbestos regulations. All structures that meet the criteria as described above must be inspected by an Asbestos Building Inspector. Following the inspection, regardless of whether asbestos is present or not, an Asbestos Demolition Notification shall be made to DNR no fewer than 10 working days prior to beginning the project. If regulated amounts of asbestos are present, an Asbestos Project Notification must also be submitted and an Asbestos Post-Notification must be filed after the work is completed. If abatement is necessary, a certified Contractor Supervisor must be present and a licensed asbestos abatement contractor must do the abatement. Useful links for information on asbestos regulations include:

:* The [http://www.dnr.mo.gov/env/apcp/asbestos.htm main Asbestos Information page]
:* [http://www.dnr.mo.gov/pubs/pub2157.pdf Asbestos Requirements for Demolition and Renovation Projects tech bulletin]
:* [http://www.dnr.mo.gov/forms/780-1226-f.pdf Asbestos Project Notification]
:* [http://www.dnr.mo.gov/forms/780-1923-f.pdf Asbestos Demolition Notification]
:* [http://www.dnr.mo.gov/forms/780-1225-f.pdf Asbestos Post-Notification]
:* [http://www.dnr.mo.gov/ MO DNR] contact: Senora Cressman, Environmental Specialist, office (573) 522-9936, cell (636) 432-8083, fax (573) 751-2706.

===136.6.4.10.2 Painting Bridges and Demolition of Painted Structures===

Painted surfaces of bridges and structures often contain heavy metals such as lead, chromium or barium that are regulated as hazardous waste under federal and state law. MoDOT has entered into a Memorandum of Understanding (MOU) with the Department of Health and Senior Services (DHSS) that stipulates certain requirements for lead abatement contractors. The contractor requirements involve any testing or identifying of lead-based paint on the surface of structures, determining whether a painted structure is a lead-hazard because of deteriorated paint, and performance of lead abatement activities. Specific requirements for LPA projects include:

:1) All contractors and subcontractors performing lead abatement activities must be licensed as Missouri lead abatement contractors. Additionally, employees of the contractors performing lead abatement activities are required to be licensed as Missouri lead abatement supervisor(s) and/or workers,
:2) the project sponsor shall provide notification to DHSS through the submittal of a ''lead abatement project funding agency notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects, and
:3) the contractor shall also provide notification to DHSS through the submittal of a ''lead abatement project notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects.

Both the [http://www.modot.mo.gov/business/contractor_resources/LeadPaintActivities.htm MOU and contractor information for lead work activities] are available. [http://www.health.mo.gov/safety/leadlicensing/ Application forms, licensing information and training schedules] are also available.

Painted structures shall be tested prior to painting and demolition to determine proper disposal for the waste generated during the project. The inspection reports MUST be included in the bid proposal. The test results for heavy metal analysis shall be included in the NEPA document, along with the identification of the need to handle and dispose of the material as a hazardous waste. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate. Note that the information provided herein is not inclusive and LPAs must follow all applicable federal and state laws for these activities.

'''Bridge Painting '''

Wash water and wipes used to clean bridge surfaces prior to painting must be collected and tested to determine whether they are regulated as hazardous waste. If it fails, it must be handled in accordance with federal and state law. Wash water that is not hazardous waste must still be collected and disposed at a Publicly Owned Treatment Works or a National Pollutant Discharge Elimination System (NPDES) permit must be obtained for discharge.

Blast residue must be collected and tested to determine whether it is regulated as a hazardous waste. Bridges with lead-, chromium-, or barium-based paint (or other regulated metals), must be handled as a hazardous waste and transported by a licensed hazardous waste transporter to a permitted Treatment Storage and Disposal (TSD) facility. Hazardous Waste Summary reports must be submitted to the Department of Natural Resources (DNR) for assessment of fees and taxes.

'''Painted Block and Brick in Structures to be Demolished '''

When a building or structure (including bridges) that is to be demolished contains block and brick that is painted, the painted surfaces should be tested for regulated heavy-metal-based paint to determine whether the material can be used for clean fill. As previously described above in the first paragraph of EPG 136.6.4.10.2, for any lead testing activity the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS. All other demolition debris must be disposed in a demolition landfill. If a demolition landfill is not available, a permitted solid waste landfill can accept it. The levels of certain metals that are acceptable for use as clean fill are listed in the [http://www.dnr.mo.gov/env/swmp/docs/cleanfill09.pdf DNR Tech Bulletin on Painted Block and Brick].

Also refer to ''Missouri Standard Specifications For Highway Construction'' [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 1081] on bridge painting and [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 202] on demolition.

==136.6.4.11 Farmland Protection Policy Act==

The Farmland Protection Policy Act (FPPA) mandates that agencies identify and take into account the adverse effects of federal projects on farmland. The act requires all federally funded projects to be assessed for the potential conversion of farmland to non-farming purposes. LPAs shall assess the impact of their projects in cooperation with the local Natural Resources Conservation Service (NRCS) office.

If the project requires no additional right of way, farmland assessment is not necessary. When additional right of way is needed, if it is located within city limits and the affected land is entirely developed for uses other than agriculture (e.g., within city limits), the LPA may document this in their files and no further action is required. If it is outside of established city limits, the LPA must complete a [[Media:127.11 Form AD 1006.DOC|Form AD-1006 Farmland Conversion Impact Rating]] (or for corridor type projects [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] and forward it along with the preliminary layouts to the NRCS for agency review.

Forms can also be obtained from the NRCS and may be reproduced. The LPA completes Parts I and III, showing the acreage of new right-of-way and borrow areas, and submits three copies to NRCS. The submittal should request NRCS to fill out Parts II, IV, and V. NRCS assistance in filling out Part VI can also be requested, if desired. The LPA shall also ask NRCS to advise whether any land considered to be farmland is subject to any state or local government policy or programs to protect farmland.

The LPA must complete the form after NCRS returns it. If the total rating exceeds 160 points, the FPPA mandates further consideration of protection. Using the bottom portion of Form AD-1006 labeled “Reason for Selection,” the LPA will document why this site was selected over the other alternative sites and submit one copy of the form along with the preliminary layout. This completes the processing. Under present directives, the LPA will have satisfied the requirements by considering the impact of converting any farmland to non-agricultural use and submitting the completed form. If the project is classified as other than a categorical exclusion, the completed form must be included in the EIS or EA.

==136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)==

[http://www.fhwa.dot.gov/environment/environmental_justice/overview/ Title VI of the Civil Rights Act of 1964 and Executive Order (EO) 12898 on Environmental Justice] apply to all programs and activities of federal-aid recipients, subrecipients, and contractors whether the programs and activities are federally funded or not. Environmental justice should be considered in all project development decisions regardless of the NEPA classification.

Compliance with Title VI and EO 12898 during the NEPA process includes fully identifying social, economic and environmental effects; considering alternatives; coordinating with agencies; involving the public; and utilizing a systematic interdisciplinary approach. Potential impacts to the human environment should drive the transportation decision-making process as much as potential impacts to the natural environment and comparable consideration is to be given to both impacts to the natural and human environment. The final decisions on any proposed project on any federal-aid system are to be made in the best overall public interest, taking into consideration the need for fast, safe and efficient transportation, public services, and the costs of eliminating or minimizing possible adverse economic, social, and environmental effects. Compliance with EO 13166 on Limited English Proficiency should also be considered.

Community impact assessment is key to avoiding the potential for discrimination or disproportionately high and adverse impacts. The LPA will provide a brief description of impacts, if any, to minorities, low-income populations, and the community in general. Most projects will be small and will have minimal to no impacts. If there are any commercial or residential displacements, the following text must be included in the NEPA documentation:

:The acquisition and relocation of affected residential and commercial properties will be conducted in accordance with the relocation procedures established in the Uniform Relocation Assistance and Real Property Acquisition Policies Act (referred to as the Uniform Act) of 1970, as amended. The Uniform Act and Missouri state laws require that just compensation be paid to the owner(s) of private property taken for public use. The Uniform Act is carried out without discrimination and in compliance with Title VI (the Civil Rights Act of 1964), the President’s Executive Order on Environmental Justice, and the Americans with Disabilities Act.

The LPA must provide relocation services to all impacted households without discrimination under guidance of the Uniform Act. Additional information concerning [http://www.fhwa.dot.gov/environment/environmental_justice/ej_at_dot/ environmental justice] and [http://www.fhwa.dot.gov/environment/community_impact_assessment/index.cfm community impact assessment] is available.

Guidelines regarding public involvement can be found in [[:Category:129 Public Involvement|EPG 129 Public Involvement]]. These guidelines are not to be viewed as all-inclusive. Instead, they outline the minimum level of expectations for public involvement, with each individual effort matching the specific needs of the project and the community involved. Public involvement efforts based on environmental document type can be found in [[:Category:129 Public Involvement#129.4 Public Involvement Based on Environmental Document Type|EPG 129.4 Public Involvement Based on Environmental Document Type]]. Documentation is key and any outreach must be documented in the project files and the Request for Environmental Review (RER).

==136.6.4.13 Noise Standards and Noise Abatement==

Federal legislation in 1970 authorized the use of federal-aid highway funds for measures to abate and control highway traffic noise. MoDOT has a federally approved [[127.13 Noise|traffic noise policy]] to define and conform to the requirements of [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=ae7cf57d9d28b534abe1c23c25349e64;rgn=div5;view=text;node=23%3A1.0.1.8.44;idno=23;cc=ecfr Article 772, Code of Federal Regulations (23 CFR 772)] and the noise-related requirements of NEPA. The guidelines in the MoDOT Noise Policy are used to determine the need, feasibility, and reasonableness of noise abatement measures and provide the basis for statewide uniformity in traffic noise analysis. The LPA must use MoDOT’s FHWA-approved noise policy. Refer to [[127.13 Noise|EPG 127.13 Noise]].

==136.6.4.14 Air Quality Requirements==

The Clean Air Act defines requirements for transportation project air quality analysis. In Missouri, requirements are met through conformity demonstrations with established emission budgets contained in the State Implementation Plan (SIP). This process involves projects meeting the definition of "regionally significant" as described in 23 CFR 450.104. At a minimum, this includes all principal arterial highways and all fixed guideway transit facilities that offer a significant alternative to regional highway travel and would normally be included in the modeling of a metropolitan area’s transportation network. Generally, LPA projects will not meet the definition of "regionally significant" and the appropriate response for TIP Number on the Request for Environmental Review (RER) form is “N.A.” In the event a local project is determined to be regionally significant, conformity will be demonstrated through an established process for inclusion in a metropolitan Transportation Improvement Program (TIP).

=136.6.5 Environmental Assessment (EA)=

An EA is prepared when there is uncertainty about the significance of the impacts from a project. FHWA generally expects an EA for two-lane relocation projects and often for add-a-lane projects on new right of way; other types of projects may also require an EA. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EA sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion. An EA describes a project’s purpose and need, identifies the alternates that are being considered, and discusses the expected impacts. It should discuss all topics required by FHWA regulations and guidance but should discuss in detail only those where there is potential for a significant impact. The EA should be concise and should not contain long descriptions or include detailed information that may have been gathered or analyses that may have been conducted for the proposed action. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EA and the format. The LPA must contact the MoDOT district contact if a significant impact is identified at any time during the preparation of an EA. FHWA will determine whether an EIS needs to be prepared.

The LPA should begin consultation (through either early coordination or a scoping process) with interested regulatory agencies and others at the earliest appropriate time, to advise them of the scope of the project. This consultation will help determine those aspects of the proposed action with potential for social, economic, or environmental impact and will identify other environmental review and consultation requirements that are performed concurrently with the EA. Agencies with jurisdiction by law, such as the COE or the FWS, must be invited to become cooperating agencies. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating agencies and FHWA will send the letters. The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes. The EA must summarize the results of both agency consultation and public involvement. The LPA, or its consultant, will prepare a preliminary EA (pEA) that encompasses the following:

:* Finalize the location study with all alternates considered, including those discarded, depicted graphically.

:* Indicate the preferred alternate.

:* Evaluate all proposed reasonable alternates equally; the EA must include more than a single build alternative as well as the no build alternate. Reasonable alternates addressed in the EA are those that may be constructed in the event that the preferred alternate is not selected.

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification. Complete a Phase I archaeological survey for the preferred alternate. Identify all areas for which landowner access was denied or the survey was not conducted at the preliminary EA stage. Determine which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP). Submit all buildings, bridges, and culverts impacted by the preferred alignment, including those less than 50 years of age, to DNR’s State Historic Preservation Office (DNR-SHPO) for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pEA must include either a draft Memorandum of Agreement (MOA) or draft Programmatic Agreement (PA) identifying uncompleted or mitigation activities to be completed prior to project construction.

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for [http://www.modot.mo.gov/business/manuals/documents/FIG4-6R-2009usethisone.doc Section 4(f) protection], along with a statement as to the status of agency coordination on those impacts. The EA must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Identify any Section 6(f) resources the project will affect. Any Section 6(f)(3) Conversion Documentation required cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved FONSI signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams. Estimate the areas of wetlands in the project area for all alternatives using conventional mapping sources and windshield survey and document expected impacts.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either [[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating, Form AD-1006]] for site projects or [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy. The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pEA is provided to MoDOT for distribution to FHWA and any formal cooperating agencies (identified as such on the pEA cover sheet) for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pEA, the EA is ready for FHWA’s final review and approval, after which it is made available to the public as an FHWA document.

The EA must be made available for public inspection at the LPA’s office and at the appropriate FHWA field offices as described in the next two paragraphs of this section. Although it is not a federal requirement that the document be circulated for comment, the LPA is encouraged to provide the EA to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send notice of availability of the EA, briefly describing the project and its impacts, to the affected units of federal, state, and local government and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

MoDOT’s normal practice is to hold a location public hearing for all EAs. Although FHWA regulations do not require public hearings for EAs, the FHWA encourages them on most EAs. For specific EAs depending on the situation, the FHWA division office may require a public hearing after signing the EA and before signing the FONSI. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. When a public hearing is held as a part of the application for federal funds, the EA must be available at the public hearing and at the LPA’s office and at the appropriate FHWA field offices for a minimum of 15 days in advance of the public hearing. The notice of the public hearing in local newspapers must announce the availability of the EA and where it may be obtained to review. The notice will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the availability of the EA unless FHWA determines that a different period is warranted.

When a public hearing is not held, the LPA must place a notice similar to a public hearing notice and at a similar stage of project development in the local newspapers, advising the public of the EA’s availability at the LPA’s office and at the appropriate FHWA field offices and where to obtain information concerning the project. The notice must invite comments from all interested parties. It will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the publication of the notice unless FHWA determines that a different period is warranted.

==136.6.5.1 Findings of No Significant Impact (FONSI)==

Once the 30-day public comment period has ended and all comments from the public and other agencies have been collected, the LPA or its consultant prepares a Finding of No Significant Impact (FONSI). The FONSI should summarize any public and/or agency coordination that occurred after the EA was signed. The FONSI must satisfactorily address all substantive comments on the EA provided during the 30-day comment period, including those from other agencies, the general public, and as a result of the public hearing. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the FONSI. The FONSI must describe any changes to the EA-designated preferred alternate and document any additional impact analyses performed for the final, selected alternate.

The FONSI must also document compliance with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met and briefly present why the action does not have a significant impact. If the proposed project will adversely impact any NRHP-eligible sites or historical structures, either an MOA or a PA executed by the DNR-SHPO, FHWA, Advisory Council on Historic Preservation (ACHP), and the LPA must accompany the letter. The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire. Accompanying documentation must also include the Final Section 4(f) Evaluation, when required, for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

When the FONSI is completed and the listed items are included, the documentation (with a signature page) is provided to MoDOT for distribution to FHWA (and to cooperating agencies for their review and comment if the selected alternate differs from the EA-designated preferred alternate).

If the FONSI is for a new controlled access freeway, a highway project of four or more lanes on a new location, or other action described in 23 CFR §771.115a, the letter to FHWA and accompanying documentation described above must also be made available for public review, including affected units of government, for a minimum of 30 days before FHWA issues a FONSI for the project. A notice similar to that for a public hearing must announce the availability of the documentation. If at any point in the EA process, FHWA determines that the action is likely to have a significant impact, the LPA will be required to prepare an EIS.

FHWA will review the FONSI, accompanying documentation, and any public hearing comments and other comments received regarding the EA. If FHWA determines after reviewing the documentation that there are no significant impacts associated with the project, the FONSI will be signed and a copy of the signed FONSI will be returned to the LPA.

After FHWA issues a FONSI, the LPA is encouraged to provide the FONSI to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send a notice of availability of the FONSI to the affected units of federal, state, and local government and the FONSI shall be available from the LPA and FHWA upon request by the public. Notice of availability is also sent to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

==136.6.5.2 Timeframes==

The project schedule should allow about two years for obtaining a FONSI.

=136.6.6 Environmental Impact Statement (EIS)=

==136.6.6.1 Draft Environmental Impact Statement==

An EIS is prepared for projects that have clearly identified and significant social, economic, or environmental impacts. FHWA indicates that an EIS is required for four-lane relocations as well as for major bridges or projects that are controversial. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EIS sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion.

An EIS describes a project’s purpose and need, identifies the alternates being considered, and discusses expected impacts in detail. To the extent possible, it also indicates compliance with other regulations. The EIS includes procedures to minimize harm and details mitigation measures and all other environmental commitments. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EIS and the format.

When FHWA determines that an EIS is required, the LPA will prepare and FHWA will issue a Notice of Intent for publication in the ''Federal Register''. LPAs are encouraged to announce the intent to prepare an EIS by appropriate means at the local level.

After publication of the Notice of Intent, the LPA will begin a scoping process to aid in identifying the range of alternatives and impacts and the significant issues to be addressed in the EIS. Scoping is normally achieved through public and agency involvement procedures. If a scoping meeting is to be held, it will be announced in the FHWA’s Notice of Intent and by appropriate means at the local level. Agencies with jurisdiction by law must be requested to become cooperating agencies. Section 6002 (Efficient Environmental Reviews for Project Decision Making) of the Safe, Accountable, Flexible, and Efficient Transportation Equity Act of 2003 (SAFETEA-LU) updates the environmental review process by adding a new category of “participating agencies” for federal, state, and local agencies and tribal nations that have an interest in the project. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating and/or participating agencies as appropriate and FHWA will send the letters.

The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes.

Section 6002 stipulates that both participating agencies and the public will be given the opportunity to comment on the purpose and need and range of alternatives for a project. Previously only cooperating agencies were offered such an opportunity. Section 6002 also mandates establishing a coordination plan for agency and public participation and comment. Further information on the SAFETEA-LU environmental review process can be found in FHWA’s [http://www.fhwa.dot.gov/hep/section6002/ SAFETEA-LU ENVIRONMENTAL REVIEW PROCESS FINAL GUIDANCE, Publication L 109-59, November 15, 2006].

The LPA or its consultant will prepare a preliminary Draft EIS (pDEIS) that evaluates all reasonable alternatives to the action and discusses the reasons why other alternatives that may have been considered were eliminated from detailed study. The pDEIS also summarizes the studies, reviews, consultation, and coordination required by environmental laws or Executive Orders to the extent appropriate at this stage in the environmental process. A pDEIS requires completing the following work:

:* Finalize the location study; all alternates considered, including those discarded, must be depicted graphically in the document.

:* Indicate a preferred alternate if one stands out.

:* Evaluate all proposed reasonable alternates equally. Reasonable alternates addressed in the EIS are those that may be constructed in the event that the preferred alternate is not selected. (Provisions of SAFETEA-LU allow FHWA to decide whether the preferred alternative may be developed to a higher level of design detail to facilitate either the development of mitigation measures or compliance with other environmental laws. See FHWA’s 2006 SAFETEA-LU FINAL GUIDANCE, as cited previously, for details.)

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP).

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for Section 4(f) protection, along with a statement as to the status of agency coordination on those impacts. The DEIS must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Note the presence of any potential Section 6(f) resources. If Section 6(f)(3) Conversion Documentation is required, it cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved ROD signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams and possible impacts to them.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either Form AD-1006 for site projects or Form SCS-CPA-106 for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy.

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts, and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pDEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pDEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pDEIS, the DEIS is ready for FHWA’s final review. The FHWA, when satisfied that the DEIS complies with NEPA requirements, will approve the DEIS for circulation by signing and dating the cover sheet.

The LPA is responsible for printing the DEIS in sufficient quantity to accommodate circulation to those entities listed in the document as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the DEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

Once FHWA signs the DEIS, public and agency comments must be requested. The LPA, on behalf of FHWA, circulates the approved DEIS to federal and state agencies, local entities, elected officials, and others as appropriate for their review and comment. Upon circulation of the approved DEIS to the Environmental Protection Agency (EPA), the EPA publishes a Notice of Availability (NOA) in the Federal Register. Copies of the approved DEIS are also provided for public viewing and copying in the LPA’s office and other public repositories such as libraries and city or county offices. The DEIS must be made available to the public and transmitted to agencies for comment no later than the time the document is filed with the Environmental Protection Agency. The DEIS shall be transmitted to:

:1. Public officials, interest groups and members of the public known to have an interest in the proposed action or the DEIS;

:2. Federal, state and local government agencies expected to have jurisdiction or responsibility over, or interest or expertise in, the action. Copies are provided directly to appropriate state and local agencies and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372; and

:3. States and federal land management entities that may be significantly affected by the proposed action or any of the alternatives. These copies shall be accompanied by a request that such state or entity advise the FHWA in writing of any disagreement with the evaluation of impacts in the statement. FHWA will furnish the comments received to the LPA along with a written assessment of any disagreements for incorporation into the final EIS.

The ''Federal Register'' NOA initiates a period of no less than 45 days for the return of comments on the DEIS. The notice and the DEIS transmittal letter must identify to whom comments may be sent.

A location public hearing is generally held for all projects requiring an EIS. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. The DEIS shall be available at the public hearing and for a minimum of 15 days in advance of the hearing. The availability of the DEIS shall be mentioned and public comments requested in any public hearing notice and at any public hearing presentation. If a public hearing on an action proposed for FHWA funding is not held, a notice shall be placed in newspaper similar to a public hearing notice advising where the DEIS is available for review, how copies may be obtained, and where the comments will be sent.

==136.6.6.2 Final Environmental Impact Statement==

After circulation of a DEIS, when the 45-day comment period has ended and all comments from the public and other agencies have been collected, a preliminary Final EIS (pFEIS) is prepared. The FEIS identifies the preferred alternative and evaluates all reasonable alternatives considered. It should also discuss substantive comments received on the DEIS and responses thereto, summarize public involvement, and describe the mitigation measures that are to be incorporated into the proposed action. Mitigation measures presented as commitments in the FEIS must be implemented with the project. The following items of work are completed as part of the pFEIS:

:* All substantive comments gathered on the DEIS during the 45-day comment period, including those from other agencies, the general public, and as a result of the public hearing, must be satisfactorily addressed. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the pFEIS.

:* A preferred alternate must be declared.

:* A Phase I archaeological survey must be completed for the preferred alternate(s) and all areas for which landowner access was denied or the survey was not conducted should be identified. A determination should be made of which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* All buildings, bridges, and culverts impacted by the preferred alignment that were not previously reviewed by the DNR’s State Historic Preservation Office (DNR-SHPO), including those less than 50 years of age, must be submitted to DNR for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pFEIS must include either a Memorandum of Agreement (MOA) or a Programmatic Agreement (PA) executed by the DNR-SHPO, FHWA, the LPA, and the Advisory Council on Historic Preservation (ACHP) (all PAs; MOAs if it chooses to participate). The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire.

:* A Final Section 4(f) Evaluation, when required, must be included in the pFEIS for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

:* Identify any Section 6(f) resources the project will affect. Elements of the Section 6(f)(3) Conversion Documentation may be assembled during preparation of the NEPA document, even though the Section 6(f) document cannot be completed until the NEPA decision document has been issued.

:* A preliminary jurisdictional wetland and stream delineation is conducted in the project area for the preferred alternative and expected impacts are documented.

:* Identify whether any consultation with the U.S. Fish and Wildlife Service is required to address threatened or endangered plant and/or animal species within the project limits and any conservation measures resulting from the consultation.

:* The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

The FEIS will also document compliance, to the extent possible, with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met. Every reasonable effort shall be made to resolve interagency disagreements on actions before processing the FEIS. If significant issues remain unresolved, the FEIS must identify those issues and the consultations and other efforts made to resolve them. When the listed items are completed and included in a preliminary FEIS, the pFEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pFEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pFEIS, the FEIS is ready for FHWA’s final review and approval. The FEIS will be reviewed for legal sufficiency prior to FHWA approval.

FHWA will indicate approval of the FEIS for an action by signing and dating the cover page. Approval of the FEIS does not commit the FHWA to approve any future request to fund the preferred alternative.

The LPA should print a sufficient quantity of the FEIS to accommodate circulation to the appropriate entities as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the FEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

When sufficient copies of the approved FEIS are transmitted to FHWA, FHWA circulates the document to the EPA along with an NOA to be published in the ''Federal Register''. Publication of the NOA initiates a 30-day comment period on the FEIS. The LPA circulates the approved FEIS for review and comment to any persons, organizations, or agencies that made substantive comments on the DEIS or requested a copy, no later than the time the document is filed with EPA. In the case of lengthy documents, the agency may provide alternative circulation processes. The LPA shall also publish a notice of availability in local newspapers and make the FEIS available through the mechanism established pursuant to DOT Order 4600.13 which implements Executive Order 12372. When the FEIS is filed with EPA, it must be available for public review at the LPA’s offices and at appropriate FHWA offices. A copy will also be made available for public review at institutions such as local government offices, libraries, and schools, as appropriate.

=136.6.7 Record of Decision (ROD)=

Substantive comments received on the FEIS are addressed in a Record of Decision (ROD) prepared by the LPA. The ROD also discusses the alternates that were considered for the project, identifies the selected alternate, and discusses why this alternate was selected. The ROD discusses commitments made in the document, including the measures that have been adopted to minimize harm, such as mitigation plans, and details any monitoring and enforcement program, if applicable. After comments are satisfactorily addressed, the ROD is presented to FHWA for approval. Once the ROD is signed by FHWA, the LPA can approve the location of the project and begin detailed design.

The timeframe for completing the EIS process varies. The timeline for completing consultant-prepared EISs is a negotiated item within the scope of work. A good rule of thumb is to allow at least 3 years to get to an approved ROD.

=136.6.8 Supplemental Environmental Impact Statements=

A DEIS, FEIS or supplemental EIS may be supplemented at any time. An EIS shall be supplemented whenever FHWA determines that:

:1. Changes to the proposed action would result in significant environmental impacts that were not evaluated in the EIS; or

:2. New information or circumstances relevant to environmental concerns and bearing on the proposed action or its impacts would result in significant environmental impacts not evaluated in the EIS.

Where FHWA is uncertain of the significance of the new impacts, the LPA will develop appropriate environmental studies or, if FHWA deems appropriate, an EA to assess the impacts of the changes, new information, or new circumstances. If based upon the studies, FHWA determines that a supplemental EIS is not necessary, FHWA shall so indicate in the project file.

A supplement is to be developed using the same process and format (i.e., draft EIS and final EIS as an original EIS except that scoping is not required.

In some cases a supplemental EIS may be required to address issues of limited scope, such as the extent of proposed mitigation or the evaluation of location of design variations for a limited portion of the overall project. Where this is the case, the preparation of a supplemental EIS shall not necessarily:

:1. Prevent the granting of new approvals;

:2. Require the withdrawal of previous approvals; or

:3. Require the suspension of project activities; for any activity not directly affected by the supplement. If the changes in question are of such magnitude to require a reassessment of the entire action, or more than a limited portion of the overall action, FHWA shall suspend any activities that would have an adverse environmental impact or limit the choice of reasonable alternatives, until the supplemental EIS is completed.

More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.130.pdf detailed discussion of supplemental NEPA documents] can be found on FHWA’s web site.

=136.6.9 Re-evaluations=

If an acceptable FEIS is not submitted to the Federal Highway Administration (FHWA) within 3 years from the date of the DEIS circulation, the LPA shall prepare a written reevaluation of the DEIS in cooperation with FHWA. This reevaluation is used to determine whether a supplement to the DEIS or a new DEIS is needed.

A written reevaluation of the FEIS may be required before further approvals are granted if major steps to advance the action (e.g., authority to undertake final design, authority to acquire a significant portion of the right-of-way, or approval of the plans, specifications, and estimates) have not occurred within three years after the approval of the FEIS, final EIS supplement, or the last major FHWA approval or grant.

Factors such as noteworthy changes in the scope and/or location of the project, whether the project is active or inactive, and changes in environmental laws or regulations can also require a NEPA document reevaluation. Once completed and approved, a NEPA document has a limited shelf life of three years, even when portions of the project are under construction or have already been constructed, as is often the case for lengthy corridor projects. After approval of the ROD, FONSI or CE designation and prior to requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

Whenever the project scope or location changes, the LPA will submit to the MoDOT district contact a Request for Environmental Review (RER) form that describes and shows the changes. Based on that information, the project will be reexamined to determine whether the proposed changes require a reevaluation. When a reevaluation is needed, the LPA prepares the reevaluation documentation. In most cases, the reevaluation is submitted to the FHWA for review and approval. Documentation for reevaluations is based on the original NEPA document type. If the original NEPA document was an EA or EIS, the LPA prepares a letter documenting the reevaluation and submits it to MoDOT for FHWA’s review and approval. Some projects with original NEPA classifications as CEs may also require reevaluations in the form of a letter. FHWA does not routinely require reevaluations in the form of supplemental EAs or EISs. More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.129.pdf detailed discussion of NEPA reevaluations] can be found on FHWA’s web site.

[[Category:136 Local Public Agency (LPA) Policy|136.06]]

LPA:136.13 LPA Policy Changes

2021-05-14T15:16:37Z

Bramar12:

5/14/21: At the end of the last paragraph of [[LPA:136.6 Environmental and Cultural Requirements#In making a de minimis|EPG 136.6.4.2.3 De Minimis Determination]], clarified that the public must be able to review the effects of the project on the Sec 4f property.

5/11/21: New guidance is now available at [[LPA:136.8 Local Public Agency Land Acquisition#136.8.7.5 Administrative Settlements|EPG 136.8.7.5 Administrative Settlements]] for making administrative settlements, preparing a letter of justification and other considerations.

5/10/21: The [[media:146 CUF After Mar 2021.pdf|Commercially Useful Function (CUF) Determination Form]], discussed in [[LPA:136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], has been revised with more open ended questions that assist in determining whether a DBE is performing a Commercially Useful Function. The form now includes a field observation section for inspectors to note what they saw in the field.

4/27/21: The former EPG 136.7.3.1.2.1.11 Buy America Requirements was deleted since the Buy America JSP is now in the spec book. The new guidance in [[LPA:136.7 Design#136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)|EPG 136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)]] presents the requirement for the use of the Supplemental Revisions JSP.

4/20/21: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], has been updated to current practice.

2/19/21: [[media:136.9.4 Mar 2021.docx|Fig. 136.9.4, ADA Checklist]] was updated. On Page 15 of the checklist, the force to activate Accessible Pedestrian Signal pushbuttons was revised as was their minimum distance from the curb line and their height from the ground. On both Page 15 and 16, guidance was more closely tied to compliance with the EPG.

2/18/21: Contact information has been updated in [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].

1/15/21: At the bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.1 Introduction|Key Environmental/Cultural Resources Compliance Milestones]] table, added Public Involvement information. Also, clarified that public involvement is needed with the RER in a new paragraph at bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)|EPG 136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)]].

11/23/20: Guidance was expanded in [[LPA:136.11 Local Public Agency Construction#136.11.13 Documentation Requirements|EPG 136.11.13 Documentation Requirements]] through [[LPA:136.11 Local Public Agency Construction#136.11.13.2 Payment Diaries|EPG 136.11.13.2 Payment Diaries]]. MoDOT will no longer be approving specific software for use; the LPA must ensure the software chosen meets the outlined criteria. Guidance about what should be documented in the construction diaries was clarified in [[LPA:136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]].

9/30/20: Guidance for the A-date process in [[LPA:136.8 Local Public Agency Land Acquisition#Square 14|EPG 136.8.1.6 Local Public Agency - Right of Way and Easement Acquisition, "Square 14"]] and the first and third paragraphs of [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] has been clarified and updated to reflect current policy and processes.

9/2/20: Clarified [[media:136.4.7 2020.docx|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], by adding "Remove note before posting" to instructions just below the table on the second page.

8/13/20: The seventh paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.6 Base Floodplain and Regulatory Floodway|EPG 136.6.4.6 Base Floodplain and Regulatory Floodway]] was revised to make CFR requirements more apparent.

7/14/20: Minor updates were made to Fig. 136.9.3, Federal Project Bid Proposal Boilerplate.

7/9/20: The last sentence of the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)|EPG 136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)]] is new guidance about how to fill out Fig. 136.9.9, DBE Submittal Forms. Fig. 136.9.3, Federal Project Bid Proposal Boilerplate and Fig. 136.9.9, DBE Submittal Forms were also updated.

7/1/20: In the second paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]], guidance was clarified, now including submitting a copy of the supplemental to the ECR email group.

6/23/20: The second sentence in the first paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] was added to clarify guidance about an LPA disqualifying a consultant.

6/18/20: Guidance in [[LPA:136.6 Environmental and Cultural Requirements#136.6.3 Categorical Exclusion (CE)|EPG 136.6.3 Categorical Exclusion (CE)]] was updated with the FHWA agreement requirements.

6/17/20: The process in [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] has dramatically changed. MoDOT has hired a consultant to provide oversight the Local Public Agency’s Section 106 compliance. The EPG directed the LPA to send a Project Information form to the SHPO to start the Section 106 process. That is no longer required. The new approach is for the LPA to submit a Request for Environmental Review to MoDOT.

5/1/20: In [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.7 Inspection of Documents|EPG 136.8.2.7 Inspection of Documents]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.8 Federal Project Number|EPG 136.8.2.8 Federal Project Number]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] and [[LPA:136.8 Local Public Agency Land Acquisition#136.8.10.1 General|EPG 136.8.10.1 General]], guidance has been added about the documentation MoDOT RW staff is to enter into the LPA State Management System Application (SMS). Also, In EPG 136.8.2.2 Acquisition Authority, the LPA may now request an A-date by submitting only one set (instead of two sets) of completed right of way plans.

12/16/19: In [[LPA:136.4 Consultant Selection and Consultant Contract Management#A consulting engineering firm|EPG 136.4.1.6 Conflict of Interest]], clarified guidance by adding information pertaining to when a consultant acts as a city engineer.

9/18/19: Numerous minor revisions were made in [[LPA:136.3 Federal Aid Basics#136.3.8.4 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.4 Bridge Engineering Assistance Program (BEAP)]] as the new BEAP contract goes into effect. Two BEAP documents (Figs. 136.3.19 and 136.3.20) were updated while two BEAP figures (Fig. 136.3.22 Estimate of Cost and Fig. 136.3.23 General Scope of Services) were deleted.

9/6/19: In [[LPA:136.11 Local Public Agency Construction#Change Order Level 1|EPG 136.11.15.2 Change Order Approval]], the LPA change order approval process was updated to current practice. The MoDOT signature is needed for Level 1 change orders and an FHWA review is only required on Change Order Level 2 PODI projects.

8/21/19: The link to the TSP was updated in the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.16 On the Job Training (OJT) (23 CFR Section 230)|EPG 136.9.4.1.1.16 On the Job Training (OJT)]].

7/22/19: In [[media:136.9.1 2019.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], checklist guidance related to wage rates was updated.

7/22/19: As a convenience, guidance for LPAs to access federal emergency relief has been expanded in [[LPA:136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]].

7/22/19: In [[LPA:136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]], guidance for LPA programs that are no longer in use was deleted. Also, guidance was updated to accommodate revisions in the FAST Act.

5/20/19: In [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species and Migratory Birds|EPG 136.6.4.5 Threatened and Endangered Species and Migratory Birds]], guidance for the Threatened and Endangerd process was clarified throughout. New (and currently used) guidance, [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5.3 Migratory Birds|EPG 136.6.4.5.3 Migratory Birds]] was also added. [[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]] replaced the old Fig. 136.6.18 LPA Environmental RER T&E Guidance, and [[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]] was added.

5/14/19: In [[LPA:136.6 Environmental and Cultural Requirements#On linear transportation projects|EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams]], guidance was clarified to attach to RER for documentation purposes.

1/16/19: [[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]], was updated.

1/15/19: In [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training]], the listing of the web-based NHI courses was updated.

1/11/19: A sentence was added to the end of the first paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]] to clarify NEPA information. This info referencing documentation involved when more than one acre is planned to be disturbed was added at the request of the FHWA.

11/30/18: [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.13 Noise Standards and Noise Abatement|EPG 136.6.4.13 Noise Standards and Noise Abatement]] was significantly simplified to reflect that LPAs must use MoDOT’s FHWA-approved noise policy.

11/20/18: [[media:136.8.8.docx|Clearance Certification Statement (Form 136.8.8)]] was slightly modified by replacing "free deed" with "donation".

11/14/18: In [[LPA:136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]] and [[LPA:136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]], archaic contract links and listings were removed. Also, in EPG 136.3.13 Agreements, a reference to the CCO site was replaced with a link to EPG 153 Agreements and Contracts.

10/26/18: Updated the documentation processes to current practices and updated the requirements of new laws and regulations. Much of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3] was revised as was "Permits for Land Disturbance" in [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8], the last paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], the third paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2], and [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.14_Air_Quality_Requirements EPG 136.6.4.14]. Fig. 136.6.1, Project Review Process flowchart, Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones, Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist and Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way were also updated. Fig. 136.6.16 was re-labeled as "LPA Project Checklist for Adverse Effects".

4/10/2018: In the second paragraph of [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)|EPG 136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)]], guidance was added about including the correct wage rate order from the Dept. of Labor on LPA projects. If an updated wage rate order has been issued within 10 days of the project letting, the updated version has typically not been included in the project documents. This is allowed, however the requirement states that if the agency finds that sufficient time is not afforded to include the updated wage order, then this finding and reasoning must be included in the individual project records.

3/29/18: Procedures in Section 106 (Cultural Resource) Compliance were clarified at the bottom of the second paragraph of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] and in the first sentence of [[136.6 Environmental and Cultural Requirements#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

3/29/18: Removed second sentence of the second paragraph ("In figuring the percentage of the contract work performed, all prices for sublet work shall be at contract unit bid prices.") from [[136.11 Local Public Agency Construction#136.11.5 Subcontracts |EPG 136.11.5 Subcontracts]]. The sentence was outdated.

3/26/18: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4 How to Complete the Request for Environmental Review]] was updated.

1/24/18: In [[136.2 Certification and Training|EPG 136.2 Certification and Training]], the contact information for the Technician Certification Program was updated.

12/26/17: [[media:Fig.136.3.24 2017.docx|Fig. 136.3.24, TEAP Program Application]] was updated. Also, in [[136.3 Federal Aid Basics#136.3.8.11.1 Introduction|EPG 136 136.3.8.11.1 Introduction]] and [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]], guidance was slightly expanded to accommodate the changes in the TEAP Program Application.

12/14/17: [[media:Fig.136.3.20 2019.docx|Fig. 136.3.20, BEAP Project Tracking Form]] was updated. Also, Gabe Wolken was added as a contact for BEAP information in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

11/30/17: In [[136.3 Federal Aid Basics#136.3.15.2 Audit and Final Reimbursement|EPG 136.3.15.2 Audit and Final Reimbursement]], the sentence stating the LPAs must supply a copy of the final audit report to the MPOs was removed.

11/13/17: Guidance in [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] was expanded since the FAST Act has extended eligibility for some programs. Eligibility to nonprofits in the large MPOs (Kansas City, St. Louis and Springfield) is now allowed.

11/1/17: A link was updated in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

10/31/17: [[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]] was updated with new “Whereas” clauses to address issues brought up by FHWA and the Advisory Council over the last few years.

9/20/17: The Subcontractor Disclosure in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated to reflect the current section of the Missouri Standard Specification for Highway Construction.

9/18/17: In [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]], the funding description and FFATA requirement were further clarified.

9/1/17: At the bottom of the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.5.2 Title Information|EPG 136.8.5.2 Title Information]], a sentence was added with a link to a checklist of items to determine property ownership for ADA projects.

6/29/17: A new PowerPoint, [[media:136.4.1.ppt|Consultant Inspection]], in [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.3 Construction Engineering/Construction Inspection (CE)|EPG 136.4.1.3.3 Construction Engineering/Construction Inspection (CE)]] provides guidance on how to solicit and procure a consultant for construction. Its guidance is primarily aimed at MoDOT Construction employees but may also be of assistance to others.

6/23/17: [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]] was updated to show the ''LPA Internal Procedures Manual'' requires LPAs submit the FFATA form with the programming data form.

6/9/17: Guidance for how to obtain additional help for environmental clearance of borrow sites and other land disturbance activities outside right of way was clarified in the fifth sentence of the first paragraph in [[136.6 Environmental and Cultural Requirements#136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way|EPG 136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way]].

5/24/17: Updated Fig. 136.3.20, BEAP Project Tracking Form with new contact information.

4/27/17: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], an archaic sentence was deleted that had required MoDOT to approve subcontracts.

3/28/17: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was revised to reflect changes made in the EPG on Wage Rates. State Only Prevailing wage option in section 9 was deleted.

1/5/17: In requirement #2 of [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], it was clarified that a firm is not required to submit a certificate of authority to become prequalified when it does work outside the jurisdiction of the MO Board for APEPLSPLA.

1/4/17: In [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], minor clarifications based on the new stormwater permit have been made. This includes new guidance, "Individual State Operating Permit for TS4".

12/27/16: Updated [[media:136.3.1 2016.doc|Fig. 136.3.1, Programming Data Form]], with additional information.

11/17/16: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated to reflect the current versions of the MoDOT specs and standard plans.

10/20/16: In [[136.6 Environmental and Cultural Requirements#136.6.2 National Environmental Policy Act (NEPA) Classification|EPG 136.6.2 National Environmental Policy Act (NEPA) Classification]], a clarifying sentence was added in the first paragraph to help LPAs find info in [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]].

10/6/16: Fig. 136.6.4 LPA Request for Environmental Review (RER) was eliminated and replaced with a [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f link to the new RER]. Also, in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], federal wage rate language was removed to make guidance stay current with federal regulations.

9/6/16: The former prorata tax form (7-22.2C) was updated so as to be only for the LPAs. It was also relabeled as [http://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx Local Public Agency Prorata Real Estate Tax Claim (Form 136.8.7.1.11)].

9/2/16: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], the need for a performance/contract bond in the executed construction contract for LPA projects was clarified.

7/22/16: A minor revision to [[media:136.10.2 2016.doc|Fig. 136.10.2, Bid Concurrence Checklist]] was made so that asterisks are no longer to be shown by items that DBE will perform.

7/5/16: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the $25,000 contract threshold was removed from the certification requirements for suspension and debarment to make guidance consistent with consultant contract language.

6/23/16: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was added to clearly indicate that subcontracts require FHWA Form 1273.

6/15/16: In [[136.11 Local Public Agency Construction#136.11.13.4 Erosion Control|EPG 136.11.13.4 Erosion Control]], the outdated link to the "Erosion Control Inspection Record" was replaced with a link to "Land Disturbance Inspection Record".

6/2/16: [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], was clarified.

5/27/16: Guidance in [[136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species|EPG 136.6.4.5 Threatened and Endangered Species]] was expanded and clarified. The new [[media:136.6.18.docx|Fig. 136.6.18, LPA Environmental RER T&E Guidance]] was also added. Also, in Articles XVI and XVII of [[media:Fig. 136.4.1 May 2016.docx|Fig. 136.4.1, Engineering Services Contract]], references were added to Title VI and ADA requirements.

5/19/16: In [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], the previous Fig. 136.6.4 was replaced with a new link, [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]. The new [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents updated instructions.

5/13/16: Updated the [[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]] and [[media:136.11.23 2016.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] in EPG 136.11. [[media:136.11.3 2016.pdf|Fig. 136.11.3, Progress Report]] was made a fillable form.

4/29/16: In the last sentence of [[136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]], "free" was removed from the description of NHI training courses, since not all of them are now free.

4/27/16: Deleted Fig. 136.11.17 Semi-Final Inspection Letter since it was redundant to Fig. 136.11.23 LPA Semi-Final Inspection Checklist (Form C-236). [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] was revised to reflect this change.

4/1/16: There were numerous updates in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]] to reflect current practices. In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]], the use of the Parcel File Checklist was deleted. In the second paragraph, the record retention period of 3 years was revised to begin when the project closure action is submitted to the FHWA. In [[136.8 Local Public Agency Land Acquisition#136.8.6.3.1.20D.9 Manufactured Homes|EPG 136.8.6.3.1.20D.9 Manufactured Homes]], the determination of whether a mobile home is personalty was clarified. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.1.2 Negotiator's Report|EPG 136.8.7.1.2 Negotiator's Report]], the Parcel File Checklist, the Negotiator's Report form and the Negotiator's Narrative no longer should be attached to the cover of each parcel file. In [[136.8 Local Public Agency Land Acquisition#136.8.8.3 Use of a Fee Attorney or Special Counsel|EPG 136.8.8.3 Use of a Fee Attorney or Special Counsel]], the permissible use of a Fee Attorney was introduced and defined. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.9 Relocation Assistance|EPG 136.8.9 Relocation Assistance]], the quotation defining a displaced person was slightly modified. Finally, the term "taking" was replaced with "acquisition" in several locations within EPG 136.8.

3/24/16: Updated Fig. 136.3.20, BEAP Project Tracking Form.

3/4/16: Updated [[media:110.2 checklist 2016.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]].

3/3/16: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to reflect the recodified National Historic Preservation Act.

3/1/16: In [[136.7 Design#136.7.2.8 Proprietary Items |EPG 136.7.2.8 Proprietary Items]], a link to the Proprietary Item Library was inserted.

2/24/16: Guidance in [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]] was clarified by adding a reference to [[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was clarified by additional guidance and by renumbering the subarticles.

2/22/16: A link to [[media:136.11.23.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] was added and the guidance for it was clarified.

2/18/16: The former "Final Acceptance Checklist" was relabeled as the new [[media:136.11.22.docx|Fig. 136.11.22, LPA Final Acceptance Checklist]].

1/27/16: In [[media:Fig. 136.4.1 2016.docx|Fig. 136.4.1, Engineering Services Contract]], revised Article VII D.2, D.3 and E to indicate the overhead rate (OHR) established at the execution of the original contract shall be utilized throughout the life of the contract. This reduces potential errors caused by having to change the OHR on billing invoices every year based on audited OHR. Revision allows consultants to utilize one OHR throughout the life of the contract

1/26/16: Three archaic figures in EPG 136.3 Federal Aid Basics were removed: Fig. 136.3.5 HS 4, Safe Routes to School Program Agreement; Fig. 136.3.7 FS 12, Transportation Enhancement Funds Program Agreement and Fig. 136.3.8 FS 12 SUP, Transportation Enhancement Funds Supplemental Agreement. New link to Fig. 136.3.5, FS25, Transportation Alternatives Program added.

1/22/16: Four LPA agreements were updated: [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS11_STP_Urban_Program_Agreement.docx Fig. 136.3.6, FS 11, STP Urban Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS13_Off_System_Bridge_Replacement.doc Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS14_On_System_Bridge_Replacement.docx Fig. 136.3.10, FS 14, On-System Bridge Replacement and Rehabilitation Program Agreement] and [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS15_CMAQ_Program.docx Fig. 136.3.11, FS 15, Congestion Mitigation and Air Quality Agreement].

1/15/16: In [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]], the differences between corrections and exceptions were clarified. Also, a minor clarification updated [[media:136.11.9 2016.docx|Fig. 136.11.9, Contractor DBE Certification]].

1/14/16: [[media:136.4.11 2016.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was updated to reflect that Audits and Investigations Division no longer conducts pre-audits.

1/5/16: [[#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was revised to reflect current MoDOT requirements in Sec 107.4. Since the Safety Requirement JSP is no longer a JSP (it has been moved to Sec 107.4), reference to it was removed from the EPG text as well as from [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

1/4/16: In [[136.6 Environmental and Cultural Requirements#136.6.4.1 Section 106 (Cultural Resource) Compliance |EPG 136.6.4.1 Section 106 (Cultural Resource) Compliance]], the revision 1) addressed LPA questions and comments and 2) implemented change by the Advisory Council on Historic Preservation from hardcopy submittals to electronic submittals. The revision helps LPAs more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act. Also, added [[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]], [[media:136.6.16.pdf|LPA Project Checklist]] and [[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]] and the How-to tutorial, [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]. These changes will help LPA partners more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act.

12/30/15: A couple of typos were corrected in [[media:136.4.10 Dec 30 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]].

12/24/15: In [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]], new [[media:136.11.18.docx|Fig. 136.11.18, LPA Final Inspection Letter]], [[media:136.11.19.docx|Fig. 136.11.19, LPA Final List of Acceptance Testers]], [[media:136.11.20.docx|Fig. 136.11.20, LPA DBE Certification Letter]] and [[media:136.11.21.docx|Fig. 136.11.21, LPA Vendor Lien Waiver]] provide templates for consistent submittals by LPAs.

12/23/15: In [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was clarified to state that the LPA is responsible for assuring the subcontractors are qualified. Elsewhere in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], Fig. 136.11.6 was replaced with [[media:136.11.6 Dec 2015.pdf|Fig. 136.11.6, Subcontractor Certification Regarding Affirmative Action]]. [[media:136.11.4 2015.doc|Fig. 136.11.4, Request for Approval of Subcontract]], was updated with various clarifications. In [[media:136.11.5 Dec 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]], the Percent Sublet this Request equation was updated. Also, from EPG 136.4, various fields were updated in [[media:136.4.10 Dec 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], to eliminate calculation errors. Further, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated by removing JSP J. Final Payment Documents JSP. (This JSP was prematurely added to the boilerplate. Removal will eliminate confusion for LPA partners.) The new [[media:136.11.17.docx|Fig. 136.11.17, LPA Semi-Final Inspection Letter]], provides a template for consistent submittals by the LPAs.

11/24/15: In [[136.3 Federal Aid Basics#136.3.15.3 OMB Audit|EPG 136.3.15.3 OMB Audit]], to stay current with 2 CFR part 200, the federal expenditure amount was increased from $500K to $750K before an independent audit is required.

11/6/15: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was revised so that DBE Goals will now be established on LPA On-Call Consultant Contracts. This replaces the statewide programmatic goal and provides a level playing field for all on-call consultants in the utilization of DBEs. [[media:Fig. 136.4.1 Nov 2015.docx|Fig. 136.4.1's Attachment E Section 7]] modified to reflect that on-call consultant contracts now set DBE goals.

10/27/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.11 CE Funding Obligation|EPG 136.4.2.11 CE Funding Obligation]], verbiage in the first paragraph was deleted to align guidance to what is in [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract]] (Article VII, A).

10/21/15: [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]] was clarified, particularly guidance about "corrections" vs. "exceptions", for LPAs performing Final Acceptance of an LPA project.

10/20/15: In [[136.11 Local Public Agency Construction#136.11.18 Final Plans| EPG 136.11.18 Final Plans]], a reference to EPG 136.11.19 was added and a reference to Engineer on Record (EOR) removed to clarify the bridge plan Final Plans requirements.

10/20/15: For convenience, the [[media:146 CUF July 27 2015.pdf|Commercially Useful Function (CUF) Determination Form]] was added to the figure box at the top of [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

10/16/15: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to include the DBE JSP for Liquid Asphalt.

10/13/15: In [[136.7 Design#136.7.5.3 Incentive/Disincentive Provisions|EPG 136.7.5.3 Incentive/Disincentive Provisions]], renamed and updated the old FHWA Contract Administration Core Curriculum's link to a link to FHWA's Technical Advisory for Incentive/Disincentive for Early Completion.

10/1/15: In [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.5_Railroads EPG 136.7.2.5 Railroads] and the first paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.4_Railroads EPG 136.9.2.4 Railroads], guidance about railroad coordination (even if no railroads are impacted) was clarified to comply with the FHWA statement required for all fed-aid projects. FHWA policy now requires a specific "railroad status statement" from the LPA even when no railroads are affected by the project. Line 11 of [[media:136.9.1 Oct 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]] now requires supporting documentation for railroad impacts.

9/22/15: Guidance was updated to conform with new BEAP contract. In the fourth paragraph of [[136.3 Federal Aid Basics#Upon completion of the consultant's evaluation|EPG 136.3.8.10.3 Administration]], guidance was updated about where the report is sent. IRS mileage rates are specified in the third paragraph of [[136.3 Federal Aid Basics#136.3.8.10.4 Funding and Authorized Costs|EPG 136.3.8.10.4 Funding and Authorized Costs]]. In the third paragraph of EPG 136.3.8.10.4 Funding and Authorized Costs, it is now specified that the BEAP Project Tracking Form include a total cost for the project, including personnel costs as well as direct costs. In the first paragraph of [[136.3 Federal Aid Basics#136.3.8.10.5 General Process for a BEAP Study|EPG 136.3.8.10.5 General Process for a BEAP Study]], the process to submit the draft copy of a BEAP Study has been revised. In [[#136.3.8.10.6 Local Public Agency Responsibilities|EPG 136.3.8.10.6 Local Public Agency Responsibilities]], the LPA will now provide pictures of a structure that is not of the Nat'l Bridge Inventory. Also, in [[136.3 Federal Aid Basics#Whenever load rating calculations are done|EPG 136.3.8.10.7 Consultant Responsibilities]], the consultant is to provide inventory and operating ratings for the HS20 design vehicle and provide a load posting recommendation when load rating calculations are part of the BEAP Study. Finally, all of the BEAP documents (Figs. 136.3.19-136.3.23) were updated.

9/17/15: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.18 Final Plans|EPG 136.11.18 Final Plans]], guidance was clarified to show that MoDOT only needs "as built" plans when there have been significant structural or material changes to the original design plans (that is, changes that would require approval of the Engineer on Record, EOR).

9/17/15: In the first paragraph of [[136.10 Advertisement for Bid and Project Award#136.10.7.3 Bid Evaluation Considerations|EPG 136.10.7.3 Bid Evaluation Considerations]], the minimum standard for the number of bid evaluations has been set at three. When three bids are not available, the LPA is asked to explain.

9/10/15: Links to the latest version of SEMA's Floodplain Development Permit Application and No-Rise Certificate have been provided.

8/21/15: In the third paragraph of [[136.4 Consultant Selection and Consultant Contract Management#Each individual shall rate the firms|EPG 136.4.2.6 Step 5 - Selection of Consultant]], guidance was clarified by eliminating vagueness about the necessity for local public agencies to submit review forms and comments about rating firms.

8/20/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], three contracts were updated ([[media:136.3.5 2015.pdf|Fig. 136.3.5, HS 4, Safe Routes to School Program Agreement]], [[media:136.3.9 Aug 2015.docx|Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement]] and [[media:136.3.21 2015.pdf|Fig. 136.3.21, BR11, BEAP Hourly Rate Contract]].)

8/19/15: The final bullet (about listing the parcel numbers and names of owners of all parcels acquired) in [[136.8 Local Public Agency Land Acquisition#136.8.10.3.3 Required data to be submitted with clearance certification|EPG 136.8.10.3.3 Required data to be submitted with clearance certification]] was deleted to reflect the changes already done in Form 136.8.8, Clearance Certification Statement.

7/27/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the outdated ''A Listing of Parties Excluded from Federal Procurement and Non-procurement Programs'' link was replaced with a new, useful link to [https://www.sam.gov/portal/SAM/#1 System for Award Management].

7/24/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF July 27 2015.pdf|CUF Determination form]] has been provided.

7/16/15: In the big, gray "Additional Information for MoDOT Employees" box in [[136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]], an old link to CCO's intranet was updated to their new SharePoint site. LPAs will not be able to access the SharePoint site (just like they were not able to access the intranet site). Two EPG article links were also added. [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated with a new link to the Affidavit of Compliance in Section 10.

6/30/15: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to correct a technical issue and to reference recently developed bridge documentation standards.

6/22/15: [[media:110.2 checklist Jan 2015.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]] was updated.

6/19/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], links to numerous contracts were updated. A new link to contract [[media:136.3.28 2015.docx|FS 13-SUP BRO Supplemental Agreement (Fig. 136.3.28) ]] was also made available.

6/16/15: To eliminate confusion, a reference in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1 Material Acceptance] to one of the types of sampling and testing (a combination of certification documentation, delivery tickets and visual inspection) was deleted.

6/12/15: In [[136.11 Local Public Agency Construction#136.11.17.1 Material Acceptance|EPG 136.11.17.1 Material Acceptance]], the Small Material Quantity Acceptance Table was removed. Current info is available at [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|EPG Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)]].

6/12/15: Both guidance in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] and [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract ]] were updated to show that the engineer is required to submit Good Faith Efforts documentation for all agreements greater than $50,000. The engineer must also document Good Faith Efforts made to achieve that DBE goal if the agreed percentage specified is less than the percentage stated.

6/9/15: A very minor change (adding "LPA" to the title) was made to [[media:136.6.11 2015.doc|Fig. 136.6.11, LPA Floodplain Development Permit]] so that this form will not be confused with MoDOT's other Floodplain Development Permit/Application form.

6/8/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.5 Bridge (Structure) Submittals|EPG 136.9.2.5 Bridge (Structure) Submittals]], a third paragraph was added (per Sec 202.40.1.1) to provide guidance that a notification of demolition 10 days prior to start is required; also renovation or demolition requires hazardous waste reports and must be in the bid proposal. [[media:136.9.1 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], was also updated to reflect these revisions.

5/29/15: A new file, [[media:Fig. 136.11.16.docx|Fig. 136.11.16, Approved Contract Administration Software]], is now available in the second paragraph of [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.1_Project_Diaries EPG 136.11.13.1 Project Diaries]. The file was introduced to identify systems that secure diaries.

5/22/15: [[media:136.3.1 2015.doc|Fig. 136.3.1, Programming Data Form]], was revised by adding questions about the need for right of way. Also, Fig. 136.3.3 Utilities Scoping Checklist was renumbered as [[media:136.7.8.doc|Fig. 136.7.8, Utilities Scoping Checklist]], and moved to [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]].

5/15/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF May 2015.pdf|CUF Determination form]] has been provided.

5/12/15: Several links in [[136.7 Design#136.7.3.1.2 Job Special Provisions|EPG 136.7.3.1.2 Job Special Provisions]] were updated to the [https://spexternal.modot.mo.gov/sites/de/JSP/Forms/Alt%20LPA.aspx new SharePoint link for JSPs]. Once you are in the new site, just scroll down a little and you will see all the LPA JSPs.

5/4/15: In [[media:Fig. 136.4.1 May 2015.docx|Fig 136.4.1, Engineering Services Contract]], the good faith effort requirements of #7 under Attachment E (on pg. 19) was modified. The Engineer is now required to submit the Good Faith Efforts documentation illustrating reasonable efforts to obtain DBE Participation.

4/23/15: [[136.3 Federal Aid Basics#136.3.7.4 Prompt Payment Policy|EPG 136.3.7.4 Prompt Payment Policy]] was added, in accordance with Missouri law. The existing EPG 136.3.7.4 Policy Enforcement was renumbered as EPG 136.3.7.5.

4/22/15: The [[media:136.9.4 2015.doc|ADA checklist]] was updated with relatively minor updates in [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]].

4/22/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]], the reference to E-Verify was removed from the first bulleted item.

4/20/15: In [[136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], the DBE Truckers Interview Form was removed from use in the CUF interview.

4/20/15: In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], the guidance was clarified to state that the LPA may talk to the property owners about the project prior to the issuance of an A-Date. They can’t do appraisals, make offers, etc., until the A-Date is issued. Some LPAs were under the impression that they were not allowed to tell property owners anything about a project until they had an A-Date.

4/9/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was further updated.

4/2/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was updated to include some additional FHWA requirements. New items on the form:
:* If the project has a State Number correlated with it, list it on the Obligation Form after the Federal Aid Number
:* Estimated Award Date – Enter the date the Construction Contract Award Date is anticipated.
:* Travel way ID: Route, Beginning Log Point & Ending Log Point
:* Railroad Impacts – Is the project going to have Railroad Impacts? (Drop Down) Yes or No
:* Utility Clearance – Is the project going to have Utilities Impacts? (Drop Down) No Impacts, Conditional Clearance, or Entire Clearance
:* Construction Completion Date - Enter the date the construction will be complete is anticipated.
:* To Auto Calculate, highlight the $0.00 on Total Estimate or Bid Amount and Press F9.

3/25/15: [[media:136.4.11 2015.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was udpated with the new link to MoDOT's Approved Consultant Prequalification List.

3/20/15: The new subarticle, [[136.7 Design#136.7.2.6.4 Buy America for Utilities|EPG 136.7.2.6.4 Buy America for Utilities]], provides clarification on Buy America requirements for utility relocation.

3/19/15: [[media:Fig. 136.4.1 2015.docx|Fig. 136.4.1 Engineering Services Contract]] was revised by removing the Attachment C-Overhead Rate Breakdown from the contract.

3/17/15: A new sentence was added to the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.3 Dedications|EPG 136.8.7.3 Dedications]] to further clarify the documentation needed when property or property rights are dedicated to an LPA.

3/6/15: [[media:136.11.5 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]] and [[media:136.11.6 2015.doc|Fig. 136.11.6, Contractor’s Instructions for Filling out Request to Subcontract Work]] were updated to correct DBE allowance language.

2/26/15: In [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] and the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.8.1 General|EPG 136.8.8.1 General]], guidance has been expanded for the streamlined documentation process for the acquisitions of LPA projects. Two new forms, [[media:136.8.2.2.docx|Right of Way Acquisition Schedule (Form 136.8.2.2)]] and [[media:136.8.2.2.A.docx|Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)]] were added and [[media:136.8.1 2015.doc|Acquisition Authority Request (Form 136.8.1)]] was updated.

2/23/15: A typo in [[media:136.8.20 2015.docx|Form 136.8.20 LPA Project Acquisition Monitoring Checklist]] was corrected.

2/20/15: In the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1's] item #1, MoDOT's QC/QA Off-Systems Guide Schedule for FAST table is now to be used as a minimum for material acceptance. In item #1's second paragraph, certification card must now be on hand during sampling and testing. In item #2, independent assurance samples and test will be required of the LPA or the LPA's consultant. Also, in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20's] item #3, a final list of acceptance testers used on the project must now be provided by the LPA.

2/6/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF Jan 2015.pdf|CUF Determination form]] has been provided.

1/28/15: A minor correction was made to the title of [http://epg.modot.org/index.php?title=136.8_Local_Public_Agency_Land_Acquisition#136.8.6.3.4_Uniform_Residential_Appraisal_Report_.28URAR.29_and_Addendum EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum] by replacing "Approval" with "Appraisal".

1/8/15: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated with the new link to the ADA checklist.

12/31/14: In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]], [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to add reference to two JSPs: LDs Specified for Winter Months and Safety Requirements. Further, [[136.7 Design#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was added because the new [[media:136.7.7.docx|Safety Requirements JSP]] is now required when a project is on MoDOT’s right of way.

11/26/14: In [[media:Fig. 136.4.1 2014.docx|Fig. 136.4.1 Engineering Services Contract]], the title of Attachment E was changed on pg.9 to reflect the actual title of the Attachment on pg. 17. [[media:136.9.1 2014.xlsx|Fig. 136.9.1 Final PS&E Submittal Checklist]] was revised to reflect that all plan sheets are signed and sealed by the engineer of record.

11/20/14: In EPG 136.3.12 Federal-aid Participation for Local Work, more specifically in both the fourth paragraph of [[136.3 Federal Aid Basics#136.3.12.3.4 Procedures|EPG 136.3.12.3.4 Procedures]] and the fifth paragraph of [[136.3 Federal Aid Basics#136.3.12.4.5 Procedures|EPG 136.3.12.4.5 Procedures]], guidance was revised to clarify change orders and supplements. Guidance now emphasizes that scope and estimates are to be complete and accurate.

11/17/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], two forms were updated: [[media:136.8.8 Nov 2014.doc|Fig. 136.8.8 Clearance Certification Statement]] and [[media:136.8.20 2014.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]].

10/16/14: In the third paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.11.5.2 Approval of Contract|EPG 136.8.11.5.2 Approval of Contract]], a sentence was removed that had stated that a current real estate agent is required in Missouri.

9/26/14: In the first paragraphs of [[:Category:136 Local Public Agency (LPA) Policy|EPG 136 Local Public Agency (LPA) Policy]], references to Safe Routes to School were removed and references to MAP-21 were added.

9/25/14: Three forms were updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]: [[media:136.8.25 Sept 2014.doc|Form 136.8.25 Sample Donation Letter and Waiver of Appraisal]], [[media:136.8.26 2014.doc|Form 136.8.26 Sample Letter Offer (Payment Estimate)]] and [[media:136.8.27 2014.doc|Form 136.8.27 Sample Letter Offer (Value Finding or Standard Format Appraisal)]].

9/23/14: The consultant contract limit of the $100,000 total for on-call contracts was clarified in a recent video conference. The second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]] was clarified to indicate the total on-call cannot exceed $100,000 for the project.

9/12/14: Guidance in the first paragraph of [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]] and the second to the last paragraph in [[136.3 Federal Aid Basics#136.3.8.11.5 Funding|EPG 136.3.8.11.5 Funding]] was updated to reflect that Traffic Division is no longer involved in the TEAP process for LPA project solicitation

8/28/14: [[media:136.6.7 201.docx|Fig. 136.6.7 Memorandum of Agreement for Migration of Adverse Effects]] was further corrected as a reference to a previous law, STURAA, was replaced with the new law MAP-21.

8/27/14: The two State Wage Rates links from the MO Dept of Labor were updated in [[136.12 Figures, Glossary and Other Useful Links#136.12.3.3 Links to Other Resources|EPG 136.12.3.3 Links to Other Resources]]. Also, in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[media:136.6.7.doc|Fig. 136.6.7, Memorandum of Agreement for Migration of Adverse Effects]] was corrected by moving the location of a statement about stipulations.

8/22/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was revised by adding a drafter's note to provide guidance for highlighted sections. Language to define the contracting authority was also added.

8/8/14: [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] now reflects that project closeout certifications are to be electronically received 60 days of the Final Inspection date.

8/8/14: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.3 Bid Guaranty (49 CFR 18.36)|EPG 136.9.4.1.1.3 Bid Guaranty]], the guidance about the bid guarantee amount was clarified so as to not burden the contractor with high bid bonds. Dollar amounts for bid bond requirements are not to be used.

8/7/14: Updated the [http://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators].

8/6/14: A new version of the [[media:136.7.2.9 sample letter.docx|Request for a Finding in the Public’s Interest sample letter]] was provided in EPG 136.7.2.9.

7/29/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] was updated again.

7/17/14: In Item #1 under the seventh parapraph of [[136.3 Federal Aid Basics#136.3.10.8 Use of Bridge Soft Match Credit|EPG 136.3.10.8 Use of Bridge Soft Match Credit]], the new [[media:Fig.136.3.27.xls|Fig. 136.3.27 Example of a Soft Match Credit Transfer Request]] has been referenced in a brief sentence. Also, in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]], both [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] and Fig. 136.3.20 BEAP Project Tracking Form were updated.

6/23/14: Updated [[media:136.8.8 2014.doc|Clearance Certification Statement (Form 136.8.8)]].

6/13/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators June 2014.pdf|Roster of Approved Contract Negotiators]].

6/11/14: In [[136.6 Environmental and Cultural Requirements#4. Check to see whether the bridge has been excluded|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], the promised FHWA "Bridge Program Comment Excepted Bridges List"
website is now available.

5/29/14: Updated the [[media:136.8.25 2014.doc|Sample Donation Letter and Waiver of Appraisal, Form 136.8.25]].

5/22/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators May 2014.pdf|Roster of Approved Contract Negotiators]].

5/14/14: The first two paragraphs of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] were revised to show that the [[media:136.8.17 2014.doc|Parcel File Checklist (Form 136.8.17)]] is now optional.

5/13/14: [[media:136.3.18 2014.xls|Fig. 136.3.18 Construction Reimbursement Form]] was updated. Also, [[media:136.8.20.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]] verbiage was tweaked to include more uniform act check items.

5/12/14: A very minor correction in EPG 136.11 Local Public Agency Construction's [[136.11 Local Public Agency Construction#Small Material Quantity Acceptance Table|Small Material Quantity Acceptance Table]]. Now, the AC is shown to be measured in tons and PCC measured in cubic yards.

5/7/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], [[media:136.8.18.docx|Form 136.8.18, RW Plan Review Checklist]] was updated.

4/30/14: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.3 Consultant Evaluations for On-Call Services|EPG 136.4.2.4.3.3 Consultant Evaluations for On-Call Services]] was clarified to show who signs the LPA On-Call Consultant Evaluation and what happens to this document afterwards.

4/28/14: [[media:136.4.6.docx|Fig. 136.4.6 List of Unallowable Costs]] was updated in EPG 136.4 Consultant Selection and Consultant Contract Management.

4/21/14: In [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]], and the first paragraphs of both [[136.3 Federal Aid Basics#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]], the $10,000 requirement for invoicing was removed. It had been replaced with the requirement to invoice at least one time per month but not more often than every 2 weeks. Also, in [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], a requirement was implemented for the LPA to evaluate the consultant upon completion of work if they were hired by a standard solicitation. Thus, a "should" was replaced with a "must" in the first sentence.

4/15/14: At the bottom of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]],"MoDOT will certify the dates on which any on-site inspections were made" was deleted.

4/1/14: In the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], the Dept. of Labor's link and associated information was updated.

3/31/14: In [[media:136.9.4 Apr 2014.doc|Fig. 136.9.4 ADA Checklist]], two items were clarified, two more items were removed to better align with Access Board’s PROWAG info. PROWAG references were also added to assist users in finding further information on the US Access Bd. website.

3/19/14: Near the top of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], guidance was added that defined LPA jobs with "No Potential to Cause Adverse Effects" and that do not need a Sec 106 submittal to the SHPO.

3/18/14: In the second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]], a sentence was added to tell the LPA to write a scope for the consultant and produce an estimate to determine whether the project is eligible for the on-call list.

3/11/14: A minor clarification of titles was made at the bottom of Fig. 136.9.4 ADA Checklist. "Resident Engineer" and "Area Engineer" were replaced with "Engineer of Record".

3/10/14: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], it was clarified that the copies of the contact and associated files to be submitted to the District Contact must be electronic copies.

3/7/14: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List|EPG 136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List]], it was clarified that it is not mandatory for LPAs to consider at least 3 firms for each project when reviewing the LPA On-Call Consultant List.

3/6/14: A link was inserted for the [http://www.modot.org/business/lpa/OnCallListing.htm LPA On-Call Consultant List] in three locations in [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.11_Traffic_Engineering_Assistance_Program_.28TEAP.29 EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)].

3/5/14: EPG 136.3.18 TAP was moved to [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 TAP]] and the subsequent EPG 136.3.8 subarticles were renumbered accordingly. The eligible project sponsor information at the bottom of the newly renumbered [[136.3 Federal Aid Basics#136.3.8.7.2 Project Eligibility and Selection|EPG 136.3.8.7.2 Project Eligibility and Selection]] was deleted and replaced with a link to [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] to ensure consistency in the definition of eligible sponsors.

2/24/14: New guidance is now available for the LPA On-Call Consultant List at [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]]. Additional revisions were made in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.2 Step 1 – Scope of Services|EPG 136.4.2.2 Step 1 – Scope of Services]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4 Step 3 - Advertising the RFQ Solicitation|EPG 136.4.2.4 Step 3 - Advertising the RFQ Solicitation]] for this new list. A new form, [[media:136.4.19.docx|Fig. 136.4.19 LPA On-Call Consultant Evaluation]], has also been introduced.

2/18/14: [[media:136.8.1 2014.doc|Fig. 136.8.1, Acquisition Authority Request]] was updated.

2/5/14: The contacts were updated in the [[media:136.12.3.3.1 Obligation Request Form 2014.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms].

2/4/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated by removing the requirement for using our template bid bond. Also, "lien waver" was added to the list of documentation examples in #4b of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]].

1/31/14: In [[media:136.4.15 2014.doc|Fig. 136.4.15]], a misspelled word was corrected.

1/30/14: The definition of County Aid Road Trust (CART) Funding was added to [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.2_Glossary EPG 136.12.2 Glassary].

1/29/14: In [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.3_Links_to_Other_Resources EPG 136.12.3.3 Links to Other Resources], the ADAAG links were updated.

1/28/14: In [[136.7 Design#Deviations from MoDOT and Federal Requirements|EPG 136.7.2.7 Design Exceptions]], a minor clarification was made to the guidance for the engineer of record submitting the approved design exception to the MoDOT District Contact. It was made clear that the approved design is to be submitted only for projects on MoDOT's system.

1/10/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]] was updated.

1/9/14: New guidance, [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 Transportation Alternatives Program (TAP)]] is now available. TAP includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways. A brief listing of links, [[136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]] is also new. Other minor revisions (such as the definitions of MAP-21 and TAP) arising from MAP-21 were made in [[136.1 Introduction#136.1.1 Background and Purpose|EPG 136.1.1 Background and Purpose]] and [[136.12 Figures, Glossary and Other Useful Links#136.12.2 Glossary|EPG 136.12.2 Glossary]].

12/18/13: Additional environmental documentation of FHWA approval is now required under Section One of the [[media:136.8.1 2013.doc|Acquisition Authority Request (Form 136.8.1)]].

11/4/13: [[media:136.11.1 Nov 2013.doc|Fig. 136.11.1, General Guidelines for LPA Preconstruction Conference]], was updated to include "land disturbance permit" as part of the pre-construction conference topics.

10/18/13: Guidance in [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.10_Value_Engineering EPG 136.7.2.10 Value Engineering] was updated to comply with MAP-21, the federal surface transportation law. Now, National Highway System (NHS) projects costing at least $50,000,000 and NHS bridge projects costing at least $40,000,000 require a Value Engineering (VE) study. (Previously, VE studies were required for NHS projects costing $25M and NHS bridge projects costing $20M.) Design/Build projects are exempt from this VE study requirement.

10/11/13: EPG 136.3.15.1 Progress Invoice was moved to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3] to reflect the federal definition of Reasonable Progress. There was no change in policy.

10/1/13: EPG 906 TEAP has been moved to [[136.3 Federal Aid Basics#136.3.8.11 Traffic Engineering Assistance Program (TEAP)|EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)]]. The modified EPG language reflects Design Division timelines and processes. One of the main process changes is that the TEAP studies will be provided through on-call consultants. (Local agencies will select a consultant from an approved list of on-call consultants to complete a TEAP study for them.) The TEAP application has also been completely revised to resemble other DE or LPA standard applications. In FY 2014, the Traffic & Highway Safety Division and the Local Programs group will partner to administer TEAP. The TEAP processes and timelines will remain the same. In FY 2015, the administration of TEAP will be through the Local Programs group.

9/27/13: In [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]], new guidance has been provided for the Utility Status Letter to be prepared by the LPA.

9/24/13: The format, not the content, of [[media:136.4.7 Sept 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated.

9/23/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], guidance including three new files was added to provide sufficient documentation so LPA can produce an actual contract. Also, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate ]] was updated to include sample contract forms.

9/20/13: In the EPG 136.6 sidebar, at the top of the article, a link to the Advisory Council on Historic Preservation's [http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] was added under "Other Figures and Information for EPG 136.6". It applies to all federally funded or permitted projects, and gives a good background on the Section 106 process.

9/18/13: A typo was corrected in [[media:136.9.5 2013.doc|Fig. 136.9.5, LPA Certification of PS&E]].

9/12/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], the link to the ''Uniform Audit & Accounting Guide'' was updated to the 2012 edition of this publication.

9/11/13: Very minor editorial revisions were made to Figs. [[media:136.4.9 Sept 2013.doc|136.4.9 (Local Sponsor ESC Sample Cover Letter)]], [[media:136.8.25 Sept 2013.doc|136.8.25 (Sample Donation Letter & Waiver of Appraisal)]], [[media:136.8.26 Sept 2013.doc|136.8.26 (Sample Letter Offer – Pay Estimate)]] and [[media:136.8.27 Sept 2013.doc|136.8.27 (Sample Letter Offer – Value Finding)]].

9/9/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], a note was added to Point #2 to clarify whether the Certificate of Authority is required.

9/6/13: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], several forms ([[media:136.8.25 2013.doc|Form 136.8.25 Sample Donation Letter & Waiver of Appraisal]], [[media:136.8.26 2013.doc|Form 136.8.26 Sample Letter Offer – Pay Estimate]] and [[media:136.8.27 2013.doc|Form 136.8.27 Sample Letter Offer – Value Finding]]) were updated due to a request from FHWA.

9/5/13: A minor clarification was made in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification]. Point #2 was expanded to show that the consultant will be required to have a Certificate of Good Standing and hold a certification of authority from the MO Board for Architects, Professional Engineers, Professional Land Surveyors and Landscape Architects.

8/21/13: At the bottom of [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], a minor reference to EPG 806.8 SWPPP was added for greater convenience.

8/20/13: The [http://moltap.org/ Missouri Local Technical Assistance Program] link was updated in EPG 136.12.3.3.

8/19/13: The link to newest 7/2012 [http://www.modot.org/business/contractor_resources/documents/RequesttoSubcontract_C-220.pdf Request to Subcontract Work Form] was updated in EPG 136.11.8.

8/12/13: For greater convenience, links to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm "functional classification"] have been added to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]].

8/6/13: Subconsultant requirements were updated in [[media:Fig. 136.4.14 Aug 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]].

7/12/13: The [[media:Fig.136.3.19 2019.pdf|BEAP Consultant List]] was updated.

7/11/13: Revisions made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.1 Subconsultant cost exceeding $25,000|EPG 136.4.2.7.3.1 Subconsultant cost exceeding $25,000]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.9 MoDOT Review of Consultant Contract|EPG 136.4.2.9 MoDOT Review of Consultant Contract]] result from MoDOT's Audits and Investigation Division ceasing the pre-negotiations reviews and shifting the reviews to project managers and/or contract administrators. Also updated the checklist in [[media:Fig. 136.4.14 July 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] to be more helpful.

7/8/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]], the MRC form was replaced with the new Consultant Certification of Indirect Cost form.

7/5/13: Fig. 136.3.20, BEAP Project Tracking Form, was updated.

6/26/13: Some minor formatting issues were addressed in [[media:Fig. 136.4.1 June 26, 2013.docx|Fig. 136.4.1, Engineering Services Contract ]].

6/25/13: EPG 754 BEAP info was slightly modified and moved to [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

6/25/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.1 Federal Law|EPG 136.4.1.1 Federal Law]], a minor clarification of the italicized text from "federally funded projects" to "projects that utilize Federal Aid Highway Program funds for engineering". Also, in [[media:136.4.10 2013.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], more spaces were added for direct salaries in the invoice.

6/18/13: Three links (to BRO and Soft Match Balances, DBE Submittal Forms and Disadvantaged Business Enterprises) were removed from EPG 136.12.3.2. Also, EPG 136.12 Figures and Glossary was retitled to [[136.12 Figures, Glossary and Other Useful Links|EPG 136.12 Figures, Glossary and Other Useful Links]].

6/17/3: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the acceptance for provision for asphalt cement price index, seal coat price index, underseal price index and UBAWS membrane price index was updated.

6/13/13: In [[136.6 Environmental and Cultural Requirements#Program Comment for Post-1945 Common Bridge Types.|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], Post-1945 Bridge information was added to allow the exemption of some bridges from the Sec 106 review.

6/11/13: Incorrect references to "consultant" were replaced with "engineer" in [[media:Fig. 136.4.1 June 2013.docx|Fig. 136.4.1, Engineering Services Contract]].

6/10/13: An updated table of approved Missouri Scenic Byways was added to [[136.3 Federal Aid Basics#136.3.8.8.2 Project Eligibility and Selection|EPG 136.3.8.8.2 Project Eligibility and Selection]]. Also, in both [[136.10 Advertisement for Bid and Project Award#136.10.7.1.1 Responsive Bid|EPG 136.10.7.1.1 Responsive Bid]] and [[136.10 Advertisement for Bid and Project Award#136.10.7.3.3 DBE Submittal Form Review|EPG 136.10.7.3.3 DBE Submittal Form Review]], the DBE requirements at bid opening were clarified.

6/6/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]], the requirement to send the e-verify with each letter of interest was removed. MoDOT now requires firms to be prequalified and part of prequalification is the e-verification of documents. Also, a minor correction was made to the revision date of [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

6/5/13: The [http://www.modot.org/business/consultant_resources/documents/StandardConsultantPrequalificationProcess.pdf How-To Tutorial for MoDOT's Consultant Standard Prequalification Process] is now available. Also now available are links to the [http://www.modot.org/business/consultant_resources/standard_prequalification_process.htm Standard Prequalification Process] and [http://www.modot.org/business/consultant_resources/documents/SAFEHARBORELIGIBILITYREQUIREMENTS_004.pdf Safe Harbor Indirect Cost Rate (SHR) Prequalification Process].

6/4/13: A minor correction was made to [[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]. (In the figure, Item 13 was changed to Item 15 under Question 5.) Also, the link to the [http://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers] was updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]].

5/31/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000|EPG 136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000]], new guidance clarified that a subconsultant charging less than $25K must also submit the Management Representation and Certification Form.

5/30/13: Information was added to [[media:136.4.7 May 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] and [[media:Fig. 136.4.14 May 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] ensuring hazardous waste inspections and reports were being done. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.4 Construction Engineering (CE) and Construction Administration|EPG 136.4.4 Construction Engineering (CE) and Construction Administration]] having links to EPG 136.11 was added. The former EPG 136.4.4 was renumbered as EPG 136.4.5 Key Submittals/Requirements. Finally, a minor revision was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/21/13: In [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]], it was clarified that the approved preliminary plan is to be available for public viewing/display during the 21-day advertisement period.

5/17/13: Minor clarification was added to [[media:136.9.1 May 17, 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], and [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/16/13: New guidance about contract execution timeframe has been provided in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.5 Contract Execution|EPG 136.4.2.7.5 Contract Execution]].

5/16/13: [[media:110.2 checklist 2013.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]], was updated. Also, guidance for selecting and scoring consultants was added to the bottom of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]].

5/15/13: Fig 136.4.8, District Representative ESC Cover Letter, was removed since this form is no longer required.

5/14/13: The name of a figure was updated in [[media:136.9.1 May 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]].

5/10/13: At the bottom of [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.2.2_Project_Eligibility_and_Selection EPG 136.3.8.2.2], [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.3.2_Project_Eligibility_and_Selection EPG 136.3.8.3.2] and [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.5.2_Project_Eligibility_and_Selection EPG 136.3.8.5.2], convenient links for additional guidance for STP and CMAQ funds were added to guidance having to do with project eligibility and selection.

5/9/13: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the checkbox for "all e-verify information" on the bidders checklist was removed since the e-verify information is only a requirement prior to award and is not required to be submitted with the bids.

5/3/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], expanded and clarified guidance for what the LPA should submit to the district after the LPA executes the contract. Also, a minor clarification was made to the title of [[media:136.11.1 2013.doc|Fig. 136.11.1]], General Guideline for LPA Preconstruction Conference.

5/2/13: A very minor update was made to [[media:Fig. 136.4.1 May 2013.docx|Fig. 136.4.1 ESC]]. Also, in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], updated the links to both the Roster of Approved Contract Appraisers and Roster of Approved Contract Negotiators.

4/30/13: [[media:136.4.7 Apr 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], was updated with a minor revision.

4/22/13: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF 2015.pdf|CUF Determination form]] has been provided by MoDOT's External Civil Rights Division.

4/15/13: A convenient link to CUF red flags was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 CUF]. Also, guidance was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20 Project Closeout Certifications, 4b] for the LPA to provide documentation that each DBA was paid in full. This type of DBE documentation may include a letter, e-mail or copies of reimbursement checks.

4/15/13: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], the [[media:136.12.3.3.1 Obligation Request Form 2013.docx|Obligation Request Form]] was updated with a very minor revision.

4/4/13: Some references within the checklist of [[media:Fig. 136.4.14 Apr 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]], were updated.

4/2/13: A very minor update (a new logo) was made to [[media:Fig. 136.4.8 Apr 2013.doc|Fig. 136.4.8, District Representative ESC Cover Letter]].

3/27/13: A very minor update was made to [[media:Fig. 136.4.1 Mar 2013.docx|Fig. 136.4.1 ESC]].

3/20/13: [[media:Fig. 136.4.14 Mar 2013.doc|Fig. 136.4.14, Checklist for Reviewing Consultant Contracts]], was revised with updated document references.

3/12/13: Information regarding the page limits for the letter of interest was updated in [[media:136.4.7 Mar 2013.doc|Fig. 136.4.7]].

2/28/13: In [[media:136.4.9 Feb 2013.doc|Fig. 136.4.9]], a sentence was added regarding a city not being staffed to do engineering work and the need to hire a consultant.

2/26/13: [[media:136.4.7 Feb 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated to include "right of way plans" in the sample scope of services.

2/25/13: [[136.11 Local Public Agency Construction#136.11.12 Construction Administration|EPG 136.11.12 Construction Administration]] was re-titled (from "EPG 136.11.12 Consultant Construction Engineering Services") and expanded to give more guidance on construction administration expectations.

2/21/13: [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.10 ADA Checklist|EPG 136.9.2.10]] was retitled "ADA Checklist" (from "ADA Certification and Checklist"), a minor change.

2/8/13: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was updated with minor corrections.

2/4/13: In [[media:136.4.11 Feb 2013.doc|Fig. 136.4.11]], the conflict of interest line item was added.

2/4/13: In [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]], the definition of an eligible sponsor for federal aid transportation projects was clarified. This change allows MoDOT to focus our limited resources on public agencies that have public accountability and typically have the internal structure and knowledge to deliver a federal aid project. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. All other entities including, but not limited to, school districts and not-for-profit agencies must partner with a city or county to apply for and/or administer a federal aid transportation project.

2/1/13: [[media:136.9.1 2013.xlsx|Fig. 136.9.1]] updated to remove the requirement for ADA certification. Also, Fig. 136.9.12 (ADA Certification) deleted and incorporated into [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]].

2/1/13: In several locations in EPG 136.4 Consultant Selection and Consultant Contract Management, clarification of the criteria for prequalifying a consultant for MoDOT and LPA work. Info that was added back on 11/1/12 was removed, among other updates to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.6 Conflict of Interest|EPG 136.4.1.6 Conflict of Interest]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]]. Also, Figs. [[media:136.4.7 2013.doc|136.4.7]], [[media:Fig. 136.4.8 2013.doc|136.4.8]], [[media:136.4.9 2013.doc|136.4.9]], [[media:136.4.11 2013.doc|136.4.11]] and [[media:Fig. 136.4.14 2013.doc|136.4.14]] were updated to reflect the new consultant prequalification requirements. The ''How to Evaluate'' PowerPoint tutorial was updated. Finally, [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]] was updated to include the following sections:
:* Added prompt payment language
:* Added suspension and termination language
:* Added lobbying certification language
:* Added OPTIONAL insurance language
:* Added the Conflict of Interest Form as Attachment G
:* Added ADA certification language (no longer have to use a separate ADA certification form, which was Fig. 136.9.12).

1/29/13: In EPG 136.7.2.4.2, the old Fig. 136.9.4 was updated to the correct, current figure.

1/28/13: In Item "b" of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.1.2_Step_2.2C_Cultural_Resource_Investigations Step 2a. The Cultural Resource Survey] in 136.6 Environmental and Cultural Requirements, guidance has been added to conveniently provide SHPO architectural survey info.

1/22/13: A very minor clarification to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.12.4.4_Submittal_Requirements EPG 136.3.12.4.4] (a reference to Fig. 136.3.17 was added).

1/17/13: [[media:136.9.11.pdf|Fig. 136.9.11, Example Estimate]], has been added. This estimate is broken down into the required categories for payment.

1/16/13: Some of the verbiage in the second paragraph of [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.11_CE_Funding_Obligation EPG 136.4.2.11 CE Funding Obligation] was clarified.

1/15/13: In [[136.11 Local Public Agency Construction#136.11.15.1 Change Order Documentation|EPG 136.11.15.1 Change Order Documentation]], guidance about whether re-designs are eligible for federal participation was clarified. A similar, smaller clarification was also made in #7 of [[136.3 Federal Aid Basics#136.3.15 Reimbursement and Auditing|EPG 136.3.15 Reimbursement and Auditing]].

12/27/12: In [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], updated references to Fig. 136.11.9 from "Contractor Certification" to "Contractor DBE Certification".

12/21/12: A note was added to [[media:136.4.17 Dec 2012.xlsx|Fig. 136.4.17]] about PE ceiling or CE ceiling amounts.

12/10/12: [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.11_E-Verify_Affidavit_.26_MOU_.28RsMO_285.530.29 EPG 136.9.4.1.1.11 E-Verify Affidavit & MOU] was updated. (The bid proposal must now state that the E-verify affidavit and MOU must be submitted prior to award of the contract.) Also [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was clarified on the use of bid bond forms and when worker eligibility documents must be submitted.

12/5/12: Item 78 in [[media:136.9.1 Dec 5, 2012.xlsx|Fig. 136.9.1]] was updated with a minor revision to match the Obligation Request Form categories.

11/27/12: [http://epg.modot.org/index.php?title=136.7_Design#136.7.3.1.2.1.4_Lump_Sum_Items EPG 136.7.3.1.2.1.4 Lump Sum Items] was clarified by stating that spec lump sum items do not require a JSP.

11/26/12: Several minor clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. The most notable clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.2 Preliminary Engineering Activities by Local Forces|EPG 136.4.1.3.2 Preliminary Engineering Activities by Local Forces]] (about when the LPA is not requesting reimbursement for the in-house design services), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] (about rating as many firms as necessary), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]] (about encouraging subconsultants to be prequalified), [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]] (adding that each invoice must show the total DBE payments for the particular invoice) and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]] (about LPA responsibility to fund the work).

11/21/12: Minor updates were made to Figs. [[media:136.4.11 2012.doc|136.4.11]] and [[media:Fig. 136.4.14 Nov 2012.doc|136.4.14]].

11/19/12: In EPG 136.11.2 Work by LPA Forces, the [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf link to FHWA Fom 1273] was updated.

11/15/12: [[media:136.4.10 Nov 15, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated to expand the DBE information.

11/2/12: LPAs' website advertisement opportunities were expanded in the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.3_Bid_Opening_Advertisement EPG 136.10.3 Bid Opening Advertisement ].

11/1/12: Guidance was added to [[136.4 Consultant Selection and Consultant Contract Management#6. Bridge Consultants Only:|EPG 136.4.1.5 Consultant Qualification, #6 Bridge Consultants Only]] that the Bridge Experience Profile and Personal Bridge Experience Record forms must be updated every 3 years.

10/25/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.7.2_Basis_of_Payment EPG 136.4.2.7.2 Basis of Payment], changed the mileage reimbursable rates from the IRS rate to GSA's current POV Mileage Reimbursable Rate. Also updated [[media:Fig. 136.4.14 2012.doc|Fig. 136.4.14]] to reflect this change.

10/23/12: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], removed Fig. 136.12, Sample Form for Submitting Invoices from the gray "Forms and Information" box. This form was out-of-date and has been relabeled elsewhere.

10/22/12: [[media:136.9.12 Oct 2012.doc|Fig. 136.9.12's]] cross slope compliance guidance was slightly modified.

10/12/12: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], guidance was clarified on how to document consultant evaluations.

10/11/12: A minor typo update was made to [[media:136.8.8 2012.doc|Form 136.8.8]].

10/10/12: A minor change was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], clarifying that the E-verify information must be submitted with each bid.

10/5/12: [[media:136.4.10 Oct 5, 2012.xlsx|Figs. 136.4.10]] and [[media:136.4.17 Oct 5, 2012.xlsx|136.4.17]] were updated. In Fig. 136.4.10, more cells were locked and Cell C68 was updated, while in Fig. 136.4.17, commentary was added on how to fill out Section 2 of the invoice. Also, in [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] the "How To" PowerPoint, [[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]], was added.

10/1/12: In [[media:136.4.10 Oct 2012.xlsx|Fig. 136.4.10]], changed cells to have 2 decimal points instead of none. In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], minor clarifications were made about including inspection reports in the bid proposal. In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9]], minor clarifications were made to [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.1_Environmental.2C_Historical_and_Cultural_Requirements EPG 136.9.2.1] and [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity 136.9.4.1.1.4] about including all hazardous waste reports and changing the timeline for submitting subcontractor affirmative action certification prior to the notice to proceed for construction, respectively. In [[media:136.9.1 Sept 28, 2012.xlsx|Fig. 136.9.1]], a line item was added for Asbestos and Lead Paint Inspection Reports that need to be a part of the bid book. In [[136.11 Local Public Agency Construction|EPG 136.11]], a requirement for Hazardous Waste Notifications was added to [[media:136.11.1 Sept 2012.doc|Fig. 136.11.1]].

9/25/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was revised by adding a revision date and a statement on project award.

9/24/12: A minor clarification was made to [http://epg.modot.mo.gov/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.15_Disadvantaged_Business_Enterprise_.28DBE.29_.2849_CFR_Part_26.29 EPG 136.9.4.1.1.15] about the DBE goal applying to the entire federally-funded project. Also, a very minor update was made to [[media:136.9.1 Sept 2012.xlsx|Fig. 136.9.1]].

9/5/12: Three figures, [[media:136.4.10 Sept 5, 2012.xlsx|136.4.10]], [[media:136.4.17 Sept 2012.xlsx|136.4.17]] and [[media:136.4.18 Sept 5, 2012.docx|136.4.18]], were updated with minor revisions.

9/4/12: The ADA Checklist, Fig. 136.9.4, was updated, replacing the old "ADA Post-Construction" and "Post-Inspection" Checklist. The new ADA Checklist presents expanded information to comply with the US Access Board's PROWAG 2005 and 2010 ADA/ABA standards. Also, [[media:136.4.10 Sept 2012.xlsx|Fig. 136.4.10]] was updated with a minor revision.

8/30/12: Under "Federal-Aid Essential Videos" in the gray box at the top of [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], the "Federal-Aid Program Overview" video was replaced with three other videos.

8/29/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification], guidance was clarified for consultant qualification.

8/29/12: DBE requirement guidance was clarified in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.3.2_Supplemental_Agreements EPG 136.4.3.2 Supplemental Agreements].

8/27/12: Links to various FHWA videos were added to the gray boxes at the top of several articles (including [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[136.7 Design|EPG 136.7 Design]], [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 PSE]], [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] and [[136.11 Local Public Agency Construction|EPG 136.11 LPA Construction]]).

8/22/12: The invoice template guidance was clarified and slightly expanded in the "Invoice Detail" portion of [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]].

8/20/12: Fig. 136.9.1 was revised with a minor update.

8/9/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] (Federal Project Bid Proposal Boilerplate) was updated.

7/31/12: Revised [[media:136.4.10 July 31, 2012.xlsx|Fig. 136.4.10]] and [[media:136.4.18 July 2012.docx|Fig. 136.4.18]] with minor updates.

7/30/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1]], the link to FHWA Form 1273 was updated. The new link is the same as the current link to this form in EPG 136.9 Plans, Specs and Estimates (PSE).

7/23/12: [[media:136.4.10 July 23, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated with a minor revision.

7/23/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.4.1_Advertising_on_MoDOT.E2.80.99s_Site EPG 136.4.2.4.1 Advertising on MoDOT’s Site], guidance was clarified by adding "When advertising on MoDOT's website, the LPA can choose to also advertise in a newspaper but it is not required."

7/18/12: Several links were updated and references to form attachments were updated in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. Also, [[media:Fig. 136.4.1.docx|Fig. 136.4.1]] had minor clarifications and [[media:136.4.17 July 2012.xlsx|Fig. 136.4.17]] had one minor update.

7/17/12: [[media:136.4.10 July 2012.xlsx|Fig. 136.4.10]] was updated with minor changes.

7/17/12: A clarification in the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.3_Utility_Status EPG 136.9.2.3 Utility Status]: "bid opening" was replaced with "construction obligation".

7/12/12: Figs. 136.4.18 and 136.9.1 were updated with minor corrections.

7/6/12: In [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4]], Figs. 136.4.10 and 136.4.17 were updated as xlsx files.

7/2/12: [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf Fig. 136.9.7, Required Contract Provision], was updated.

6/25/12: Fig. 136.5.4, Non-Infrastructure Obligation Request Form, was made available in [[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]].

6/19/20: In EPG 136.4, the "How To" tutorial [[media:136.4 How to Evaluate.ppt|How to Evaluate Consultant Proposals, Complete Rating Sheets and Make a Selection]] was added. Also, minor updates were done to [[media:136.4.10 June 20, 2012.doc|Fig. 136.4.10, LPA Consultant Services Invoice]].

6/14/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]] and [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], the Roster of Approved Contract Appraisers was updated so that LPAs can access it. Also, the Roster of Approved Contract Negotiators was added.

6/12/12: In [http://epg.modot.mo.gov/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2 Painting Bridges and Demolition of Painted Surfaces], a process change has been required by MoDOT's signing an MOU with DHSS. For any lead testing activity, the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS.

6/11/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.1_Renovation_and_Demolition_of_Structures EPG 136.6.4.10.1 Renovation and Demolition of Structures], the use of an Asbestos Building Inspector was specified rather than "a certified asbestos inspector". Also, in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], Figs. 136.4.10 and 136.4.18 were updated.

6/6/12: Fig. 136.11.6 was clarified so that which form is being filled out and which of the other two figures comprising each half when the contractor fills it out are now clearly indicated.

6/4/12: A small clarification was made in Fig. 136.9.12.

5/25/12: Fig. 136.9.1 was updated with minor clarifications. Also, [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.11_PS.26E_Certification EPG 136.9.2.11] was added to further clarify the PS&E certification.

5/21/12: Several minor corrections of references to Federal Bid Proposal Boilerplate sections in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.9.4.1.1.4] through [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.7_Lobbying_Certification_.2849_CFR_part_20.29 EPG 136.9.4.1.1.7].

5/17/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.2_National_Environmental_Policy_Act_.28NEPA.29_Classification EPG 136.6.2 NEPA Classification], the info about the three-year shelf life of the NEPA was clarified. In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1 Commonly Used Forms]], the Obligation Request Form was updated. Also, Fig. 136.3.17 Work by Local Forces Proposal was updated.

5/11/12: A useful PowerPoint tutorial, "How to Complete the RFQ and Get it Advertised", is now available in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.3_Step_2_-_Creating_an_RFQ_Document EPG 136.4.2.3].

5/10/12: Fig. 136.9.1 was updated with minor clarifications. Also, there were minor corrections to [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.1_Certification_Regarding_Anti-collusion EPG 136.10.6.1], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.2_Certification_Regarding_Use_of_Contract_Funds_for_Lobbying EPG 136.10.6.2], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.3_Certification_Regarding_Debarment_and_Suspension EPG 136.10.6.3] and [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.10.6.4].

5/3/12: Updated [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

4/30/12: [[media:136.9.1.xls|Fig. 136.9.1]] updated as an Excel file.

4/30/12: Two new figures (Figs. 136.11.14 and 136.11.15) and associated guidance were added to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3 Progress Invoices] and [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.3_Invoices EPG 136.11.13.3 Invoices].

4/30/12: Because the info required by Fig. 136.3.1 Programming Data was split between it and Fig. 136.6.4 LPA Request for Env'l Review, the guidance for programming projects was revised. Note changes in the table in [[136.3 Federal Aid Basics#136.3.7.1 Procedures|EPG 136.3.7.1]], new guidance in [[136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]] and shortened guidance in [[136.3 Federal Aid Basics#136.3.8.1.3 Project Programming|EPG 136.3.8.1.3]], [[136.3 Federal Aid Basics#136.3.8.2.3 Project Programming|EPG 136.3.8.2.3]], [[136.3 Federal Aid Basics#136.3.8.3.3 Project Programming|EPG 136.3.8.3.3]], [[136.3 Federal Aid Basics#136.3.8.5.3.1 Roadway Type Projects|EPG 136.8.5.3.1]] and [[136.3 Federal Aid Basics#136.3.8.5.3.2 Non-Infrastructure Projects|EPG 136.3.8.5.3.2]].

4/27/12: The guidance on the need for an erosion control plan was clarified in the first paragraph of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8 Stormwater and Erosion Control]. In the third paragraph of EPG 136.6.4.8, it was further clarified that the SWPPP does not need to be site-specific, but the erosion control plan does need to be site-specific.

4/24/12: Comments from the Corps of Engineers have clarified guidance in both [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams] and [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.4_Channel_Modification EPG 136.6.4.4 Channel Modification].

4/24/12: Several "How To" PowerPoint tutorials were added to EPG 136 LPA Policy articles. View these new tutorials at the bottom of the large, gray "Figure" boxes at the top of [[136.6 Environmental and Cultural Requirements#PowerPoint Tutorials|EPG 136.6]], [[136.8 Local Public Agency Land Acquisition#PowerPoint Tutorials|EPG 136.8]] and [[136.11 Local Public Agency Construction#PowerPoint Tutorials|EPG 136.11]].

4/23/12: EPG 136 was generally re-written following thorough research. Please check the entire contents of any EPG 136 article you may be consulting so as not to miss any policy changes.

[[Category:136 Local Public Agency (LPA) Policy|136.13]]

LPA:136.6 Environmental and Cultural Requirements

2021-05-14T15:14:50Z

Bramar12: /* 136.6.4.2.3 De Minimis Determination */

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|<center>'''Figures'''</center>
|-
|[[media:136.6.1.docx|Fig. 136.6.1, Project Review Process flowchart]]
|-
|[[media:136.6.2.docx|Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones]]
|-
|[[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]]
|-
|[https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]]
|-
|[[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing Categorical Exclusion Determination]]
|-
|[[media:136.6.6.doc|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]]
|-
|[[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]]
|-
|[[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]
|-
|[[media:136.6.9.doc|Fig. 136.6.9, Content of a Section 4(f) Evaluation]]
|-
|[[media:136.6.10.doc|Fig. 136.6.10, Diagram of Typical Floodplain]]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11, LPA Floodplain Development Permit]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12, Engineering “No-Rise” Certificate]
|-
|[[media:136.6.13.doc|Fig. 136.6.13, Procedures for “No-Rise” Certification for Proposed Development]]
|-
|[[media:136.6.14.docx|Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way]]
|-
|[[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]]
|-
|[[media:136.6.16 2018.pdf|Fig. 136.6.16, LPA Project Checklist for Adverse Effects]]
|-
|[[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]]
|-
|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
|-
|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|-
! <center>'''Other Figures and Information for EPG 136.6'''</center>
|-
|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|[http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|[http://www.dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|[https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|[http://www.modot.org/business/lpa/cert_train.htm NEPA Training video] - scroll down to bottom left
|-
|[http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] - this Advisory Council on Historic Preservation's toolkit provides additional and supplemental info for the Section 106 process
|-
|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
|<div id="PowerPoint Tutorials"></div>
|-
! <center>'''"How To" PowerPoint Tutorials'''</center>
|-
|[[media:136.6 How to Complete the Application.ppt|How to Complete the Application for Section 106 Clearance]]
|-
|[[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=develop Project Development]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=environm Environment]
|}

=136.6.1 Introduction=

Meeting environmental and cultural resource requirements and getting the necessary approvals and permits for local public agency (LPA) projects can involve multiple steps and varying lengths of time. Not meeting requirements in a timely manner can delay or even halt your project. You must obtain National Environmental Policy Act (NEPA) approval from the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)] before 35% plan completion. Before you can begin right-of-way acquisition for the project, you need concurrence from the State Historic Preservation Office (SHPO) that [[127.2 Historic Preservation and Cultural Resources|Section 106 (cultural resources)]] has been addressed satisfactorily. Some resources with specific requirements in addition to NEPA include historic buildings, archaeological sites, historic bridges, historic sites and parklands, wetlands and waterbody crossings, endangered species and conversion of farmland. Information on these topics and others can be found in this article and in the [http://www.modot.org/business/lpa/cert_train.htm NEPA Training video].

'''Roles and Responsibilities:''' MoDOT’s role in the project review process is to advise the LPA of requirements that must be met, review any NEPA submittals for completeness before forwarding to FHWA, and ensure that all needed permits, approvals, or other supporting documentation are obtained. The LPA is expected to provide complete and accurate information about the project. Complying with the applicable laws and regulations is the LPA’s responsibility. The LPA interacts with MoDOT through the designated district contact. For the occasional project that is classified as an Environmental Assessment (EA) or Environmental Impact Statement (EIS) under NEPA, a MoDOT environmental staff member will be a liaison between the LPA and FHWA. The liaison participates in project team meetings, is responsible for all communication with FHWA concerning the project, and helps ensure satisfactory compliance with NEPA. A flowchart summarizes the environmental/historic preservation project review process in [[media:136.6.1.docx|Figure 136.6.1]]. The timeframes needed to achieve key environmental/cultural resources compliance milestones are shown below and in [[media:136.6.2.docx|Figure 136.6.2]] (landscape format to print for reference). [[media:136.6.3 Jan 18 2019.docx|Figure 136.6.3]] contains a helpful checklist to guide the LPA through this process.

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
!style="background:#BEBEBE" colspan="4"|Key Environmental/Cultural Resources Compliance Milestones
|-
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Obtain NEPA classification||Provide adequate project information with Request for Environmental Review||Provide classification|| 30 days
|-
|Complete NEPA documentation if required: 1. Programmatic CE (no documentation required) 2. Letter CE 3. CE2 4. EA 5. EIS ||Prepare and submit required documentation|| Review documentation, provide comments, and submit documentation (revised by LPA as needed) to FHWA || 1. Programmatic CE – 4 weeks 2. Letter CE – 6 weeks 3. CE2 – 10 weeks 4. EA – 18 months 5. EIS – 36 months
|-
|Comply with Section 106 (cultural resources)||Obtain SHPO's concurrence||Ensure Section 106 compliance||Generally, 10 weeks * Can take 6–12 months if SHPO finds adverse effect
|-
|Section 4 (f) 1. Historic bridge programmatic 2. Public land prog. or ''de minimis'' 3. Full draft and final evaluation ||1. Prepare MOA 2. Provide documentation 3. Provide documentation||1. Review MOA 2. Review & submit to FHWA 3. Review & submit to FHWW ||1. 6 months 2. 60 days 3. 12 months
|-
|Comply with Clean Water Act Sections 404 and 401||Obtain permits||Ensure compliance||Nationwide: 6–8 weeks Individual: 4–6 months
|-
|Comply with Endangered Species Act||Consult with MDC and obtain clearance letter||Review consultation|| 1–6 months
|-
|Floodplains||Contact local floodplain administrator for any needed permits||Ensure compliance|| 1–6 months
|-
|Comply with Clean Water Act Section 602||Obtain NPDES permit||Ensure Section 602 compliance|| 1–3 months
|-
|Comply with env. laws regarding use of borrow & spoil sites||Comply with applicable laws||Ensure compliance with applicable laws|| Varies according to law
|-
|Hazardous waste||Determine presence, contact DNR if hazardous materials are found||Ensure compliance|| 1 month
|-
|Comply with Farmland Protection Policy Act (FPPA)|| Obtain Farmland Rating||Ensure FPPA compliance|| 6 weeks
|-
|Environmental Justice, Title VI, ADA, etc.||Ensure compliance||Ensure compliance|| 1 month
|-
|Noise|| Complete noise study if necessary|| Ensure compliance|| 1–6 months
|-
|Comply with Clean Air Act||Ensure Clean Air Act compliance, model if necessary||Ensure Clean Air Act compliance||6–12 months if modeling required
|-
|Public Involvement|| Provide planned or completed public involvement|| Ensure compliance with [[:Category:129 Public Involvement|EPG 129 Public Involvement]]|| 1-8 weeks
|}

=136.6.2 National Environmental Policy Act (NEPA) Classification=

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] to the MoDOT district contact within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER initiates MoDOT environmental and historic preservation staff’s review of the project to determine the appropriate NEPA classification. The district contact will notify the LPA of the project’s classification as well as other environmental permits and clearances the LPA must obtain.

Since the environmental classification is based on the scope of the project and expected magnitude of impacts, providing all information requested on the form is vital to getting the NEPA classification as early as possible. Whenever the project scope or location changes or more than a year has passed since MoDOT’s environmental and historic preservation staff reviewed the RER, the LPA will submit to the MoDOT district contact a new RER that describes and shows any changes. Based on that information, the project will be reexamined. A completed and approved NEPA document has a limited shelf life of three years from the date on the NEPA document. If construction obligation has not occurred within three years of the date on the NEPA document/date, a new RER must be filled out and reviewed and a new NEPA document/date will be issued. After obtaining approval of a ROD, FONSI, or CE determination and before requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

The basic NEPA classifications are:

:* Categorical Exclusion (CE)—typically sufficient for projects that do not individually or cumulatively have a significant environmental effect. Most projects will be classified as CEs.

:* Environmental Assessment (EA)—required for projects in which the environmental impact is not clearly established. Projects such as a two-lane relocation or adding lanes to an existing highway corridor generally require an EA.

:* Environmental Impact Statement (EIS)—required for projects that may have significant adverse impacts or that are controversial. Projects such as a new controlled-access freeway, a highway project of four or more lanes on a new location, or new construction or extension of a separate roadway for buses or high occupancy vehicles not located within an existing highway facility typically require an EIS.

=136.6.3 Categorical Exclusion (CE) =

The majority of transportation projects in Missouri are classified as categorical exclusions (CEs) and are completed as a programmatic CE (PCE) or a CE2. Approximately 96% of LPA projects have been classified as programmatic CEs, with the remainder classified as CE2s and very rarely as an EA or EIS (see [[127.14 National Environmental Policy Act (NEPA) Classification and Documents#127.14.5 NEPA Glossary|EPG 127.14.5 NEPA Glossary]]).

An agreement with FHWA allows MoDOT to automatically classify specific types of projects that require no more than 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, as PCEs. PCEs do not require FHWA review. MoDOT and FHWA executed this [[media:136.6.3 programmatic agreement.pdf|programmatic agreement]] on October 15, 2018. The thresholds that cannot be exceeded are contained within the agreement. If a project exceeds one of the thresholds, a CE2 must be approved by FHWA.

For projects that require over 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, MoDOT will advise the LPA to complete a [http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot CE2 Form] describing the project, the impacts expected from the project, and mitigation to compensate for the project’s impacts. The Form requests information such as the federal project number, route, county, project termini and length, project description, current and future average daily traffic (ADT), right of way and easement needs, displacements/relocations, a location map, and any other associated attachments. [[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing a CE2 Form]], guides the LPA through the process. For FHWA to concur that the project is a CE2 instead of an EA or EIS, the CE2 document must clearly demonstrate that the project will not have significant impacts and therefore, is categorically excluded from the requirement to prepare an EIS or EA. MoDOT will notify the LPA of the CE2 approval, request for more information, or FHWA’s decision that an EA or EIS needs to be prepared.

=136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations=

The resource-specific information that follows is intended to aid the LPA in complying with federal and state environmental laws and regulations. Ultimately, the LPA is solely responsible for compliance with all applicable laws and regulations, regardless of the information, or lack thereof, included here. The LPA must ensure that all commitments specified in environmental documents are identified in plans and job specifications as appropriate. The LPA is also responsible for implementing all commitments and monitoring included in environmental documents.

==136.6.4.1 Section 106 (Cultural Resource) Compliance ==
{|style="padding: 0.3em; margin-left:10px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="310px" align="right"
|-
|'''Useful Section 106 Websites'''
|-
|[http://www.achp.gov/work106.html Advisory Council on Historic Preservation]
|-
|[http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office]
|-
|[http://www.environment.fhwa.dot.gov/histpres/index.asp Federal Highway Administration]
|-
|[http://www.modot.org/ehp/HistoricPreservation.htm MoDOT Historic Preservation Section]
|}
[[127.2 Historic Preservation and Cultural Resources|Section 106 of the National Historic Preservation Act (NHPA) of 1966]] requires the consideration of the potential impacts of federally funded or permitted projects to significant cultural resources. Cultural resources include archaeological sites, buildings, structures (e.g., bridges), objects or historic districts. The significance of a cultural resource is evaluated by applying a specific set of criteria that is set forth by the [http://www.nationalregisterofhistoricplaces.com/faq.html National Register of Historic Places]. Cultural resources that meet the criteria of eligibility for listing on the National Register are referred to as “historic properties.” Failure to comply with Section 106 requirements could jeopardize federal funding and permits for a project. Section 106 encourages, but does not mandate, the preservation of historic properties. The goal of Section 106 is to ensure that preservation values are factored into the planning process for all federally funded or permitted projects. Compliance with Section 106 requires three things:

:1. ''Identify historic properties.'' Determine project’s area of potential effects (APE), identify cultural resources within the APE, and evaluate historic significance of these cultural resources;

:2. ''Assess adverse effects.'' Assess if the project will have an adverse effect on historic properties; and

:3. ''Resolve adverse effects.'' Avoidance, minimization, and/or mitigation of any project adverse effects on historic properties.

[[image:136.6.4.1.jpg|center|750px]]

Additional information on the Section 106 process is available on the webpages of the [http://www.achp.gov/work106.html Advisory Council on Historic Preservation] and the [http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office].

[[media:136.6.6.doc|Fig. 136.6.6]] illustrates the steps that the LPAs should follow to comply with Section 106.

===136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations===

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER submittal initiates the Section 106 review.

MoDOT has hired a consultant to oversee the LPA Section 106 compliance. The basic process is:

:1. The LPA should submit their Request for Environmental Review (RER). The consultant will review the RER and determine if the job Section 106 compliance is covered by the Section 106 agreement document on Minor Highway Projects.

::A. If it is the consultant will state on the RER that the project has Section 106 clearance and list the Stipulation and the date the decision was made.

::B. If the project is not covered by the Minor Highway Projects agreement, the consultant will state on the RER that a Section 106 investigation and submittal to SHPO is required.

:2. If a Section 106 investigation is required, the LPA will then move to [[#136.6.4.1.2 Step 2, Cultural Resource Investigations|EPG 136.6.4.1.2 Step 2, Cultural Resource Investigations]].

::A. The consultant will review the LPA’s (or their consultants) Section 106 submittal before it is sent to SHPO.

::B. If the Section 106 finding is “no historic properties affected” or “no adverse effect to historic properties and the State Historic Preservation Office concurs with this finding the Section 106 process has been completed.

::C. If the finding is “adverse effect to a historic property,” the LPA will then need to negotiate and execute a Section 106 agreement document (e.g., Memorandum of Agreement or Programmatic Agreement).

:3. If a Section 106 agreement document is required, the LPA will then move to [[#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

::The consultant will also oversee the LPA’s (or their consultants) consultation and development of the Memorandum of Agreement.

[[image:136.6.4.1.1 Historic Bridge.jpg|center|750px|thumb|<center>'''The Historic Big Creek Bridge – an 8-panel, pin-connected Camelback through truss bridge</center>''']]

===136.6.4.1.2 Step 2, Cultural Resource Investigations===

'''If the SHPO requests a Section 106 survey the LPA will need to hire a qualified [http://www.dnr.mo.gov/shpo/consultants.htm cultural resource consultant] or staff member to conduct the survey and to submit a report of their findings to the SHPO.'''

'''Step 2a. The Cultural Resource Survey'''

:a. Cultural resource surveys typically are limited to the area of potential effects (APE) (i.e., For archaeology, this is the maximum footprint of the project consisting of proposed and existing right of way, and permanent and temporary easements) and any off-site areas, if known, (e.g., borrow, staging, wasting, etc.). For architectural resources, the APE may include the limits of the project plus a buffer around the project area so indirect effects of the project are considered (usually 50 ft in urban settings and 100 ft in rural settings).

:For archaeological resources, the APE is the maximum footprint of the project consisting of existing and new right-of-way, and temporary and permanent easements.

::1. An architectural survey consists of photographing buildings within the architectural APE and providing descriptions and historical information about those buildings constructed more than 50 years ago. In addition to buildings, features associated with a property such as gateposts, hitching posts, outbuildings, signage, etc. should be included in the photographic coverage. Clear photographs, which show the resource clearly, should be included in the survey report. Photographs taken out of car windows or where the resource is hidden behind vegetation are not acceptable.

::2. A Phase I archaeological survey is an intensive, systematic, investigation of the APE of the proposed project to identify any archaeological site that may be affected by the proposed project. If there is good surface visibility (e.g., a plowed field), archaeological sites may be identified by a pedestrian survey, which consists of archaeologists walking the area to examine what is exposed on the surface. If there is poor surface visibility (e.g., a pasture) the archaeologists use shovel or auger tests to look for artifacts. Shovel tests are small hand-dug holes about 12 inches wide and up to 24 inches deep, while auger tests are 8-inch diameter holes up to 6 feet deep. In most survey areas, shovel tests or auger tests will be excavated at 50 foot intervals. The excavated soil is examined for artifacts and other evidence of prehistoric or early historic archaeological sites.

::Phase II archaeological site testing will be needed if any potential National Register eligible sites are encountered in the APE that could be impacted by the proposed project. The Phase II is a limited archaeological excavation of a site to determine its significance and whether it meets National Register eligibility standards. The standard method for testing an archaeological site is the hand-excavation of test units. Test Units are usually 3 ft. x 3 ft. or 3 ft. x 6 ft. in size and are dug usually to a depth of 3 to 4 feet. These test units are excavated to search for intact artifact deposits and/or features (e.g., hearths, storage pits, hut basins, etc.) that would provide information about the people whose activities had created the site. The archaeological consultant will need to consult with SHPO and MoDOT on the proposed Phase II testing strategy before it is implemented. A Phase II investigation takes approximately 1-2 weeks per site.

:b. Reporting the results of the cultural resource survey should follow the SHPO [http://www.dnr.mo.gov/shpo/docs/MO_phase1_guide.pdf “Guidelines for Contract Cultural Resource Survey Reports”]. The standard method to submit the results is the [http://www.dnr.mo.gov/forms/780-1718.pdf SHPO Section 106 Memo]. Directions in completing this memo are provided on [http://www.dnr.mo.gov/shpo/sectionrev.htm SHPO’s website]. Additional [http://www.dnr.mo.gov/shpo/archisurvey.htm SHPO guidance on requirements for architectural surveys] is posted on the SHPO website, including [http://www.dnr.mo.gov/forms/780-2125-f.pdf the Architectural/Historic Inventory Form] that should be used for buildings that are believed to be eligible for listing on the National Register of Historic Places.

:c. The Section 106 submittal will be reviewed and commented on by SHPO. SHPO has by law 30 calendar days to respond.

::1. If no cultural resources were identified, the SHPO usually will respond “no historic resources affected.” The Section 106 process is complete and no further action is necessary.

::2. If cultural resources were identified, their eligibility for the National Register of Historic Places (National Register) must be determined.

::3. In some cases, additional field investigations and /or historical research may be required for the cultural resource professional to determine resource eligibility.

The SHPO comments only apply to the project as submitted. Any changes to the project may require a supplemental submittal to SHPO regarding these changes (e.g., project limits, significant modifications to the nature of the project, etc.). Any subsequent communication with SHPO should include the Project Number assigned by SHPO to the original submittal.

If human remains are encountered during any fieldwork, the LPA and consultants must comply with state burial laws ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194] – unmarked remains or [https://revisor.mo.gov/main/OneSection.aspx?section=214 RSMO 214] – cemeteries). This requires initially contacting local law enforcement. If the human remains are not part of a crime scene, jurisdiction of the remains and disturbance of them falls on either local courts (RSMO 214) or the SHPO (RSMO 194). Consultation with appropriate American Indian tribes should be required if the human remains are believed to be of Native Americans – either prehistoric or historic. The LPA must contact FHWA prior to any consultation with Indian tribes. FHWA, as the Federal agency, is legally responsible for the tribal consultation process. The LPA may only consult directly with an Indian Tribe if authorized by FHWA.

'''Step 2b. Determination of Eligibility'''

'''If cultural resources are present, the LPA, in consultation with SHPO and FHWA/MoDOT, determines whether a cultural resource meets the eligibility requirements of the National Register. A cultural resource professional may need to conduct additional investigations to evaluate the eligibility of some resources. The cultural resource professional will need to consult with the MoDOT Historic Preservation staff on the proposed testing plan for an archaeological site before implementing it.'''

Readily available information can often be used to determine the National Register eligibility of identified cultural resources. This information should consist of the results of the cultural resource survey, any subsequent investigations, or other available information such as pictures and available history of structures. If the adverse effects to the potentially National Register eligible cultural resource cannot be avoided by the project the National Register eligibility determination is included in the Section 106 submittal.

:a. The SHPO is requested to concur or disagree with the National Register eligibility of a cultural resource. The cultural resource professional should provide an assessment of resource eligibility.

:b. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is not eligible for the National Register, the Section 106 process is complete. No further action is necessary.

:c. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is eligible for the National Register, a determination of effect (Step 2c) is made next.

::1. If SHPO, LPA, and FHWA/MoDOT disagree on the eligibility of a resource, the LPA should request the FHWA to contact the Keeper of the National Register of Historic Places (Keeper) for a definitive opinion. If the FHWA decides that the Keeper needs to be consulted they will provide the LPA with a list of the required documentation. This process can be lengthy (up to six months), so it should be avoided if possible.

::2. If the Keeper finds that the resource is not eligible, the LPA no longer needs to consider the project’s effects to that specific resource.

'''Step 2c. Determination of Effect'''

'''If historically significant cultural resources are present, the LPA, FHWA/MoDOT, and SHPO will determine the effect of the project on each National Register eligible property (called “historic property”). '''

The effect of a project on a historic property should be determined through consultation among the LPA, SHPO, and FHWA/MoDOT, using the criteria of adverse effects found at 36CFR800.4(1) and the examples of adverse effects found at 36CFR800.4(2). There will be a determination of either “no historic properties affected,” “no adverse effect” or “adverse effect.” The LPA will provide its opinion regarding effect along with its evaluation of eligibility to the SHPO for their concurrence. If the SHPO concurs with the LPA, this finding will be transmitted to the FHWA. If there is a disagreement among the LPA and SHPO, FHWA and MoDOT may be brought into the discussions to help facilitate an agreement.

:a. No Adverse Effect – If the finding is that the project effect is not adverse upon the historic property(ies), the Section 106 process is complete.

:b. Adverse Effect – If the project effect is adverse to the historic property(ies) (i.e., adversely affecting the characteristics that make it eligible for listing on the National Register), the LPA will consult with the SHPO on avoidance or mitigation of the adverse effect. It may be possible to redesign portions of the project to avoid adverse impacts to the historic property. The LPA will explore avoidance options, continued use, or rehabilitation of the historic property (not necessary for most archaeological sites). In addition, the public (interested parties, holders of permits, owners of affected lands, and private individuals) may be allowed to review and comment on the project, and participate in the decision-making process.

If the SHPO concurs with the results of the Section 106 Survey submittal being “no historic properties affected” or “no adverse effect to a historic property,” Section 106 compliance is completed. The date of the SHPO letter would be used as the Section 106 compliance date. If the result of the survey is “adverse effect to a historic property” the LPA precedes with Steps 3 and 4.

If the project changes after receipt of the SHPO letter with a “no historic properties affected” or “no adverse effect to a historic property” concurrence, the project must be resubmitted to the SHPO with the changes to the project identified. '''A change in the scope of the project may change the effects of the project on historic properties.'''

In instances where a project has an adverse effect, prior to continuing to the next step, the Advisory Council on Historic Preservation (Council) must be notified of the adverse effect and be invited to participate in consultation for the development of a Memorandum of Agreement (MOA). The [[media:136.6.16 2018.pdf|LPA Project Checklist for Adverse Effects]] for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) summarizes the steps the LPA must complete and which agencies will be involved in reviewing information. The LPA should complete the e106 form following the Directions, except leave Section 4 blank (see [[media:136.6.15.docx|Fig. 136.6.15, the example e106 form]]). The form should be e-mailed, along with supporting documentation to MoDOT for review. Once the form meets MoDOT approval, it will be forwarded to FHWA to be submitted to the Council, which has two weeks to respond.

The Council will become involved in consultation if the project has:

:1. Substantial impacts on historic properties, meaning that nationally significant properties or unusual properties are present or there are a large number of properties being affected by the project, including multiple properties within a historic district;

:2. They may become involved if the project presents questions about Section 106 policy or how the Section 106 regulations are interpreted;

:3. The project has the potential for presenting procedural problems. Procedural problems could include substantial public controversy, disputes among the consulting parties, likely litigation, or requests for Council involvement by consulting parties; or

:4. The project presents issues of concern to Indian tribes.

If an adverse effect cannot be avoided for certain kinds of historic properties, FHWA may determine that a Section 4(f) evaluation must be completed. Cultural resources requiring Section 4(f) evaluation are typically architectural or bridge resources, or archaeological sites that warrant preservation in place (usually mortuary sites). [http://environment.fhwa.dot.gov/4f/index.asp Section 4(f) of the Department of Transportation Act of 1966] states that a transportation project requiring the use of publicly owned land of a public park, recreation area, wildlife and waterfowl refuge, or a historic site (i.e., a “historic property” as defined by Section 106) may be approved only if:

:1) There is no prudent and feasible alternative to using that land; and

:2) The project includes all possible planning to minimize harm to the park, recreation area, wildlife and waterfowl refuge, or historic site resulting from the use.

Section 4(f) is unique to Department of Transportation projects and is a process that can take up to 12 months. The LPA should make sure it works closely with MoDOT and FHWA if there is a possibility of a need for a Section 4(f) Evaluation. Information on the Section 4(f) Evaluation process is provided elsewhere in EPG 136, however if the project is a bridge replacement and the only Section 4(f) issue is the bridge, MoDOT Historic Preservation will complete the Programmatic Section 4(f) evaluation documentation for FHWA review, using information provided by the LPA.

[[image:136.6.4.1.3.jpg|center|750px|thumb|<center>'''Portal View of the Historic Big Creek Bridge</center>''']]

===136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement===

'''If historic properties will be adversely affected by the project, the LPA will coordinate with the MoDOT Historic Preservation staff, SHPO and FHWA in preparation of a Memorandum of Agreement (MOA). Section 106 is not complete until an MOA is executed and the stipulations are completed.'''

The steps involved in developing an MOA and providing the information necessary for a Programmatic Section 4(f) Evaluation (if the adverse effect is to a historic bridge) are also detailed in the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f).

If adverse effects to a historic property cannot be avoided, a MOA will be prepared through consultation with LPA, FHWA, MoDOT, the SHPO, and other appropriate consulting parties. The MOA will document the stipulations to be carried out to mitigate the adverse effect upon the historic property(ies), including the appropriate level of documentation for the resource. If the resource is a bridge, the ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effect'' (Bridge Documentation Standards) should be referenced including the level at which the bridge will be documented. It is a legally binding agreement document that is signed by the signatory parties (usually the FHWA, SHPO and the LPA). [[media:136.6.7 2017.docx|Fig. 136.6.7]] provides an example of a MoDOT bridge MOA and the [[media:136.6.15.docx|e106 form]]. In addition, the Council provides a “model MOA” for archaeological data recovery on its website.

'''If the adverse effect is to a Native American archaeological site, the FHWA must consult with the Indian tribes with a historical interest in the project area and provide them an opportunity to participate in the consultation process.'''

:a. The MOA process is started by the LPA’s preparation and submittal of a draft MOA and the e106 form updated to include consultation that may have occurred on the project since the Council notification occurred, and an Alternatives Analysis (for bridge projects). The documents are forwarded to MoDOT Historic Preservation for review and comment.

:b. The Alternatives Analysis must include the following information (for additional information on the alternatives that must be considered, consult the [https://www.environment.fhwa.dot.gov/4f/4fbridge.asp FHWA Programmatic Section 4(f) Web-page]):

::1. A description of the purpose and need for the project;
::2. A description of the current condition of the bridge;
::3. A discussion of the do nothing alternative
::4. A discussion of the rehabilitation option for the bridge;
::5. A discussion of an alternative that would save the bridge by realigning the road to avoid the bridge;
::6. A discussion of an alternative that would relocate the bridge to another location to save it (can include discussion of the advertising efforts and their results)
::7. Rough cost estimates for the alternatives, including construction and right of way.

:c. When the MOA is satisfactory, MoDOT will inform the LPA, SHPO and FHWA that it is satisfactory. If the Council has responded, the LPA can begin the process of signing the MOA. The LPA should prepare a copy of the MOA for each signatory.

:d. If the adverse effects are to a Native American archaeological site, FHWA will provide a copy of the draft MOA and accompanying information to Indian tribes with historical interest in the project area or attach religious and cultural significance to the site to provide them the opportunity to participate in the consultation process.

:e. The LPA will send the signed MOA to the SHPO, using text similar to the [[media:136.6.17.docx|sample letter]] and copy MoDOT and FHWA on the transmittal letter. The SHPO will sign the MOA and forward it to the FHWA for execution, copying MoDOT and the LPA on the transmittal letter. The MOA is considered to be executed upon FHWA signature, who is the last party to sign the document (general signatory order is LPA, any other invited signatories, SHPO and then FHWA).

:f. Once the MOA is executed, MoDOT will prepare the Programmatic Section 4(f) evaluation for bridge projects and submit it to FHWA (see the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) for further details of how Section 4(f) fits into the Section 106 process).

If Steps 3 and 4 are required, the date the MOA is executed can be used as the Section 106 compliance date when requesting authorization to proceed from MoDOT and FHWA.

===136.6.4.1.4 Step 4, Mitigation of Adverse Effect===

'''The LPA will implement and fulfill the stipulations of the MOA. Ultimately, the SHPO must concur that the stipulations of the MOA have been satisfied. '''

Following the execution of the MOA, the LPA will implement stipulations of the MOA to mitigate the adverse effects upon the historic property(ies). The following mitigation measures have been used on various projects:

'''Bridges and Architectural Resources'''

The LPA and FHWA consult with the SHPO to determine the level and kind of documentation required for the historic property during the development of the MOA: Historic American Engineering Record (HAER) documentation, Historic American Building Survey (HABS) standards, or state-level documentation, as identified in the [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effects (Bridge Documentation Standards)'']. For most of these historic properties the state-level documentation is selected as the preferred method for recordation.

Bridges are advertised (in compliance with MAP-21) for availability and offered to interested parties for reuse in place or at an alternate location, but will be demolished if no one expresses a reasonable interest. The bridge should be advertised on MoDOT’s [http://www.modot.org/freebridges/ Free Bridges webpage] for a minimum of 60 days, which can be done in coordination with MoDOT Historic Preservation staff, as well as direct marketed to local governments, historical or preservation societies and trail groups in the area. The SHPO should be consulted regarding the agencies the bridge will be direct marketed to (this can be done as part of the MOA consultation). The transfer of ownership or demolition of the bridge occurs after the archival photographs, or the selection of photographs, has been accepted by the SHPO as adequate for the resource.

The specific HABS/HAER guidelines can be found at the [http://www.nps.gov/history/hdp/standards/guidelines.htm National Park Service’s Heritage Documentation Programs website], but the basic documentation usually includes:

::1. Copies of original plans or drawings. If copies of the original plans are not available, measured drawings may be produced at a precise scale from actual dimensions recorded in the field. Drawings may be produced either by hand or with computer-aided drafting.

::2. Large-format photographs are produced as contact prints from 4x5 and 5x7 black-and-white negatives and color transparencies. The formats allow maximum enlargement with minimal loss of detail and clarity, and the black-and-white processing allows for archival stability.

::3. Written histories place the site or structure within the appropriate context, addressing both the historical and the architectural or engineering aspects of its significance.

Bridges should be documented to the Bridge Documentation Standard designated in the MOA. Guidance for researching, describing and photographing a historic bridge can be found in [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]].

:If the SHPO recommends that the historic property be documented to the state level of documentation, the following information should be provided:

::1. 8 in. X 10 in. high-resolution black-and-white digital images (>600 dpi) to fully document overall views and details of the historic property. Photographs should be taken and processed according to [http://www.nps.gov/nr/publications/bulletins/photopolicy/index.htm standards for photographs] accompanying National Register documentation, including the appropriate considerations for paper and ink. It is a good idea to identify the paper and ink used, if possible. Digital, archival standard, compact discs with all views will be provided.

::2. A historic narrative and technical descriptions for the historic property.

::3. Plans or drawings for the historic property; specifically, floor plans for the historic building if it is architecturally significant and/or a copy of the original engineering construction plans for the historic bridge.

::4. The final documentation shall be provided to the SHPO along with archival digital discs containing the TIFF images and report PDF. Additional copies shall be provided to appropriate local historical groups, and retained by the LPA. Bound copies and/or CDs of the final documentation also will be available to others upon request.

{| style="margin: 1em auto 1em auto"
|-
|[[image:136.6.4.1.4 depot.jpg|400px|thumb|<center>'''Historic Marthasville Depot'''</center>]] ||[[image:136.6.4.1.4 restored depot.jpg|400px|thumb|<center>'''Restored Historic Marthasville Depot'''</center>]]
|}

The guidelines for [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf State Level Bridge Documentation Standards] are available. The general standards are described below. For all state level documentation photographs taken to NRHP standards are required.

:1. Level I documentation is for major rivers and their tributaries and includes in depth documentation of the history of the bridge, including describing its planning process, how it influenced social history, commerce, and other broad patterns of history. 8X10 inch photographs, bridge plans, and a bridge description are required.

:2. Level II documentation is a moderate level of documentation for small rivers and major creeks, with no significant association with historical events. It is anticipated that most bridges will be documented at this level. Historical documentation should document the engineering and transportation significance of the bridge including the planning for the bridge. 8X10 inch photograph, bridge plans and a brief description are required.

:3. Level III documentation consists of a well-documented inventory form with citations, and will be used for bridges over small streams away from populated areas, lettered routes in rural areas, and for bridges that may contribute to a historic district but not be individually eligible. The documentation includes 8X10 inch photographs, bridge plans and a bridge description.

:4. Level IV documentation is for bridges over small streams, creeks, highways or railroad crossings, that are not individually eligible but contribute to a larger historic property, and which have a low level of integrity; it is anticipated that few bridges will qualify for this level of documentation. This documentation consists of a documented inventory form, bridge plans and 5X7 inch photographs.

'''Archaeological Sites'''

If the adverse impacts to a National Register eligible archaeological site cannot be avoided (e.g., changes in roadway alignment, fencing, and burial under roadway fill) the usual mitigation measure is data recovery (i.e. site excavation). Excavation activities are typically limited to within the project limits. The guidance outlined in the Council’s publication, [http://www.achp.gov/archguide.html ''Recommended Approach for Consultation on the Recovery of Significant Information from Archaeological Sites''], should be followed in developing an archaeological data recovery plan. If a site is excavated, a qualified archaeologist must conduct the field investigations, analyze the remains, and prepare a Phase III data recovery report. Artifacts from excavations are the property of the LPA and must be curated at an archaeological curation facility. If human remains are encountered during the excavation, SHPO must be contacted and the state burial law ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194]) will need to be followed. Notification of the human remains should also be provided to FHWA and may need to be provided to consulting Indian tribes.

In addition to the documentation materials for the SHPO and FHWA, and the National Park Service's Heritage Documentation Program for HAER and HABS, additional copies may be needed for distribution to local repositories (historical society or local library) and interested parties.

If Steps 3 and 4 are required, then the date that FHWA signed the MOA is used as the Section 106 compliance date.

==136.6.4.2 Section 4(f) of the U.S. Department of Transportation Act of 1966 and Section 6(f) of the Land and Water Conservation Fund Act (LWCFA) Properties==

Section 4(f) of the U.S. Department of Transportation Act of 1966 requires that special consideration be given to publicly owned lands, or those held under a long-term lease, that are intended for use as public parks, recreation areas, or wildlife and waterfowl refuges as well as to publicly and privately owned historic sites listed or eligible for listing on the National Register of Historic Places. Codified at 49 U.S.C. 303, Section 4(f) applies to projects that receive funding from or require approval by a Department of Transportation (DOT) agency such as [http://www.fhwa.dot.gov/ FHWA].

It is the LPA’s responsibility to establish whether the project will require the use of or impact any Section 4(f) resources. The LPA will evaluate possible use of Section 4(f) resources early in the development of a project, when various alternatives for the proposed project are being considered. Ultimately, FHWA makes all decisions regarding Section 4(f) compliance for highway projects: whether Section 4(f) applies to a property, whether a use will occur, whether a de minimis impact determination (discussed below) is made, assessment of each alternative’s impacts to Section 4(f) properties, and (after consulting with the appropriate officials who have jurisdiction) whether the law allows selection of a particular alternative.

Before FHWA approves a project that uses Section 4(f) property, either the use must be determined to be de minimis or a Section 4(f) Evaluation must be completed. If the Section 4(f) Evaluation identifies a feasible and prudent alternative that completely avoids Section 4(f) properties, that alternative must be selected. If there is no feasible and prudent alternative that avoids all Section 4(f) properties, FHWA has some discretion in selecting the alternative that causes the least overall harm. FHWA may approve the use of land (permanent or temporary) from a Section 4(f) resource '''only if''':

:1. There is no feasible and prudent avoidance alternative to the use of land from the property and

:2. The action includes all possible planning to minimize harm to the property resulting from such use.

===136.6.4.2.1 Section 4(f) for Historic Properties===

To determine the applicability of Section 4(f) to historic sites, the LPA will consult with the FHWA (through the MoDOT district and MoDOT Historic Preservation staff), SHPO, and appropriate local officials to identify all properties listed on or eligible for the NRHP. The Section 4(f) requirements apply only to NRHP-listed or eligible properties that will be adversely affected, including archaeological sites chiefly significant for preservation in place, not data recovery.

===136.6.4.2.2 Section 4(f) for Public Lands===

If the federal, state, or local officials having jurisdiction over a park, recreation area, or refuge determine that the entire site is not significant, consideration under Section 4(f) is not required. The Section 4(f) land is presumed significant without such a determination and FHWA will decide whether Section 4(f) applies. The LPA must complete the Local Public Agency Section 4(f) compliance worksheet (for parks/refuges only) found in [[media:136.6.8 2013.doc|Fig. 136.6.8]].

For federal or other public land holdings (e.g., state forests) that are managed for multiple uses under statutes permitting such management, Section 4(f) applies only to those portions of such lands that function for or are designated in the plans of the administering agency as being for significant park, recreation, or wildlife and waterfowl refuge purposes. The officials having jurisdiction over the lands determine which lands so function or are so designated, and the significance of those lands. FHWA reviews this determination to assure it is reasonable. The determination of significance applies to the entire area used for such park, recreation, or wildlife and waterfowl refuge purposes.

===136.6.4.2.3 ''De Minimis'' Determination===

A ''de minimis'' finding means that a transportation use of a Section 4(f) property will cause minimal impact to the resource after considering impact avoidance, minimization, and mitigation or enhancement measures. If FHWA determines that the use of Section 4(f) land will have no adverse effect on the protected resource and obtains written agreement to such determination from the responsible official(s) with jurisdiction over the resource, an analysis of avoidance alternatives is not required and Section 4(f) is complete. Although a ''de minimis'' impact determination does not require evaluating whether avoidance alternatives are feasible and prudent, FHWA does consider any impact avoidance, minimization, and mitigation or enhancement measures that are included in the project to address the impacts and adverse effects on the Section 4(f) resource. The purpose of taking such measures into account is to encourage incorporating Section 4(f) protective measures as part of the project. ''De minimis'' impact findings are expressly conditioned upon implementation of any measures that were used to reduce the impact to a ''de minimis'' level. The LPA is responsible for ensuring such measures are implemented.

The ''de minimis'' impact criteria for historic sites are different from those for parks, recreation areas, and wildlife and waterfowl refuges. ''De minimis'' impacts on historic sites are defined as either a “no adverse effect” determination or “no historic properties affected” in compliance with Section 106 of the NHPA. ''De minimis'' impacts relative to publicly owned parks, recreation areas, and wildlife and waterfowl refuges are those that do not adversely affect the activities, features, or attributes of the resource.
<div id="In making a de minimis"></div>
In making a ''de minimis'' impact finding, FHWA must consider the facts supporting a ''de minimis'' impact determination, the record of coordination that precedes the'' de minimis'' finding, and the concurrence of the official(s) with jurisdiction. FHWA has the ultimate responsibility of ensuring that ''de minimis'' impact findings and required concurrences are reasonable. If FHWA makes a ''de minimis'' determination, the MoDOT district contact will notify the LPA, who will need to assemble the documentation required to support the finding. [http://www.fhwa.dot.gov/hep/qasdeminimus.htm Documentation requirements] are available. The public must also be afforded an opportunity to review and comment on the effects of the project on the protected activities, features, or attributes of the Section 4(f) property see [[:Category:129 Public Involvement#129.8 Section 4(f) Lands|EPG 129.8 Section 4(f) Lands]]”).

===136.6.4.2.4 Programmatic Section 4(f) ===

FHWA has approved five nationwide programmatic Section 4(f) evaluations. One covers federal-aid highway projects that use minor amounts of land from publicly owned public parks, recreation areas, or wildlife and waterfowl refuges. A second covers highway projects that use minor amounts of land from historic resources either listed on or eligible for the National Register of Historic Places (NRHP). The third programmatic Section 4(f) covers the use of historic bridges. The fourth is for independent bikeway or walkway construction that requires the use of recreation areas or parkland. The fifth is the net benefit programmatic Section 4(f) evaluation for projects that will use land from a Section 4(f) park, recreation area, wildlife or waterfowl refuge, or historic property and will result, in the view of FHWA and the official(s) with jurisdiction over the Section 4(f) property, in a net benefit to the 4(f) property.

The programmatic Section 4(f) documentation must demonstrate that the project meets applicability criteria for a programmatic evaluation, that avoidance alternatives have been evaluated, that no feasible and prudent alternatives exist, and that appropriate mitigation measures have been included. It must also include correspondence demonstrating that the official(s) with jurisdiction over the Section 4(f) resource agrees with the assessment of impacts and with the proposed mitigation measures. The documentation should be self-contained and self-explanatory since it will be available to the public upon request. With the exception of the programmatic Section 4(f) for historic bridges, a programmatic 4(f) evaluation cannot be used on projects requiring preparation of an EIS.

Using the nationwide programmatic evaluations can streamline the Section 4 (f) process for qualifying projects by eliminating some of the project-by-project internal review and interagency coordination. The [http://www.environment.fhwa.dot.gov/4f/4fnationwideevals.asp applicability criteria for the programmatic Section 4(f) evaluations] are available. For projects meeting the criteria, the programmatic Section 4(f) evaluation satisfies the requirements of Section 4(f) and no individual Section 4(f) evaluations need be prepared. The FHWA division office is responsible for reviewing each individual project to determine whether it meets the criteria and procedures of the programmatic Section 4(f).

===136.6.4.2.5 Section 4(f) Evaluation Process===

When adequate support exists for a Section 4(f) determination and the use of the property does not qualify for a de minimis determination or one of the nationwide programmatic Section 4(f) evaluations, the LPA will complete a Section 4(f) Evaluation. The evaluation must specifically explain why the alternatives to avoid the Section 4(f) property are not feasible and prudent and describe all measures that will be taken to minimize harm to the Section 4(f) property. Supporting information should demonstrate that there are unique problems or unusual factors involved in the use of alternatives that avoid the properties or that the cost, social, economic, environmental impacts, or community disruption resulting from such alternatives reach extraordinary magnitudes.

FHWA will review the final Section 4(f) evaluation for legal sufficiency before issuing an approval. LPAs will not proceed with any project requiring the use of Section 4(f) property and determined to be classified as a CE until notified by FHWA of Section 4(f) approval. For projects classified as EA or EIS, Section 4(f) approval is documented on a separate signature page concurrently with FHWA’s approval of the Finding of No Significant Impact (FONSI) or the final EIS. For EIS projects, the LPA should briefly summarize the Section 4(f) impacts and mitigation measures in the Record of Decision (ROD).

Circulation of a separate Section 4(f) evaluation is required when:

1. A proposed modification to the alignment or design after approval of the CE, EA, FONSI, draft EIS, final EIS, or ROD would require the use of Section 4(f) property;

2. FHWA determines that Section 4(f) applies to a property after approving the CE, EA, FONSI, draft EIS, final EIS, or ROD; or

3. A proposed modification to the alignment, design, or measures to minimize harm after the original Section 4(f) approval would result in a substantial increase in the amount of Section 4(f) land use, a substantial increase in the adverse impacts to Section 4(f) land, or a substantial reduction in mitigation measures.

If FHWA determines that Section 4(f) is applicable after approval of the CE, EA, FONSI, final EIS, or ROD, the decision to prepare and circulate a Section 4(f) evaluation will not necessarily require the preparation of a new or supplementary environmental document. Where a separate circulated Section 4(f) evaluation is prepared, such evaluation does not necessarily:

1. Prevent the issuance of new approvals,

2. Require the withdrawal of previous approvals, or

3. Require the suspension of project activities for any activity not affected by the Section 4(f) evaluation.

Detailed information on preparing a Section 4(f) Evaluation is provided in [[media:136.6.9.doc|Fig. 136.6.9]].

===136.6.4.2.6 Section 6(f) of the Land and Water Conservation Fund (LWCF) Act and Similar Grant Programs===

The Land and Water Conservation Fund (LWCF) Act provides funds for the acquisition and development of public outdoor recreation facilities. These could include community, county, and state parks, trails, fairgrounds, conservation areas, boat ramps, shooting ranges, etc. Section 6(f) of the LWCF Act places restrictions on public recreation facilities funded with LWCF monies— LWCF-assisted facilities must be maintained for outdoor recreation in perpetuity. Therefore, use of such property for a transportation project will require mitigation that includes replacement land of at least equal value and recreational utility. Section 6(f) documents are lengthy, frequently taking one to two years to process, and also require a signed Section 4(f) document to be completed.

Section 4(f) ''de minimis'' impact findings do not satisfy the requirements of Section 6(f) of the LWCF Act or other U.S. Department of Interior (DOI) grants-in-aid programs. Projects that propose the use of land from a property or site purchased or improved with funds under the LWCF Act, the Federal Aid in Sport Fish Restoration Act (Dingell-Johnson Act), the Federal Aid in Wildlife Restoration Act (Pittman-Robertson Act), or other similar law, or lands otherwise encumbered with a federal interest will require the LPA to coordinate with the appropriate federal agency regarding the agency's position on the land conversion or transfer. Other federal requirements that may apply to the Section 4(f) land should be determined through consultation with the officials with jurisdiction or appropriate DOI or other federal official. These federal agencies may have regulatory or other requirements for converting land to a different use. These requirements are independent of a ''de minimis'' impact finding and must be satisfied.

The Urban Park and Recreation Recovery (UPARR) program has provided funds toward the renovation and rehabilitation of numerous urban parks and recreation facilities. Although the UPARR funds may have been used in only a portion of a site or facility or were only a small percentage of the funds needed to renovate or rehabilitate a property, no property improved or developed with UPARR assistance can be converted to other than public recreation uses without the advance approval of the National Park Service. To be approved, a formal request for the conversion must be made by the grant recipient (urban city or county). The request must document that all alternatives to the conversion have been evaluated and rejected on a sound basis, required replacement land being offered as a substitute is of reasonably equivalent location and recreational usefulness, and the property for substitution meets the eligibility requirements for UPARR assistance.

Conversions of land funded by any of the aforementioned grant programs are tightly restricted by terms of the grant agreement and generally require lengthy coordination to meet the requirements for conversion.

==136.6.4.3 Section 404 Permits for Wetlands and Streams==

Projects that involve stream crossing(s) and/or impacts to wetlands under the jurisdiction of the U.S. Army Corps of Engineers (COE) require a Section 404 Permit or written confirmation that impacts will not trigger submittal of a Section 404 permit application. A Section 404 permit may be required for fill in any water body (waters of the U.S.)—lakes, ponds, streams, rivers, and wetlands. The COE will make a final determination as to the extent of its jurisdiction and the appropriate permit(s) for all regulated activities. If the proposed action impacts a wetland, a determination must be made that there is no practicable alternative to the wetland impact or floodplain encroachment.

The following information is required to satisfy NEPA reporting requirements as they pertain to impacts related to Section 404:

:1. A description of impacts to all streams, wetlands, and other water bodies.
:2. All coordination efforts with regulatory and resource agencies to avoid, minimize, and mitigate for impacts.
:3. Impacts of alternatives to the proposed action.
:4. Commitments and other mitigation measures for the project.

Stream and/or wetland impacts exceeding 0.5 acre or channelization beyond the minimum necessary to construct or protect the linear transportation project may require an individual permit. If the COE issues an individual Section 404 permit for project activities, the LPA must obtain an individual Section 401 Water Quality Certification from the Department of Natural Resources (DNR). For a nationwide permit (NWP), the LPA is obligated to follow the conditions specific to the appropriate NWP within DNR’s conditional 401 certifications. Most NWPs will not require an individual request for DNR’s Section 401 Water Quality Certification, because the agency has granted conditional certification for the majority of commonly used NWPs. The LPA must include the appropriate 401 certification conditions for their respective NWP(s) in the construction contract (see Item no. 3, below, for link to conditions).

The LPA should send duplicate permit applications concurrently to the COE and DNR for individual Section 404 permits/401 certifications. The COE application must be accompanied by copies of applicable permits, concurrence/clearance letters, or correspondence from resource agencies (particularly U.S. Fish & Wildlife Service for federally listed threatened or endangered species concerns under Section 7 Endangered Species Act (ESA) and the Missouri Department of Natural Resources’ State Historic Preservation Office (SHPO) for Section 106 compliance) verifying any regulatory requirements for the project. '''Section 404 permit issuance is dependent upon demonstrating compliance with other agencies’ regulatory requirements.''' This applies to both individual permits and NWPs requiring pre-construction notification. Therefore, Section 7 ESA consultation with the USFWS and Section 106 consultation with the SHPO must be complete before the COE will issue a permit or verify NWP coverage (please see EPG 136.6.4.1 and EPG 136.6.4.5 for detailed information on MoDOT’s role in ensuring ESA and Section 106 compliance on behalf of FHWA). Once the COE is ready to issue the individual permit, it will request 401 certification issuance from DNR. The LPA must include in the construction contract both the 404 and 401 permits and the conditions covered therein. A [https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/Obtain-a-Permit/ 404 permit application form] is available.
<div id="On linear transportation projects"></div>
On linear transportation projects where permanent fills impacting waters of the U.S. (not including wetlands) do not exceed 0.1 acre, there is no legal obligation to submit an application to the COE, unless one of the pre-construction notification requirements applies (see NWP descriptions and notification requirements, pages 1983-1998 of the [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Federal Register]). If a project meets the “no pre-construction notification” condition, the LPA must provide a written statement to MoDOT verifying that permanent project impacts will not exceed 0.1 acre and upload that determination to the RER as documentation of such. If either temporary or permanent impacts to wetlands will result from project construction, then a permit submittal is required.

For impacts that exceed the nationwide permit pre-construction notification thresholds, the LPA must obtain a permit from the COE and provide it to MoDOT. In either the no pre-construction notification or the permit application submittal scenario, if NWP(s) apply, then the LPA is required to abide by all of the following conditions and include them in all contract proposals to validate the NWP(s):

1. The 32 Nationwide Permit General Conditions. The [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf 2017 Nationwide Permit Conditions] define the general conditions on pages 1998-2004 (under ''C. Nationwide Permit General Conditions'').

2. The Regional Special Conditions for NWPs. The Nationwide Permit (NWP) [http://www.mvs.usace.army.mil/Portals/54/docs/regulatory/permits/2017NWP_MORegCon.pdf Regional Conditions] are available.

3. The State of Missouri Section 401 Water Quality Certification General & Specific Conditions. The [https://dnr.mo.gov/pubs/pub2815.htm State of Missouri 401 Water Quality Certification] conditions for Nationwide Permits are available.

==136.6.4.4 Channel Modification==

Channel changes alter the conditions of the natural waterway and may increase velocity of the flowing water, sometimes enough to damage the highway embankment near the stream or cause excessive scour around footings of structures. Because channel modifications may result in such outcomes, alterations should be avoided to the fullest extent practical. Where channel alterations are unavoidable, the environmental, hydraulic, legal, and geomorphic aspects involved must be evaluated. The effect on peak flow downstream and the affected flow area should be determined. Relative to Section 404 permitting, any channelization should be kept to an absolute minimum and should only be undertaken to facilitate or protect a construction project. The LPA must include justification for any channel changes in the Section 404 permit application.

1. The new channel should duplicate the existing stream and floodplain characteristics as nearly as possible, including stream width, depth, slope, flow regime, sinuosity, bank cover, side slopes, and flow and velocity distribution.

2. Channel modification may be constructed if the average channel velocity would not be increased beyond the scour velocity of the predominant soil type at the project site.

3. The COE will require individual permit authorization for projects with channel modification beyond the minimum needed to construct or protect the linear transportation project. Such modifications must be in the immediate vicinity of the project and the LPA will be required to do stream mitigation to compensate for the channel loss. This can drastically add to the cost of a project; it may require a monetary contribution to an approved stream mitigation bank/in lieu fee program or the acquisition/restoration and/or, in very limited circumstances, protection of a previously impacted stream resource.

==136.6.4.5 Threatened and Endangered Species and Migratory Birds==
{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="460px" align="right"
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|'''Threatened and Endangered Species Program Guidance Videos'''
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|[https://youtu.be/Kg3bqv3meJk Chap. 1, Overview and Background Information]
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|[https://youtu.be/jGbwlNbP5-k Chap. 2, Common Field Assessments: Bats and Birds]
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|[https://youtu.be/ZRtRSpUHNTc MDC Tutorial: Natural Heritage Review]
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|'''Threatened and Endangered Species Assessments'''
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|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
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|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
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Threatened and endangered (T&E) species considerations for FHWA funded projects include potential impacts to rare plants, animals, critical habitat, and natural communities (e.g., caves, prairies, karst). FHWA must document compliance with federal and state laws governing potential impacts to listed species. Project sponsors receiving federal aid are required to thoroughly investigate any impacts their projects might have on federally listed T&E species and any federally designated critical habitats.

The state of Missouri also tracks the status of over 1,100 plant and animal species that are considered rare in the state. Of these, 70 are listed as state endangered (current as of the 2019 Missouri Species and Communities of Conservation Concern publication). The state Endangered Species Law and the Missouri Wildlife Code protect state listed species. All FHWA funded projects in Missouri must also address potential impacts to state listed species.

===136.6.4.5.1 Laws and Regulations===

* The [http://www.fws.gov/endangered/laws-policies/index.html Endangered Species Act of 1973] (ESA) requires FHWA to consult with the U.S. Fish and Wildlife Service (FWS) regarding their projects and measures that can be implemented to minimize or eliminate project impacts to federally protected species and critical habitats. FHWA has designated MoDOT as the only non-federal agency that can conduct ESA Section 7 consultation on their behalf. Project sponsors must provide MoDOT with all the necessary information to document effect determinations for all federally protected species that could occur in the project area. If necessary, MoDOT will complete Section 7 consultation directly with FWS for all projects which May Affect (positively or negatively) federally listed species.

* The National Environmental Policy Act ([https://www.environment.fhwa.dot.gov/projdev/index.asp NEPA]) of 1969 (as amended) requires consideration of the physical environment for any project that uses federal funding or requires federal permits.

* The Missouri Revised Statute, Title XXXVIII, Chapter 569 (formerly CH 578, Missouri Cave Resources Act), defines prohibited actions for caves regarding trespass, vandalism, contamination, and destruction.

* The Missouri Revised Statute, Title XVI, Chapter 252, which defines the Missouri Endangered Species Law, and the Missouri Code of State Regulations, Title 3, Division 10, Chapter 4 (Wildlife Code: General Provisions) extend special protections to species that are listed as endangered in the state. The Missouri Department of Conservation (MDC) administers the Wildlife Code which pertains to permissible and prohibited actions for Missouri fish, wildlife, and plants. MDC also tracks locations of federally protected and state endangered species and species and communities of conservation concern in Missouri.

===136.6.4.5.2 Process===

The ESA requires federal agencies to evaluate every project and determine whether it could have a negative impact on any federally listed T&E species or their critical habitat. Sponsors must provide this evaluation to MoDOT for their federally funded projects and give sufficient data to justify their impact assessment for each species that could occur in the project area. T&E information should be made available to MoDOT Design Environmental Section at least 6 months ahead of Plan Submittal and Estimates (PS&E) date. Please refer to the [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]] for examples of how to assess species impacts from your federally funded project.
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|'''Additional Info'''
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|[[media:136.6.4.5.2.pdf|FHWA Feb 2015 non-fed designation letter]]
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Under the ESA, no action can be taken that will jeopardize the continued existence of any federally listed threatened or endangered species or result in the destruction or adverse modification of critical habitat for such species. If an action May Affect a federally listed species or critical habitat, FHWA and MoDOT must consult with the FWS to determine how to eliminate or minimize those impacts.

====136.6.4.5.2.1 Sponsor Responsibilities====
The sponsor must submit via the Request for Environmental Review (RER) database the completed T&E assessment package in timely manner to allow a reasonable amount of time to obtain clearance for T&E requirements and consultation, which in some case could take up to 6-8 months. Please refer to [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]], to find the appropriate information to be submitted. NOTE: Threatened and Endangered Species clearance is now required by Missouri FHWA prior receiving NEPA classification approval. (See [[LPA:136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]).

[[image:127.7.2.jpg|center|800px|thumb|<center>'''Missouri is home to 14 species of bats. Three of these species are federally protected and call Missouri caves and forests home. Occasionally, they also call our infrastructure “home”, at least temporarily. Bats can form colonies on or in bridges or use them as temporary day or night roosts, sleeping during the day, or stopping over at bridges to rest at night while feeding. Only one of these photos shows bats in a “natural” habitat; the top left photo is of Indiana bats clustering in a cave, which would be during winter hibernation. The rest are all photos of bats, even federally protected species, taking advantage of the cracks and crevices in our bridge structures. Take care to check bridges for signs of bat use prior to bridge rehabilitation or replacement projects. If you do ever see bats utilizing bridges, please do not disturb them and report the occurrence to the Environmental Staff at MoDOT. </center>''']]

It is up to the sponsor to produce a written evaluation of their project's impacts on each listed species. The sponsor must demonstrate a basic understanding of the habitat requirements for each species from the FWS official project species list and assess if the same habitat exists in the project area. MoDOT has provided example habitat descriptions for the sponsor to use in evaluating project impacts ([[media:Fig. 136.6.19.pdf|Fig 136.6.19]]). If there is suitable habitat in the project limits, then the project May Affect listed species. The sponsor or their consultant should submit the full project limits, easements, right-of-way, utilities, staging, storage, temporary crossing, and access and ground disturbance information along with aerial photos, plans (if available) and diagrams of the full project impacts.

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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.2.1.jpg|center|720px]]
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The sponsor may be asked to provide additional detailed information about the project which may include contracting for additional species and habitat surveys. The sponsor and/or the consultant may need to work with MoDOT environmental staff to determine measures that could be implemented to minimize the project’s impacts on T&E species. It is important that the sponsor, and not just the consultant, be involved in this process to ensure that suggested changes to the project are feasible and will be implemented. Any measures to minimize or eliminate impacts to T&E species must become contract commitments (i.e., job special provisions, design modifications, plan notes, etc.).

====136.6.4.5.2.2 Environmental Section Responsibilities====
Upon receiving a completed T&E submittal from the LPA sponsor or their consultant (refer to steps in the [[media:Fig. 136.6.18.pdf|T&E Checklist]]), MoDOT environmental staff will review the project details and impact evaluations from the sponsor and provide a written determination of effect for all listed species. This documentation may be in agreement with or in addition to the sponsor’s evaluation. Official effect determinations must be documented in the permanent NEPA record. MoDOT environmental staff will also specify what actions need to occur to address any environmental issues and who needs to perform those actions (the sponsor or MoDOT). MoDOT will handle all coordination with the FWS to obtain any necessary clearances.

If the sponsor determines and MoDOT agrees that there will be No Effect on listed species or their suitable habitat, then the ESA requires no further coordination at that time. In the RER, MoDOT will document that the project is clear of any T&E species constraints. If any measures or modifications are necessary to achieve a No Effect determination, these will become commitments during the NEPA decision making process and require follow-through for compliance.

If it is determined that a federally listed T&E species, suitable habitat, critical habitat, or other federally protected resource is present or is likely to occur within the project limits and the action may affect a listed species or federally designated critical habitat, FHWA and MoDOT are required to complete ESA consultation with the FWS. The ESA describes two types of consultation, formal and informal. Formal consultation is required when there will be an Adverse Effect on a listed species or Adverse Modification of federally designated critical its habitat. It is rarely necessary, and therefore it is not covered in detail here. Should formal consultation become necessary, FHWA, MoDOT, and the sponsor would work through the process together.

=====136.6.4.5.2.2.1 Informal Consultation=====
Informal consultation is conducted when a T&E species, suitable habitat, or critical habitat is present or likely to occur in the proposed project area and MoDOT on behalf of FHWA has determined that the project “may affect, but is not likely to adversely affect” (NLAA) the species. Informal consultation can only be completed if FHWA and MoDOT can provide data to show that they have removed all potential for the project to have an adverse effect on the species or its critical habitat. As the designated non-federal representative of FHWA, MoDOT environmental staff submits project details, species assessments, and effect determinations to FWS justifying that the project is not likely to adversely affect the species and request written concurrence. The justification for this submittal is taken from the sponsor’s evaluation of the project impacts. It may be necessary for the sponsor to conduct additional surveys, commit to seasonal restrictions, or modify the design of the project to avoid or minimize impacts to listed species. Commitments made during consultation must be followed to be in compliance with federal laws. All T&E commitments must be included in the NEPA documentation and attached to the RER. Once the documentation is submitted to the FWS, they usually respond within 30 days. If they concur with the NLAA determination, and the sponsor has committed to conservation measures which will be implemented for the project, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance. If FWS does not concur with that determination, then either additional clarification and protection measures may be needed or formal consultation is necessary. Informal consultation with the FWS should begin three to six months prior to Plans, Specs, and Estimates (PS&E) to allow time to complete the process and avoid project delays.

=====136.6.4.5.2.2.2 Range-wide Programmatic Informal Consultation for Indiana Bat and Northern Long-eared Bat Only=====
Your project may qualify for consultation under a programmatic agreement for summer bat habitat impacts if certain conditions can be met. The FWS and FHWA entered into an agreement for streamlining consultation for projects that are NLAA Indiana and northern long-eared bats. [http://www.fws.gov/midwest/endangered/section7/fhwa/index.html More information about this programmatic consultation agreement] is available.

Generally, if suitable summer bat habitat is present in the project limits, trees to be removed for the project are entirely within 100 ft. of the existing road, and the sponsor commits to seasonal tree clearing (i.e. clearing suitable bat habitat only between November 1 and March 31) then the project likely qualifies for programmatic consultation. The justification for this assessment is taken from the sponsor’s evaluation of the project impacts. It will be necessary for the sponsor to commit to seasonal tree clearing restrictions. MODOT environmental staff will submit documentation to FWS describing project details and verifying the project meets the programmatic consultation criteria. Once submitted to the FWS, they have 14 days to ask for additional information. If there is no comment during that time, the project has automatic concurrence for Indiana and northern long-eared bat impacts. If “No Effect” determinations are made for all other species, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance.

===136.6.4.5.3 Migratory Birds===

Sponsors could encounter the nests of bird species protected by the [https://www.fws.gov/laws/lawsdigest/migtrea.html Migratory Bird Treaty Act of 1918] (MBTA) while conducting bridge repairs and replacements. Several bird species protected by the Act commonly construct their nests on the underside of bridge decks and on the substructure. These most often include cliff swallows, barn swallows, Eastern phoebes, and American robins. Cliff swallows build their gourd-shaped mud nests in colonies, sometimes containing hundreds of nests. Often, these nests are found on bridges over water but they can also occur on bridges over major highways and railroads, particularly if the bridge is in a floodplain or near permanent water. Barn swallows also build mud nests, but they are cup-shaped and not enclosed like cliff swallows. They will also nest in colonies, but usually these are much smaller than those of cliff swallows.

[[image:136.6.4.5.3.jpg|center|700px|thumb|<center>'''Cliff swallows under a concrete bridge over a stream. This species generally nests in colonies of several birds, building their own nests in a matter of days from mud pellets. Once eggs are laid in a nest, it would be a violation of the Migratory Bird Treaty Act to destroy the nest and its eggs, young birds, or adults without a permit. The general breeding dates for this species in Missouri is April 1 through July 31, however, they could nest before and after those dates. Cliff swallows can brood multiple clutches (groups of eggs) during a single breeding season.'''</center>]]

Eastern phoebe and American robin nests are frequently found on smaller bridges over small rivers. Usually they are on the top of substructure steel components and near the abutments. They are not colony nesters but sometimes 3 or 4 nests can be found on a single bridge. Other MBTA-protected species can also be found nesting on bridges, but they are not common. Several bird species that are not protected by the MBTA are often seen nesting on bridges. These include pigeons (rock doves), European starlings, and house sparrows. These species are all non-native introductions to the US and therefore, they are not protected by the MBTA.

====136.6.4.5.3.1 Laws and Regulations====
The Migratory Bird Treaty Act of 1918 makes it illegal for anyone to take, possess, import, export, transport, sell, purchase, barter, or offer for sale, purchase or barter any migratory bird, or the parts, nests or eggs of such a bird except under the terms of a valid permit issued pursuant to Federal regulations. The migratory bird species protected by the act are listed in [https://www.fws.gov/migratorybirds/pdf/policies-and-regulations/MBTAListofBirdsFinalRule.pdf 50 CFR 10.13]. "Take" refers to killing adults, eggs or young of the bird species protected by the act.

====136.6.4.5.3.2 Process====
All projects that involve impacts to the underside of bridge decks, the substructure, or concrete box culverts should be checked for the presence of nesting birds. For LPA projects, the project sponsor or their consultant is expected to perform the inspection and report it on the Request for Environmental Review (RER) and [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]].

Inspections should take place within a year of the anticipated letting date. The checklist notes additional requirements for documenting bridge inspections. If no nests are noted, the project will be cleared and nothing further is required. If nests are noted, a Job Special Provision will need to be placed in the contract that provides guidance on how to avoid violating the MBTA. Often, removal of the old, inactive nests (those without eggs or young) before the project starts, and maintenance of the bridge in a nest-free condition until construction, is necessary. Nest removal should be done in the non-breeding season. Generally speaking, the assumed active breeding season for the majority of the birds that would use bridge and culvert structures as habitat is between April 1 and July 31. However, these are just general dates and no active bird nests should be disturbed without a permit, even outside of these dates.

[[image:136.6.4.5.3.2.jpg|center|475px]]

=====136.6.4.5.3.2.1 Sponsor Responsibilities=====
The Sponsor is responsible for reporting any nests known to be present on the structure when submitting the RER and on the LPA Environmental T&E Checklist (see excerpt below). If nests are present, a JSP for avoidance will be used and must be followed.

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="800px" align="center"
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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.3.2.1.jpg|center|720px]]
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=====136.6.4.5.3.2.2 Environmental Section Responsibilities=====

During RER reviews, the MoDOT Environmental Specialist will review the project description, plans, photos, and written assessments and determine if the project has the potential to harm protected species. MoDOT will confirm with the sponsor the JSP will be used prior to clearing the Migratory Bird review on the RER. If a project is already under construction, and nests are noted on the bridge, MoDOT will assist in determining if the nests are active, if they belong to an MBTA-protected species, and to provide the sponsor with options to avoid violations of the MBTA.

==136.6.4.6 Base Floodplain and Regulatory Floodway==

Floodplains provide a number of important functions in the natural environment—creating wildlife habitat, providing temporary storage of floodwater, preventing heavy erosion caused by fast-moving water, recharging and protecting groundwater, providing a vegetative buffer to filter contaminants, and accommodating the natural movement of streams. Executive Order 11988—Floodplain Management, Federal Highway Administration (FHWA) policy and procedures in 23 CFR 650, and other federal floodplain management guidelines direct agencies to evaluate floodplain impacts for proposed actions.

Floodplains can be described by the frequency of flooding that occurs. With Executive Order 11988, the base, or one percent annual chance, flood was formally adopted as a standard for use by all federal agencies. The base flood is the flood that has a one percent chance of being equaled or exceeded each year. Thus, the base flood can occur more than once in a relatively short period of time. The base flood is commonly labeled the “one percent flood” and often inappropriately referred to as the “100-year” flood. Larger floods may, and often have, occurred but the one percent flood is the generally accepted regulatory standard.

The National Flood Insurance Program (NFIP) uses the base flood as the standard for floodplain management and to determine the need for flood insurance. When available, NFIP flood hazard boundary maps and flood insurance studies for the project area are used to determine the limits of the base (1%) floodplain and the extent of encroachment (an action within the limits of the base floodplain). The base floodplain is the area of one percent flood hazard within a county or community—that is, the area in which the flood has a one percent chance of being equaled or exceeded in any given year.

The regulatory floodway is the area of a stream or river channel plus any adjacent floodplain areas that must be kept open to convey floodwaters from the base flood without increasing the height of the flood more than a certain amount. Federal Emergency Management Agency (FEMA) restrictions do not allow projects to cause any rise in the regulatory floodway and no more than a one-foot cumulative rise may result from all projects in the base (1%) floodplain. [[media:136.6.10.doc|Fig. 136.6.10]] illustrates the various elements of a typical floodplain.

The LPA provides information on the LPA Request for Environmental Review (RER) form regarding community participation in the NFIP and whether the project is located in a Special Flood Hazard Area (SFHA). The SFHA is the land area covered by the floodwaters of the base flood on NFIP maps and where the NFIP's floodplain management regulations must be enforced. A current list of communities for which FEMA Flood Insurance Studies have been performed is available in the [http://www.fema.gov/national-flood-insurance-program/national-flood-insurance-program-community-status-book National Flood Insurance Program Community Status Book]. [http://www.fema.gov/cis/MO.pdf Missouri-only data] is also available. If the project is located in a community or county that has not been mapped, the LPA notes this. If the community has been mapped, the LPA identifies whether the project is located in the 100-year floodplain and/or regulatory floodway.

The MoDOT district contact will inform the LPA of the need to obtain a floodplain development permit ([http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11 LPA Floodplain Development Permit Application]) from the local floodplain administrator or whether, for projects proposed within regulatory floodways, the LPA must obtain a “no-rise” certificate before a Floodplain Development Permit is issued. To find contact information for your local floodplain administrator, use the menu or map feature under Local Floodplain Administrator on the [http://www.sema.dps.mo.gov/programs/floodplain/ State Emergency Management Agency website]. [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12] contains the Engineering "No-Rise" Certification form and [[media:136.6.13.doc|Fig. 136.6.13]] describes Procedures for “No-Rise” Certification for Proposed Development in the Regulatory Floodway.

LPAs that participate in the NFIP must ensure that floodplain developments meet the NFIP regulations identified in [https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml Title 44, Code of Federal Regulations], Parts 59 through 78. (Parts 59 and 60 contain the most applicable information for a typical project.) The LPA, with assistance from the local floodplain administrator, is responsible for ensuring that FEMA NFIP requirements are met. The LPA is also responsible for obtaining all required certifications before construction begins. The LPA should note that if a project requires a Clean Water Act Section 404 permit, the floodplain development permit cannot be issued until the 404 permit is issued by the US Army Corps of Engineers ([https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml 44CFR60.3a]). Issuance of the 404 permit is also dependent on other applicable clearances such as Section 106 of the National Historic Preservation Act and Section 7 of the Endangered Species Act. Additionally, because the NFIP requirements may control the hydraulic design of the project, the LPA is advised to investigate this in the early stages of the project.

For the convenience of LPAs and engineers, [http://msc.fema.gov/portal FEMA Flood Insurance Studies and flood maps] pertaining to a project site can be viewed by selecting “Flood Insurance, Flood Maps, and/or All Flood Information.” Hardcopies of the FEMA Flood Insurance Studies and Flood Maps can also be ordered through the same site.

==136.6.4.7 State Emergency Management Agency (SEMA)/Federal Emergency Management Agency (FEMA) Buyout Lands==

The Flood Disaster Protection Act of 1988 (The Stafford Act), under Section 404, identified the use of disaster relief funds for the Hazard Mitigation Grant Program (HMGP), including the acquisition and relocation of flood-damaged property. The Volkmer Bill further expanded the use of HMGP funds under Section 404 to “buy out” flood-damaged property that had been affected by the Great Flood of 1993.

These FEMA buyout properties have numerous restrictions. No structures or improvements may be erected on these properties unless the improvements are open on all sides. The site can be used only for open space purposes and must remain in public ownership. These conditions and restrictions (among others), along with the right to enforce same, are deemed to be covenants running with the land in perpetuity and are binding on subsequent successors, grantees, or assigns. Any project decision involving a FEMA buyout property should consider that it may take two to three years to obtain an exemption from FEMA to use this parcel, and if allowed, the exemption would likely be a permanent easement rather than a transfer of property.

==136.6.4.8 Stormwater and Erosion Control==

Provisions of the federal Clean Water Act (CWA) and related state rules and regulations require stormwater permits for construction activities that disturb areas of one acre or more. Prior to initiation of any federal-aid project, the LPA needs to determine the acreage that will be disturbed. If less than one acre is disturbed, the LPA is exempt from the requirements of the CWA National Pollutant Discharge Elimination System (NPDES) program permits and DNR permit applications. However, there may be other state or local ordinances that must be addressed and the LPA should inquire whether there are local rules and regulations that govern clean water guidelines. Even if a NPDES permit is not required and there are no local clean water guidelines, the LPA must still develop and adhere to a site specific erosion control plan for ANY ground disturbance. If more than one acre is planned to be disturbed, documentation shall be provided in the NEPA document for the project and a commitment to obtain and comply with pertinent NPDES permits shall be listed in the NEPA commitments.

'''Permit for Land Disturbance'''

Missouri Department of Natural Resources (DNR) is Missouri’s regulating agency for environmental compliance. DNR issues land disturbance permits for projects one acre and greater to ensure compliance with the CWA and Missouri’s Clean Water Law. LPA’s will be required to obtain a land disturbance permit from DNR for any applicable project, unless a general operating permit exists for the entity. A few cities (Kansas City, Columbia, and others) and counties have obtained their own land disturbance permits from DNR for generic land disturbance purposes. In these areas, the LPA (city or county government) has its own restrictions and erosion control guidelines to meet the intent of its program. If one acre or more will be disturbed, the LPA should determine whether its city or county is operating under a DNR-approved program. If so, the local government jurisdiction will impose appropriate erosion controls.

When a project will disturb one acre or more and the city or county does not have a DNR-approved stormwater program, the LPA must obtain a permit from DNR and provide documentation that this commitment was completed. The LPA must develop a Stormwater Pollution Prevention Plan (SWPPP) for the project and a site-specific erosion control plan. [http://cfpub.epa.gov/npdes/stormwater/swppp.cfm Some example SWPPPs] are available. The LPA will need to contact the DNR NPDES Water Pollution Control Program office (573-751-1300 or 800-361-4827) for further directions. The LPA is responsible for providing a temporary erosion control plan to be included with the final plan submittal if any amount of acreage is to be disturbed. The plans will detail the types of temporary erosion and sediment control best management practices (BMPs) to be used and where the items will be installed. Further information on design criteria can be found in [[:Category:806 Pollution, Erosion and Sediment Control|EPG 806 Pollution, Erosion and Sediment Control]].

For information on temporary stream crossing pipes and construction, see [[806.8 Storm Water Pollution Prevention Plan (SWPPP)|EPG 806.8 Storm Water Pollution Prevention Plan (SWPPP)]].

'''Individual State Operating Permit for TS4'''

MoDOT has an individual permit (from MDNR) that applies to stormwater (TS4 Permit MO-0137910). If you are inside the limits of a regulated MS4 area, you must adhere to the MS4 requirements as defined in the respective MS4 permit specific to that municipality. Additionally, if you are discharging to a watershed subject to an approved and effective Total Maximum Daily Load (TMDL) that MoDOT is assigned a Waste Load Allocation (WLA) or discharging to an Outstanding National or State Resource Water, directly or through MoDOT’s drainage system (e.g., ditches and stormwater conveyance systems), runoff must be treated for water quality and/or quantity before entering MoDOT’s drainage system. If the project’s land disturbance is 1 acre or more and entirely on MoDOT right of way, you must comply with [[127.29 Storm Water|MoDOT’s TS4 permit]].

==136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way==

Borrow/spoil sites, staging areas, haul roads, and/or burn pits may be located outside the project footprint and therefore were not previously addressed by the NEPA document and other environmental approvals for the project. The LPA is responsible for ensuring that the contractor obtains all necessary environmental clearances for borrow sites and other land disturbance areas—including off-site locations used to deposit excess material or for haul roads. To eliminate possible delays, the LPA should specify in the engineering services contract that a proposed borrow site be investigated. The LPA will provide clearance documentation to the MoDOT district contact. Procedures for environmental clearance of borrow sites and other land disturbance activities outside right of way is available at [[127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations|EPG 127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations]].” This information is also available through the MoDOT district contact.

The requirements of [[#136.6.4.1 Section 106 (Cultural Resource) Compliance |Section 106 of the National Historic Preservation Act]] apply to all areas of land disturbance. The LPA must complete the [http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office's Section 106 Project Information Form] and submit it to DNR. The LPA will provide written certification to the MoDOT district contact that the proposed site of land disturbance has been cleared of environmental concerns under all applicable federal and state laws and regulations. These include but are not limited to the Clean Water Act; Section 4(f) of the Department of Transportation Act; the Endangered Species Act; the National Historic Preservation Act; the Farmland Protection Act; Resource Conservation and Recovery Act; Comprehensive Environmental Response, Compensation, and Liability Act; and RSMo Chapter 194, Section 194.400, Unmarked Human Burial Sites. Certification must include all clearance letters and other evidence of coordination with the appropriate regulatory agencies.

==136.6.4.10 Hazardous Waste==

A number of laws and regulations deal with hazardous waste and both underground and aboveground storage tanks. Properties containing hazardous and non-hazardous solid wastes are frequently encountered in new right-of-way acquisitions. Some properties with extensive contamination and legal liabilities may warrant avoidance. For most sites, however, early identification and planning will allow selection of feasible alternatives with incidental costs. In addressing hazardous and solid wastes, the goals are to avoid unacceptable cleanup cost and legal liability and comply with federal and state laws and regulations regarding cleanup. The most common type of hazardous waste site encountered is a petroleum underground storage tank (UST) site. LPAs shall evaluate proposed corridors for hazardous and solid waste sites by conducting a thorough database search and a field check (if necessary). Possible sources include:

:* [http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm Federal Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)]

:* [http://www.dnr.mo.gov/env/hwp/registry-log.pdf DNR Confirmed Abandoned or Uncontrolled Hazardous Waste Disposal Sites in Missouri]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Generators List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Treatment, Storage, and Disposal Facilities List], select Missouri Commercial Hazardous Waste Facilities, List--PUB968

:* [http://www.dnr.mo.gov/env/swmp/facilities/sanlist.htm DNR Solid Waste Facilities List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Registered Underground Petroleum Storage Tank List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Leaking Underground Storage Tank List]

:* [http://www.pstif.org/ Petroleum Storage Tank Insurance Fund], select Tank Sites tab

:* [http://www.nrc.uscg.mil/nrchp.html National Response Center Hotline], select Services, then query/download and select Standard Reports to run query

:* [http://www.epa.gov/enviro/ EPA Envirofacts], under Other Sites of Interest select Enviromapper

:* Other lists as appropriate.

Coordination with the Environmental Protection Agency (EPA) and DNR will help to determine liability, regulatory requirements, and potential cleanup costs. The potential to encounter unknown wastes from sites not identified through database and/or site reviews by the LPA should always be a consideration. Any unknown sites that are found during project construction shall be handled in accordance with federal and state laws and regulations. Any agency coordination, known hazardous waste site boundaries, and any measures taken to avoid, minimize or mitigate impacts to those areas must be included in the NEPA document. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate.

===136.6.4.10.1 Renovation and Demolition of Structures===

All structures, including bridges, that will be renovated or demolished must be inspected for asbestos. The reports from these hazardous waste inspections MUST be included in the bid proposal. Demolition or renovation is a three-step process under the asbestos regulations. All structures that meet the criteria as described above must be inspected by an Asbestos Building Inspector. Following the inspection, regardless of whether asbestos is present or not, an Asbestos Demolition Notification shall be made to DNR no fewer than 10 working days prior to beginning the project. If regulated amounts of asbestos are present, an Asbestos Project Notification must also be submitted and an Asbestos Post-Notification must be filed after the work is completed. If abatement is necessary, a certified Contractor Supervisor must be present and a licensed asbestos abatement contractor must do the abatement. Useful links for information on asbestos regulations include:

:* The [http://www.dnr.mo.gov/env/apcp/asbestos.htm main Asbestos Information page]
:* [http://www.dnr.mo.gov/pubs/pub2157.pdf Asbestos Requirements for Demolition and Renovation Projects tech bulletin]
:* [http://www.dnr.mo.gov/forms/780-1226-f.pdf Asbestos Project Notification]
:* [http://www.dnr.mo.gov/forms/780-1923-f.pdf Asbestos Demolition Notification]
:* [http://www.dnr.mo.gov/forms/780-1225-f.pdf Asbestos Post-Notification]
:* [http://www.dnr.mo.gov/ MO DNR] contact: Senora Cressman, Environmental Specialist, office (573) 522-9936, cell (636) 432-8083, fax (573) 751-2706.

===136.6.4.10.2 Painting Bridges and Demolition of Painted Structures===

Painted surfaces of bridges and structures often contain heavy metals such as lead, chromium or barium that are regulated as hazardous waste under federal and state law. MoDOT has entered into a Memorandum of Understanding (MOU) with the Department of Health and Senior Services (DHSS) that stipulates certain requirements for lead abatement contractors. The contractor requirements involve any testing or identifying of lead-based paint on the surface of structures, determining whether a painted structure is a lead-hazard because of deteriorated paint, and performance of lead abatement activities. Specific requirements for LPA projects include:

:1) All contractors and subcontractors performing lead abatement activities must be licensed as Missouri lead abatement contractors. Additionally, employees of the contractors performing lead abatement activities are required to be licensed as Missouri lead abatement supervisor(s) and/or workers,
:2) the project sponsor shall provide notification to DHSS through the submittal of a ''lead abatement project funding agency notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects, and
:3) the contractor shall also provide notification to DHSS through the submittal of a ''lead abatement project notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects.

Both the [http://www.modot.mo.gov/business/contractor_resources/LeadPaintActivities.htm MOU and contractor information for lead work activities] are available. [http://www.health.mo.gov/safety/leadlicensing/ Application forms, licensing information and training schedules] are also available.

Painted structures shall be tested prior to painting and demolition to determine proper disposal for the waste generated during the project. The inspection reports MUST be included in the bid proposal. The test results for heavy metal analysis shall be included in the NEPA document, along with the identification of the need to handle and dispose of the material as a hazardous waste. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate. Note that the information provided herein is not inclusive and LPAs must follow all applicable federal and state laws for these activities.

'''Bridge Painting '''

Wash water and wipes used to clean bridge surfaces prior to painting must be collected and tested to determine whether they are regulated as hazardous waste. If it fails, it must be handled in accordance with federal and state law. Wash water that is not hazardous waste must still be collected and disposed at a Publicly Owned Treatment Works or a National Pollutant Discharge Elimination System (NPDES) permit must be obtained for discharge.

Blast residue must be collected and tested to determine whether it is regulated as a hazardous waste. Bridges with lead-, chromium-, or barium-based paint (or other regulated metals), must be handled as a hazardous waste and transported by a licensed hazardous waste transporter to a permitted Treatment Storage and Disposal (TSD) facility. Hazardous Waste Summary reports must be submitted to the Department of Natural Resources (DNR) for assessment of fees and taxes.

'''Painted Block and Brick in Structures to be Demolished '''

When a building or structure (including bridges) that is to be demolished contains block and brick that is painted, the painted surfaces should be tested for regulated heavy-metal-based paint to determine whether the material can be used for clean fill. As previously described above in the first paragraph of EPG 136.6.4.10.2, for any lead testing activity the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS. All other demolition debris must be disposed in a demolition landfill. If a demolition landfill is not available, a permitted solid waste landfill can accept it. The levels of certain metals that are acceptable for use as clean fill are listed in the [http://www.dnr.mo.gov/env/swmp/docs/cleanfill09.pdf DNR Tech Bulletin on Painted Block and Brick].

Also refer to ''Missouri Standard Specifications For Highway Construction'' [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 1081] on bridge painting and [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 202] on demolition.

==136.6.4.11 Farmland Protection Policy Act==

The Farmland Protection Policy Act (FPPA) mandates that agencies identify and take into account the adverse effects of federal projects on farmland. The act requires all federally funded projects to be assessed for the potential conversion of farmland to non-farming purposes. LPAs shall assess the impact of their projects in cooperation with the local Natural Resources Conservation Service (NRCS) office.

If the project requires no additional right of way, farmland assessment is not necessary. When additional right of way is needed, if it is located within city limits and the affected land is entirely developed for uses other than agriculture (e.g., within city limits), the LPA may document this in their files and no further action is required. If it is outside of established city limits, the LPA must complete a [[Media:127.11 Form AD 1006.DOC|Form AD-1006 Farmland Conversion Impact Rating]] (or for corridor type projects [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] and forward it along with the preliminary layouts to the NRCS for agency review.

Forms can also be obtained from the NRCS and may be reproduced. The LPA completes Parts I and III, showing the acreage of new right-of-way and borrow areas, and submits three copies to NRCS. The submittal should request NRCS to fill out Parts II, IV, and V. NRCS assistance in filling out Part VI can also be requested, if desired. The LPA shall also ask NRCS to advise whether any land considered to be farmland is subject to any state or local government policy or programs to protect farmland.

The LPA must complete the form after NCRS returns it. If the total rating exceeds 160 points, the FPPA mandates further consideration of protection. Using the bottom portion of Form AD-1006 labeled “Reason for Selection,” the LPA will document why this site was selected over the other alternative sites and submit one copy of the form along with the preliminary layout. This completes the processing. Under present directives, the LPA will have satisfied the requirements by considering the impact of converting any farmland to non-agricultural use and submitting the completed form. If the project is classified as other than a categorical exclusion, the completed form must be included in the EIS or EA.

==136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)==

[http://www.fhwa.dot.gov/environment/environmental_justice/overview/ Title VI of the Civil Rights Act of 1964 and Executive Order (EO) 12898 on Environmental Justice] apply to all programs and activities of federal-aid recipients, subrecipients, and contractors whether the programs and activities are federally funded or not. Environmental justice should be considered in all project development decisions regardless of the NEPA classification.

Compliance with Title VI and EO 12898 during the NEPA process includes fully identifying social, economic and environmental effects; considering alternatives; coordinating with agencies; involving the public; and utilizing a systematic interdisciplinary approach. Potential impacts to the human environment should drive the transportation decision-making process as much as potential impacts to the natural environment and comparable consideration is to be given to both impacts to the natural and human environment. The final decisions on any proposed project on any federal-aid system are to be made in the best overall public interest, taking into consideration the need for fast, safe and efficient transportation, public services, and the costs of eliminating or minimizing possible adverse economic, social, and environmental effects. Compliance with EO 13166 on Limited English Proficiency should also be considered.

Community impact assessment is key to avoiding the potential for discrimination or disproportionately high and adverse impacts. The LPA will provide a brief description of impacts, if any, to minorities, low-income populations, and the community in general. Most projects will be small and will have minimal to no impacts. If there are any commercial or residential displacements, the following text must be included in the NEPA documentation:

:The acquisition and relocation of affected residential and commercial properties will be conducted in accordance with the relocation procedures established in the Uniform Relocation Assistance and Real Property Acquisition Policies Act (referred to as the Uniform Act) of 1970, as amended. The Uniform Act and Missouri state laws require that just compensation be paid to the owner(s) of private property taken for public use. The Uniform Act is carried out without discrimination and in compliance with Title VI (the Civil Rights Act of 1964), the President’s Executive Order on Environmental Justice, and the Americans with Disabilities Act.

The LPA must provide relocation services to all impacted households without discrimination under guidance of the Uniform Act. Additional information concerning [http://www.fhwa.dot.gov/environment/environmental_justice/ej_at_dot/ environmental justice] and [http://www.fhwa.dot.gov/environment/community_impact_assessment/index.cfm community impact assessment] is available.

Guidelines regarding public involvement can be found in [[:Category:129 Public Involvement|EPG 129 Public Involvement]]. These guidelines are not to be viewed as all-inclusive. Instead, they outline the minimum level of expectations for public involvement, with each individual effort matching the specific needs of the project and the community involved. Public involvement efforts based on environmental document type can be found in [[:Category:129 Public Involvement#129.4 Public Involvement Based on Environmental Document Type|EPG 129.4 Public Involvement Based on Environmental Document Type]]. Documentation is key and any outreach must be documented in the project files and the Request for Environmental Review (RER).

==136.6.4.13 Noise Standards and Noise Abatement==

Federal legislation in 1970 authorized the use of federal-aid highway funds for measures to abate and control highway traffic noise. MoDOT has a federally approved [[127.13 Noise|traffic noise policy]] to define and conform to the requirements of [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=ae7cf57d9d28b534abe1c23c25349e64;rgn=div5;view=text;node=23%3A1.0.1.8.44;idno=23;cc=ecfr Article 772, Code of Federal Regulations (23 CFR 772)] and the noise-related requirements of NEPA. The guidelines in the MoDOT Noise Policy are used to determine the need, feasibility, and reasonableness of noise abatement measures and provide the basis for statewide uniformity in traffic noise analysis. The LPA must use MoDOT’s FHWA-approved noise policy. Refer to [[127.13 Noise|EPG 127.13 Noise]].

==136.6.4.14 Air Quality Requirements==

The Clean Air Act defines requirements for transportation project air quality analysis. In Missouri, requirements are met through conformity demonstrations with established emission budgets contained in the State Implementation Plan (SIP). This process involves projects meeting the definition of "regionally significant" as described in 23 CFR 450.104. At a minimum, this includes all principal arterial highways and all fixed guideway transit facilities that offer a significant alternative to regional highway travel and would normally be included in the modeling of a metropolitan area’s transportation network. Generally, LPA projects will not meet the definition of "regionally significant" and the appropriate response for TIP Number on the Request for Environmental Review (RER) form is “N.A.” In the event a local project is determined to be regionally significant, conformity will be demonstrated through an established process for inclusion in a metropolitan Transportation Improvement Program (TIP).

=136.6.5 Environmental Assessment (EA)=

An EA is prepared when there is uncertainty about the significance of the impacts from a project. FHWA generally expects an EA for two-lane relocation projects and often for add-a-lane projects on new right of way; other types of projects may also require an EA. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EA sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion. An EA describes a project’s purpose and need, identifies the alternates that are being considered, and discusses the expected impacts. It should discuss all topics required by FHWA regulations and guidance but should discuss in detail only those where there is potential for a significant impact. The EA should be concise and should not contain long descriptions or include detailed information that may have been gathered or analyses that may have been conducted for the proposed action. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EA and the format. The LPA must contact the MoDOT district contact if a significant impact is identified at any time during the preparation of an EA. FHWA will determine whether an EIS needs to be prepared.

The LPA should begin consultation (through either early coordination or a scoping process) with interested regulatory agencies and others at the earliest appropriate time, to advise them of the scope of the project. This consultation will help determine those aspects of the proposed action with potential for social, economic, or environmental impact and will identify other environmental review and consultation requirements that are performed concurrently with the EA. Agencies with jurisdiction by law, such as the COE or the FWS, must be invited to become cooperating agencies. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating agencies and FHWA will send the letters. The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes. The EA must summarize the results of both agency consultation and public involvement. The LPA, or its consultant, will prepare a preliminary EA (pEA) that encompasses the following:

:* Finalize the location study with all alternates considered, including those discarded, depicted graphically.

:* Indicate the preferred alternate.

:* Evaluate all proposed reasonable alternates equally; the EA must include more than a single build alternative as well as the no build alternate. Reasonable alternates addressed in the EA are those that may be constructed in the event that the preferred alternate is not selected.

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification. Complete a Phase I archaeological survey for the preferred alternate. Identify all areas for which landowner access was denied or the survey was not conducted at the preliminary EA stage. Determine which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP). Submit all buildings, bridges, and culverts impacted by the preferred alignment, including those less than 50 years of age, to DNR’s State Historic Preservation Office (DNR-SHPO) for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pEA must include either a draft Memorandum of Agreement (MOA) or draft Programmatic Agreement (PA) identifying uncompleted or mitigation activities to be completed prior to project construction.

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for [http://www.modot.mo.gov/business/manuals/documents/FIG4-6R-2009usethisone.doc Section 4(f) protection], along with a statement as to the status of agency coordination on those impacts. The EA must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Identify any Section 6(f) resources the project will affect. Any Section 6(f)(3) Conversion Documentation required cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved FONSI signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams. Estimate the areas of wetlands in the project area for all alternatives using conventional mapping sources and windshield survey and document expected impacts.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either [[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating, Form AD-1006]] for site projects or [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy. The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pEA is provided to MoDOT for distribution to FHWA and any formal cooperating agencies (identified as such on the pEA cover sheet) for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pEA, the EA is ready for FHWA’s final review and approval, after which it is made available to the public as an FHWA document.

The EA must be made available for public inspection at the LPA’s office and at the appropriate FHWA field offices as described in the next two paragraphs of this section. Although it is not a federal requirement that the document be circulated for comment, the LPA is encouraged to provide the EA to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send notice of availability of the EA, briefly describing the project and its impacts, to the affected units of federal, state, and local government and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

MoDOT’s normal practice is to hold a location public hearing for all EAs. Although FHWA regulations do not require public hearings for EAs, the FHWA encourages them on most EAs. For specific EAs depending on the situation, the FHWA division office may require a public hearing after signing the EA and before signing the FONSI. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. When a public hearing is held as a part of the application for federal funds, the EA must be available at the public hearing and at the LPA’s office and at the appropriate FHWA field offices for a minimum of 15 days in advance of the public hearing. The notice of the public hearing in local newspapers must announce the availability of the EA and where it may be obtained to review. The notice will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the availability of the EA unless FHWA determines that a different period is warranted.

When a public hearing is not held, the LPA must place a notice similar to a public hearing notice and at a similar stage of project development in the local newspapers, advising the public of the EA’s availability at the LPA’s office and at the appropriate FHWA field offices and where to obtain information concerning the project. The notice must invite comments from all interested parties. It will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the publication of the notice unless FHWA determines that a different period is warranted.

==136.6.5.1 Findings of No Significant Impact (FONSI)==

Once the 30-day public comment period has ended and all comments from the public and other agencies have been collected, the LPA or its consultant prepares a Finding of No Significant Impact (FONSI). The FONSI should summarize any public and/or agency coordination that occurred after the EA was signed. The FONSI must satisfactorily address all substantive comments on the EA provided during the 30-day comment period, including those from other agencies, the general public, and as a result of the public hearing. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the FONSI. The FONSI must describe any changes to the EA-designated preferred alternate and document any additional impact analyses performed for the final, selected alternate.

The FONSI must also document compliance with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met and briefly present why the action does not have a significant impact. If the proposed project will adversely impact any NRHP-eligible sites or historical structures, either an MOA or a PA executed by the DNR-SHPO, FHWA, Advisory Council on Historic Preservation (ACHP), and the LPA must accompany the letter. The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire. Accompanying documentation must also include the Final Section 4(f) Evaluation, when required, for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

When the FONSI is completed and the listed items are included, the documentation (with a signature page) is provided to MoDOT for distribution to FHWA (and to cooperating agencies for their review and comment if the selected alternate differs from the EA-designated preferred alternate).

If the FONSI is for a new controlled access freeway, a highway project of four or more lanes on a new location, or other action described in 23 CFR §771.115a, the letter to FHWA and accompanying documentation described above must also be made available for public review, including affected units of government, for a minimum of 30 days before FHWA issues a FONSI for the project. A notice similar to that for a public hearing must announce the availability of the documentation. If at any point in the EA process, FHWA determines that the action is likely to have a significant impact, the LPA will be required to prepare an EIS.

FHWA will review the FONSI, accompanying documentation, and any public hearing comments and other comments received regarding the EA. If FHWA determines after reviewing the documentation that there are no significant impacts associated with the project, the FONSI will be signed and a copy of the signed FONSI will be returned to the LPA.

After FHWA issues a FONSI, the LPA is encouraged to provide the FONSI to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send a notice of availability of the FONSI to the affected units of federal, state, and local government and the FONSI shall be available from the LPA and FHWA upon request by the public. Notice of availability is also sent to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

==136.6.5.2 Timeframes==

The project schedule should allow about two years for obtaining a FONSI.

=136.6.6 Environmental Impact Statement (EIS)=

==136.6.6.1 Draft Environmental Impact Statement==

An EIS is prepared for projects that have clearly identified and significant social, economic, or environmental impacts. FHWA indicates that an EIS is required for four-lane relocations as well as for major bridges or projects that are controversial. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EIS sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion.

An EIS describes a project’s purpose and need, identifies the alternates being considered, and discusses expected impacts in detail. To the extent possible, it also indicates compliance with other regulations. The EIS includes procedures to minimize harm and details mitigation measures and all other environmental commitments. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EIS and the format.

When FHWA determines that an EIS is required, the LPA will prepare and FHWA will issue a Notice of Intent for publication in the ''Federal Register''. LPAs are encouraged to announce the intent to prepare an EIS by appropriate means at the local level.

After publication of the Notice of Intent, the LPA will begin a scoping process to aid in identifying the range of alternatives and impacts and the significant issues to be addressed in the EIS. Scoping is normally achieved through public and agency involvement procedures. If a scoping meeting is to be held, it will be announced in the FHWA’s Notice of Intent and by appropriate means at the local level. Agencies with jurisdiction by law must be requested to become cooperating agencies. Section 6002 (Efficient Environmental Reviews for Project Decision Making) of the Safe, Accountable, Flexible, and Efficient Transportation Equity Act of 2003 (SAFETEA-LU) updates the environmental review process by adding a new category of “participating agencies” for federal, state, and local agencies and tribal nations that have an interest in the project. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating and/or participating agencies as appropriate and FHWA will send the letters.

The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes.

Section 6002 stipulates that both participating agencies and the public will be given the opportunity to comment on the purpose and need and range of alternatives for a project. Previously only cooperating agencies were offered such an opportunity. Section 6002 also mandates establishing a coordination plan for agency and public participation and comment. Further information on the SAFETEA-LU environmental review process can be found in FHWA’s [http://www.fhwa.dot.gov/hep/section6002/ SAFETEA-LU ENVIRONMENTAL REVIEW PROCESS FINAL GUIDANCE, Publication L 109-59, November 15, 2006].

The LPA or its consultant will prepare a preliminary Draft EIS (pDEIS) that evaluates all reasonable alternatives to the action and discusses the reasons why other alternatives that may have been considered were eliminated from detailed study. The pDEIS also summarizes the studies, reviews, consultation, and coordination required by environmental laws or Executive Orders to the extent appropriate at this stage in the environmental process. A pDEIS requires completing the following work:

:* Finalize the location study; all alternates considered, including those discarded, must be depicted graphically in the document.

:* Indicate a preferred alternate if one stands out.

:* Evaluate all proposed reasonable alternates equally. Reasonable alternates addressed in the EIS are those that may be constructed in the event that the preferred alternate is not selected. (Provisions of SAFETEA-LU allow FHWA to decide whether the preferred alternative may be developed to a higher level of design detail to facilitate either the development of mitigation measures or compliance with other environmental laws. See FHWA’s 2006 SAFETEA-LU FINAL GUIDANCE, as cited previously, for details.)

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP).

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for Section 4(f) protection, along with a statement as to the status of agency coordination on those impacts. The DEIS must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Note the presence of any potential Section 6(f) resources. If Section 6(f)(3) Conversion Documentation is required, it cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved ROD signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams and possible impacts to them.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either Form AD-1006 for site projects or Form SCS-CPA-106 for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy.

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts, and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pDEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pDEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pDEIS, the DEIS is ready for FHWA’s final review. The FHWA, when satisfied that the DEIS complies with NEPA requirements, will approve the DEIS for circulation by signing and dating the cover sheet.

The LPA is responsible for printing the DEIS in sufficient quantity to accommodate circulation to those entities listed in the document as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the DEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

Once FHWA signs the DEIS, public and agency comments must be requested. The LPA, on behalf of FHWA, circulates the approved DEIS to federal and state agencies, local entities, elected officials, and others as appropriate for their review and comment. Upon circulation of the approved DEIS to the Environmental Protection Agency (EPA), the EPA publishes a Notice of Availability (NOA) in the Federal Register. Copies of the approved DEIS are also provided for public viewing and copying in the LPA’s office and other public repositories such as libraries and city or county offices. The DEIS must be made available to the public and transmitted to agencies for comment no later than the time the document is filed with the Environmental Protection Agency. The DEIS shall be transmitted to:

:1. Public officials, interest groups and members of the public known to have an interest in the proposed action or the DEIS;

:2. Federal, state and local government agencies expected to have jurisdiction or responsibility over, or interest or expertise in, the action. Copies are provided directly to appropriate state and local agencies and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372; and

:3. States and federal land management entities that may be significantly affected by the proposed action or any of the alternatives. These copies shall be accompanied by a request that such state or entity advise the FHWA in writing of any disagreement with the evaluation of impacts in the statement. FHWA will furnish the comments received to the LPA along with a written assessment of any disagreements for incorporation into the final EIS.

The ''Federal Register'' NOA initiates a period of no less than 45 days for the return of comments on the DEIS. The notice and the DEIS transmittal letter must identify to whom comments may be sent.

A location public hearing is generally held for all projects requiring an EIS. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. The DEIS shall be available at the public hearing and for a minimum of 15 days in advance of the hearing. The availability of the DEIS shall be mentioned and public comments requested in any public hearing notice and at any public hearing presentation. If a public hearing on an action proposed for FHWA funding is not held, a notice shall be placed in newspaper similar to a public hearing notice advising where the DEIS is available for review, how copies may be obtained, and where the comments will be sent.

==136.6.6.2 Final Environmental Impact Statement==

After circulation of a DEIS, when the 45-day comment period has ended and all comments from the public and other agencies have been collected, a preliminary Final EIS (pFEIS) is prepared. The FEIS identifies the preferred alternative and evaluates all reasonable alternatives considered. It should also discuss substantive comments received on the DEIS and responses thereto, summarize public involvement, and describe the mitigation measures that are to be incorporated into the proposed action. Mitigation measures presented as commitments in the FEIS must be implemented with the project. The following items of work are completed as part of the pFEIS:

:* All substantive comments gathered on the DEIS during the 45-day comment period, including those from other agencies, the general public, and as a result of the public hearing, must be satisfactorily addressed. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the pFEIS.

:* A preferred alternate must be declared.

:* A Phase I archaeological survey must be completed for the preferred alternate(s) and all areas for which landowner access was denied or the survey was not conducted should be identified. A determination should be made of which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* All buildings, bridges, and culverts impacted by the preferred alignment that were not previously reviewed by the DNR’s State Historic Preservation Office (DNR-SHPO), including those less than 50 years of age, must be submitted to DNR for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pFEIS must include either a Memorandum of Agreement (MOA) or a Programmatic Agreement (PA) executed by the DNR-SHPO, FHWA, the LPA, and the Advisory Council on Historic Preservation (ACHP) (all PAs; MOAs if it chooses to participate). The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire.

:* A Final Section 4(f) Evaluation, when required, must be included in the pFEIS for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

:* Identify any Section 6(f) resources the project will affect. Elements of the Section 6(f)(3) Conversion Documentation may be assembled during preparation of the NEPA document, even though the Section 6(f) document cannot be completed until the NEPA decision document has been issued.

:* A preliminary jurisdictional wetland and stream delineation is conducted in the project area for the preferred alternative and expected impacts are documented.

:* Identify whether any consultation with the U.S. Fish and Wildlife Service is required to address threatened or endangered plant and/or animal species within the project limits and any conservation measures resulting from the consultation.

:* The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

The FEIS will also document compliance, to the extent possible, with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met. Every reasonable effort shall be made to resolve interagency disagreements on actions before processing the FEIS. If significant issues remain unresolved, the FEIS must identify those issues and the consultations and other efforts made to resolve them. When the listed items are completed and included in a preliminary FEIS, the pFEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pFEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pFEIS, the FEIS is ready for FHWA’s final review and approval. The FEIS will be reviewed for legal sufficiency prior to FHWA approval.

FHWA will indicate approval of the FEIS for an action by signing and dating the cover page. Approval of the FEIS does not commit the FHWA to approve any future request to fund the preferred alternative.

The LPA should print a sufficient quantity of the FEIS to accommodate circulation to the appropriate entities as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the FEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

When sufficient copies of the approved FEIS are transmitted to FHWA, FHWA circulates the document to the EPA along with an NOA to be published in the ''Federal Register''. Publication of the NOA initiates a 30-day comment period on the FEIS. The LPA circulates the approved FEIS for review and comment to any persons, organizations, or agencies that made substantive comments on the DEIS or requested a copy, no later than the time the document is filed with EPA. In the case of lengthy documents, the agency may provide alternative circulation processes. The LPA shall also publish a notice of availability in local newspapers and make the FEIS available through the mechanism established pursuant to DOT Order 4600.13 which implements Executive Order 12372. When the FEIS is filed with EPA, it must be available for public review at the LPA’s offices and at appropriate FHWA offices. A copy will also be made available for public review at institutions such as local government offices, libraries, and schools, as appropriate.

=136.6.7 Record of Decision (ROD)=

Substantive comments received on the FEIS are addressed in a Record of Decision (ROD) prepared by the LPA. The ROD also discusses the alternates that were considered for the project, identifies the selected alternate, and discusses why this alternate was selected. The ROD discusses commitments made in the document, including the measures that have been adopted to minimize harm, such as mitigation plans, and details any monitoring and enforcement program, if applicable. After comments are satisfactorily addressed, the ROD is presented to FHWA for approval. Once the ROD is signed by FHWA, the LPA can approve the location of the project and begin detailed design.

The timeframe for completing the EIS process varies. The timeline for completing consultant-prepared EISs is a negotiated item within the scope of work. A good rule of thumb is to allow at least 3 years to get to an approved ROD.

=136.6.8 Supplemental Environmental Impact Statements=

A DEIS, FEIS or supplemental EIS may be supplemented at any time. An EIS shall be supplemented whenever FHWA determines that:

:1. Changes to the proposed action would result in significant environmental impacts that were not evaluated in the EIS; or

:2. New information or circumstances relevant to environmental concerns and bearing on the proposed action or its impacts would result in significant environmental impacts not evaluated in the EIS.

Where FHWA is uncertain of the significance of the new impacts, the LPA will develop appropriate environmental studies or, if FHWA deems appropriate, an EA to assess the impacts of the changes, new information, or new circumstances. If based upon the studies, FHWA determines that a supplemental EIS is not necessary, FHWA shall so indicate in the project file.

A supplement is to be developed using the same process and format (i.e., draft EIS and final EIS as an original EIS except that scoping is not required.

In some cases a supplemental EIS may be required to address issues of limited scope, such as the extent of proposed mitigation or the evaluation of location of design variations for a limited portion of the overall project. Where this is the case, the preparation of a supplemental EIS shall not necessarily:

:1. Prevent the granting of new approvals;

:2. Require the withdrawal of previous approvals; or

:3. Require the suspension of project activities; for any activity not directly affected by the supplement. If the changes in question are of such magnitude to require a reassessment of the entire action, or more than a limited portion of the overall action, FHWA shall suspend any activities that would have an adverse environmental impact or limit the choice of reasonable alternatives, until the supplemental EIS is completed.

More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.130.pdf detailed discussion of supplemental NEPA documents] can be found on FHWA’s web site.

=136.6.9 Re-evaluations=

If an acceptable FEIS is not submitted to the Federal Highway Administration (FHWA) within 3 years from the date of the DEIS circulation, the LPA shall prepare a written reevaluation of the DEIS in cooperation with FHWA. This reevaluation is used to determine whether a supplement to the DEIS or a new DEIS is needed.

A written reevaluation of the FEIS may be required before further approvals are granted if major steps to advance the action (e.g., authority to undertake final design, authority to acquire a significant portion of the right-of-way, or approval of the plans, specifications, and estimates) have not occurred within three years after the approval of the FEIS, final EIS supplement, or the last major FHWA approval or grant.

Factors such as noteworthy changes in the scope and/or location of the project, whether the project is active or inactive, and changes in environmental laws or regulations can also require a NEPA document reevaluation. Once completed and approved, a NEPA document has a limited shelf life of three years, even when portions of the project are under construction or have already been constructed, as is often the case for lengthy corridor projects. After approval of the ROD, FONSI or CE designation and prior to requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

Whenever the project scope or location changes, the LPA will submit to the MoDOT district contact a Request for Environmental Review (RER) form that describes and shows the changes. Based on that information, the project will be reexamined to determine whether the proposed changes require a reevaluation. When a reevaluation is needed, the LPA prepares the reevaluation documentation. In most cases, the reevaluation is submitted to the FHWA for review and approval. Documentation for reevaluations is based on the original NEPA document type. If the original NEPA document was an EA or EIS, the LPA prepares a letter documenting the reevaluation and submits it to MoDOT for FHWA’s review and approval. Some projects with original NEPA classifications as CEs may also require reevaluations in the form of a letter. FHWA does not routinely require reevaluations in the form of supplemental EAs or EISs. More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.129.pdf detailed discussion of NEPA reevaluations] can be found on FHWA’s web site.

[[Category:136 Local Public Agency (LPA) Policy|136.06]]

LPA:136.13 LPA Policy Changes

2021-05-14T15:06:03Z

Bramar12:

5/14/21: At the end of the last paragraph of EPG 136.6.4.2.3, clarified that the public must be able to review the effects of the project on the Sec 4f property.

5/11/21: New guidance is now available at [[LPA:136.8 Local Public Agency Land Acquisition#136.8.7.5 Administrative Settlements|EPG 136.8.7.5 Administrative Settlements]] for making administrative settlements, preparing a letter of justification and other considerations.

5/10/21: The [[media:146 CUF After Mar 2021.pdf|Commercially Useful Function (CUF) Determination Form]], discussed in [[LPA:136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], has been revised with more open ended questions that assist in determining whether a DBE is performing a Commercially Useful Function. The form now includes a field observation section for inspectors to note what they saw in the field.

4/27/21: The former EPG 136.7.3.1.2.1.11 Buy America Requirements was deleted since the Buy America JSP is now in the spec book. The new guidance in [[LPA:136.7 Design#136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)|EPG 136.7.3.1.3 Supplemental Revisions Job Special Provision (JSP)]] presents the requirement for the use of the Supplemental Revisions JSP.

4/20/21: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], has been updated to current practice.

2/19/21: [[media:136.9.4 Mar 2021.docx|Fig. 136.9.4, ADA Checklist]] was updated. On Page 15 of the checklist, the force to activate Accessible Pedestrian Signal pushbuttons was revised as was their minimum distance from the curb line and their height from the ground. On both Page 15 and 16, guidance was more closely tied to compliance with the EPG.

2/18/21: Contact information has been updated in [[media:Fig.136.3.20 2021.docx|Fig. 136.3.20, BEAP Project Tracking Form]].

1/15/21: At the bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.1 Introduction|Key Environmental/Cultural Resources Compliance Milestones]] table, added Public Involvement information. Also, clarified that public involvement is needed with the RER in a new paragraph at bottom of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)|EPG 136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)]].

11/23/20: Guidance was expanded in [[LPA:136.11 Local Public Agency Construction#136.11.13 Documentation Requirements|EPG 136.11.13 Documentation Requirements]] through [[LPA:136.11 Local Public Agency Construction#136.11.13.2 Payment Diaries|EPG 136.11.13.2 Payment Diaries]]. MoDOT will no longer be approving specific software for use; the LPA must ensure the software chosen meets the outlined criteria. Guidance about what should be documented in the construction diaries was clarified in [[LPA:136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]].

9/30/20: Guidance for the A-date process in [[LPA:136.8 Local Public Agency Land Acquisition#Square 14|EPG 136.8.1.6 Local Public Agency - Right of Way and Easement Acquisition, "Square 14"]] and the first and third paragraphs of [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] has been clarified and updated to reflect current policy and processes.

9/2/20: Clarified [[media:136.4.7 2020.docx|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], by adding "Remove note before posting" to instructions just below the table on the second page.

8/13/20: The seventh paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.6 Base Floodplain and Regulatory Floodway|EPG 136.6.4.6 Base Floodplain and Regulatory Floodway]] was revised to make CFR requirements more apparent.

7/14/20: Minor updates were made to Fig. 136.9.3, Federal Project Bid Proposal Boilerplate.

7/9/20: The last sentence of the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)|EPG 136.9.4.1.1.15 Disadvantaged Business Enterprise (DBE) (49 CFR Part 26)]] is new guidance about how to fill out Fig. 136.9.9, DBE Submittal Forms. Fig. 136.9.3, Federal Project Bid Proposal Boilerplate and Fig. 136.9.9, DBE Submittal Forms were also updated.

7/1/20: In the second paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]], guidance was clarified, now including submitting a copy of the supplemental to the ECR email group.

6/23/20: The second sentence in the first paragraph of [[LPA:136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] was added to clarify guidance about an LPA disqualifying a consultant.

6/18/20: Guidance in [[LPA:136.6 Environmental and Cultural Requirements#136.6.3 Categorical Exclusion (CE)|EPG 136.6.3 Categorical Exclusion (CE)]] was updated with the FHWA agreement requirements.

6/17/20: The process in [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] has dramatically changed. MoDOT has hired a consultant to provide oversight the Local Public Agency’s Section 106 compliance. The EPG directed the LPA to send a Project Information form to the SHPO to start the Section 106 process. That is no longer required. The new approach is for the LPA to submit a Request for Environmental Review to MoDOT.

5/1/20: In [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.7 Inspection of Documents|EPG 136.8.2.7 Inspection of Documents]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.2.8 Federal Project Number|EPG 136.8.2.8 Federal Project Number]], [[LPA:136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] and [[LPA:136.8 Local Public Agency Land Acquisition#136.8.10.1 General|EPG 136.8.10.1 General]], guidance has been added about the documentation MoDOT RW staff is to enter into the LPA State Management System Application (SMS). Also, In EPG 136.8.2.2 Acquisition Authority, the LPA may now request an A-date by submitting only one set (instead of two sets) of completed right of way plans.

12/16/19: In [[LPA:136.4 Consultant Selection and Consultant Contract Management#A consulting engineering firm|EPG 136.4.1.6 Conflict of Interest]], clarified guidance by adding information pertaining to when a consultant acts as a city engineer.

9/18/19: Numerous minor revisions were made in [[LPA:136.3 Federal Aid Basics#136.3.8.4 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.4 Bridge Engineering Assistance Program (BEAP)]] as the new BEAP contract goes into effect. Two BEAP documents (Figs. 136.3.19 and 136.3.20) were updated while two BEAP figures (Fig. 136.3.22 Estimate of Cost and Fig. 136.3.23 General Scope of Services) were deleted.

9/6/19: In [[LPA:136.11 Local Public Agency Construction#Change Order Level 1|EPG 136.11.15.2 Change Order Approval]], the LPA change order approval process was updated to current practice. The MoDOT signature is needed for Level 1 change orders and an FHWA review is only required on Change Order Level 2 PODI projects.

8/21/19: The link to the TSP was updated in the second paragraph of [[LPA:136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.16 On the Job Training (OJT) (23 CFR Section 230)|EPG 136.9.4.1.1.16 On the Job Training (OJT)]].

7/22/19: In [[media:136.9.1 2019.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], checklist guidance related to wage rates was updated.

7/22/19: As a convenience, guidance for LPAs to access federal emergency relief has been expanded in [[LPA:136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]].

7/22/19: In [[LPA:136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]], guidance for LPA programs that are no longer in use was deleted. Also, guidance was updated to accommodate revisions in the FAST Act.

5/20/19: In [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species and Migratory Birds|EPG 136.6.4.5 Threatened and Endangered Species and Migratory Birds]], guidance for the Threatened and Endangerd process was clarified throughout. New (and currently used) guidance, [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.5.3 Migratory Birds|EPG 136.6.4.5.3 Migratory Birds]] was also added. [[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]] replaced the old Fig. 136.6.18 LPA Environmental RER T&E Guidance, and [[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]] was added.

5/14/19: In [[LPA:136.6 Environmental and Cultural Requirements#On linear transportation projects|EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams]], guidance was clarified to attach to RER for documentation purposes.

1/16/19: [[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]], was updated.

1/15/19: In [[LPA:136.2 Certification and Training|EPG 136.2 Certification and Training]], the listing of the web-based NHI courses was updated.

1/11/19: A sentence was added to the end of the first paragraph of [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]] to clarify NEPA information. This info referencing documentation involved when more than one acre is planned to be disturbed was added at the request of the FHWA.

11/30/18: [[LPA:136.6 Environmental and Cultural Requirements#136.6.4.13 Noise Standards and Noise Abatement|EPG 136.6.4.13 Noise Standards and Noise Abatement]] was significantly simplified to reflect that LPAs must use MoDOT’s FHWA-approved noise policy.

11/20/18: [[media:136.8.8.docx|Clearance Certification Statement (Form 136.8.8)]] was slightly modified by replacing "free deed" with "donation".

11/14/18: In [[LPA:136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]] and [[LPA:136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]], archaic contract links and listings were removed. Also, in EPG 136.3.13 Agreements, a reference to the CCO site was replaced with a link to EPG 153 Agreements and Contracts.

10/26/18: Updated the documentation processes to current practices and updated the requirements of new laws and regulations. Much of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3] was revised as was "Permits for Land Disturbance" in [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8], the last paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], the third paragraph of [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2], and [http://ghepglp01/index.php/LPA:136.6_Environmental_and_Cultural_Requirements#136.6.4.14_Air_Quality_Requirements EPG 136.6.4.14]. Fig. 136.6.1, Project Review Process flowchart, Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones, Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist and Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way were also updated. Fig. 136.6.16 was re-labeled as "LPA Project Checklist for Adverse Effects".

4/10/2018: In the second paragraph of [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)|EPG 136.9.4.1.1.10.1 Federal Wage Rates (23 USC 113 and 29 CFR 5)]], guidance was added about including the correct wage rate order from the Dept. of Labor on LPA projects. If an updated wage rate order has been issued within 10 days of the project letting, the updated version has typically not been included in the project documents. This is allowed, however the requirement states that if the agency finds that sufficient time is not afforded to include the updated wage order, then this finding and reasoning must be included in the individual project records.

3/29/18: Procedures in Section 106 (Cultural Resource) Compliance were clarified at the bottom of the second paragraph of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]] and in the first sentence of [[136.6 Environmental and Cultural Requirements#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

3/29/18: Removed second sentence of the second paragraph ("In figuring the percentage of the contract work performed, all prices for sublet work shall be at contract unit bid prices.") from [[136.11 Local Public Agency Construction#136.11.5 Subcontracts |EPG 136.11.5 Subcontracts]]. The sentence was outdated.

3/26/18: [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4 How to Complete the Request for Environmental Review]] was updated.

1/24/18: In [[136.2 Certification and Training|EPG 136.2 Certification and Training]], the contact information for the Technician Certification Program was updated.

12/26/17: [[media:Fig.136.3.24 2017.docx|Fig. 136.3.24, TEAP Program Application]] was updated. Also, in [[136.3 Federal Aid Basics#136.3.8.11.1 Introduction|EPG 136 136.3.8.11.1 Introduction]] and [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]], guidance was slightly expanded to accommodate the changes in the TEAP Program Application.

12/14/17: [[media:Fig.136.3.20 2019.docx|Fig. 136.3.20, BEAP Project Tracking Form]] was updated. Also, Gabe Wolken was added as a contact for BEAP information in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

11/30/17: In [[136.3 Federal Aid Basics#136.3.15.2 Audit and Final Reimbursement|EPG 136.3.15.2 Audit and Final Reimbursement]], the sentence stating the LPAs must supply a copy of the final audit report to the MPOs was removed.

11/13/17: Guidance in [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] was expanded since the FAST Act has extended eligibility for some programs. Eligibility to nonprofits in the large MPOs (Kansas City, St. Louis and Springfield) is now allowed.

11/1/17: A link was updated in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

10/31/17: [[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]] was updated with new “Whereas” clauses to address issues brought up by FHWA and the Advisory Council over the last few years.

9/20/17: The Subcontractor Disclosure in [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated to reflect the current section of the Missouri Standard Specification for Highway Construction.

9/18/17: In [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]], the funding description and FFATA requirement were further clarified.

9/1/17: At the bottom of the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.5.2 Title Information|EPG 136.8.5.2 Title Information]], a sentence was added with a link to a checklist of items to determine property ownership for ADA projects.

6/29/17: A new PowerPoint, [[media:136.4.1.ppt|Consultant Inspection]], in [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.3 Construction Engineering/Construction Inspection (CE)|EPG 136.4.1.3.3 Construction Engineering/Construction Inspection (CE)]] provides guidance on how to solicit and procure a consultant for construction. Its guidance is primarily aimed at MoDOT Construction employees but may also be of assistance to others.

6/23/17: [[media:136.3.1 Sept 2017.doc|Fig. 136.3.1, Programming Data Form]] was updated to show the ''LPA Internal Procedures Manual'' requires LPAs submit the FFATA form with the programming data form.

6/9/17: Guidance for how to obtain additional help for environmental clearance of borrow sites and other land disturbance activities outside right of way was clarified in the fifth sentence of the first paragraph in [[136.6 Environmental and Cultural Requirements#136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way|EPG 136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way]].

5/24/17: Updated Fig. 136.3.20, BEAP Project Tracking Form with new contact information.

4/27/17: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], an archaic sentence was deleted that had required MoDOT to approve subcontracts.

3/28/17: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was revised to reflect changes made in the EPG on Wage Rates. State Only Prevailing wage option in section 9 was deleted.

1/5/17: In requirement #2 of [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], it was clarified that a firm is not required to submit a certificate of authority to become prequalified when it does work outside the jurisdiction of the MO Board for APEPLSPLA.

1/4/17: In [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], minor clarifications based on the new stormwater permit have been made. This includes new guidance, "Individual State Operating Permit for TS4".

12/27/16: Updated [[media:136.3.1 2016.doc|Fig. 136.3.1, Programming Data Form]], with additional information.

11/17/16: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated to reflect the current versions of the MoDOT specs and standard plans.

10/20/16: In [[136.6 Environmental and Cultural Requirements#136.6.2 National Environmental Policy Act (NEPA) Classification|EPG 136.6.2 National Environmental Policy Act (NEPA) Classification]], a clarifying sentence was added in the first paragraph to help LPAs find info in [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]].

10/6/16: Fig. 136.6.4 LPA Request for Environmental Review (RER) was eliminated and replaced with a [https://www6.modot.mo.gov/RERProject/Pages/Login.aspx?ReturnUrl=%2fRERProject%2f link to the new RER]. Also, in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], federal wage rate language was removed to make guidance stay current with federal regulations.

9/6/16: The former prorata tax form (7-22.2C) was updated so as to be only for the LPAs. It was also relabeled as [http://epg.modot.org/forms/RW/LPA%20Links/LPA%20Prorata.docx Local Public Agency Prorata Real Estate Tax Claim (Form 136.8.7.1.11)].

9/2/16: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], the need for a performance/contract bond in the executed construction contract for LPA projects was clarified.

7/22/16: A minor revision to [[media:136.10.2 2016.doc|Fig. 136.10.2, Bid Concurrence Checklist]] was made so that asterisks are no longer to be shown by items that DBE will perform.

7/5/16: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the $25,000 contract threshold was removed from the certification requirements for suspension and debarment to make guidance consistent with consultant contract language.

6/23/16: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was added to clearly indicate that subcontracts require FHWA Form 1273.

6/15/16: In [[136.11 Local Public Agency Construction#136.11.13.4 Erosion Control|EPG 136.11.13.4 Erosion Control]], the outdated link to the "Erosion Control Inspection Record" was replaced with a link to "Land Disturbance Inspection Record".

6/2/16: [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]], was clarified.

5/27/16: Guidance in [[136.6 Environmental and Cultural Requirements#136.6.4.5 Threatened and Endangered Species|EPG 136.6.4.5 Threatened and Endangered Species]] was expanded and clarified. The new [[media:136.6.18.docx|Fig. 136.6.18, LPA Environmental RER T&E Guidance]] was also added. Also, in Articles XVI and XVII of [[media:Fig. 136.4.1 May 2016.docx|Fig. 136.4.1, Engineering Services Contract]], references were added to Title VI and ADA requirements.

5/19/16: In [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], the previous Fig. 136.6.4 was replaced with a new link, [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]. The new [[media:136.6.4 instructions 2016.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents updated instructions.

5/13/16: Updated the [[media:Form C-239 2016.pdf|Final Acceptance Report (Form C-239)]] and [[media:136.11.23 2016.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] in EPG 136.11. [[media:136.11.3 2016.pdf|Fig. 136.11.3, Progress Report]] was made a fillable form.

4/29/16: In the last sentence of [[136.11 Local Public Agency Construction#136.11.13.1 Project Diaries|EPG 136.11.13.1 Project Diaries]], "free" was removed from the description of NHI training courses, since not all of them are now free.

4/27/16: Deleted Fig. 136.11.17 Semi-Final Inspection Letter since it was redundant to Fig. 136.11.23 LPA Semi-Final Inspection Checklist (Form C-236). [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] was revised to reflect this change.

4/1/16: There were numerous updates in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]] to reflect current practices. In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]], the use of the Parcel File Checklist was deleted. In the second paragraph, the record retention period of 3 years was revised to begin when the project closure action is submitted to the FHWA. In [[136.8 Local Public Agency Land Acquisition#136.8.6.3.1.20D.9 Manufactured Homes|EPG 136.8.6.3.1.20D.9 Manufactured Homes]], the determination of whether a mobile home is personalty was clarified. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.1.2 Negotiator's Report|EPG 136.8.7.1.2 Negotiator's Report]], the Parcel File Checklist, the Negotiator's Report form and the Negotiator's Narrative no longer should be attached to the cover of each parcel file. In [[136.8 Local Public Agency Land Acquisition#136.8.8.3 Use of a Fee Attorney or Special Counsel|EPG 136.8.8.3 Use of a Fee Attorney or Special Counsel]], the permissible use of a Fee Attorney was introduced and defined. In the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.9 Relocation Assistance|EPG 136.8.9 Relocation Assistance]], the quotation defining a displaced person was slightly modified. Finally, the term "taking" was replaced with "acquisition" in several locations within EPG 136.8.

3/24/16: Updated Fig. 136.3.20, BEAP Project Tracking Form.

3/4/16: Updated [[media:110.2 checklist 2016.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]].

3/3/16: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to reflect the recodified National Historic Preservation Act.

3/1/16: In [[136.7 Design#136.7.2.8 Proprietary Items |EPG 136.7.2.8 Proprietary Items]], a link to the Proprietary Item Library was inserted.

2/24/16: Guidance in [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]] was clarified by adding a reference to [[media:136.3.18 2014.xls|Fig. 136.3.18, Construction Reimbursement Form]]. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was clarified by additional guidance and by renumbering the subarticles.

2/22/16: A link to [[media:136.11.23.pdf|Fig. 136.11.23, LPA Semi-Final Inspection Checklist (Form C-236)]] was added and the guidance for it was clarified.

2/18/16: The former "Final Acceptance Checklist" was relabeled as the new [[media:136.11.22.docx|Fig. 136.11.22, LPA Final Acceptance Checklist]].

1/27/16: In [[media:Fig. 136.4.1 2016.docx|Fig. 136.4.1, Engineering Services Contract]], revised Article VII D.2, D.3 and E to indicate the overhead rate (OHR) established at the execution of the original contract shall be utilized throughout the life of the contract. This reduces potential errors caused by having to change the OHR on billing invoices every year based on audited OHR. Revision allows consultants to utilize one OHR throughout the life of the contract

1/26/16: Three archaic figures in EPG 136.3 Federal Aid Basics were removed: Fig. 136.3.5 HS 4, Safe Routes to School Program Agreement; Fig. 136.3.7 FS 12, Transportation Enhancement Funds Program Agreement and Fig. 136.3.8 FS 12 SUP, Transportation Enhancement Funds Supplemental Agreement. New link to Fig. 136.3.5, FS25, Transportation Alternatives Program added.

1/22/16: Four LPA agreements were updated: [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS11_STP_Urban_Program_Agreement.docx Fig. 136.3.6, FS 11, STP Urban Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS13_Off_System_Bridge_Replacement.doc Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement], [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS14_On_System_Bridge_Replacement.docx Fig. 136.3.10, FS 14, On-System Bridge Replacement and Rehabilitation Program Agreement] and [http://sharepoint/support/CC/CCO%20Contracts/FS_-_Financial_Services/FS15_CMAQ_Program.docx Fig. 136.3.11, FS 15, Congestion Mitigation and Air Quality Agreement].

1/15/16: In [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]], the differences between corrections and exceptions were clarified. Also, a minor clarification updated [[media:136.11.9 2016.docx|Fig. 136.11.9, Contractor DBE Certification]].

1/14/16: [[media:136.4.11 2016.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was updated to reflect that Audits and Investigations Division no longer conducts pre-audits.

1/5/16: [[#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was revised to reflect current MoDOT requirements in Sec 107.4. Since the Safety Requirement JSP is no longer a JSP (it has been moved to Sec 107.4), reference to it was removed from the EPG text as well as from [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

1/4/16: In [[136.6 Environmental and Cultural Requirements#136.6.4.1 Section 106 (Cultural Resource) Compliance |EPG 136.6.4.1 Section 106 (Cultural Resource) Compliance]], the revision 1) addressed LPA questions and comments and 2) implemented change by the Advisory Council on Historic Preservation from hardcopy submittals to electronic submittals. The revision helps LPAs more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act. Also, added [[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]], [[media:136.6.16.pdf|LPA Project Checklist]] and [[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]] and the How-to tutorial, [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]. These changes will help LPA partners more easily comply with Section 106 of the National Historic Preservation Act and Section 4(f) of the Department of Transportation Act.

12/30/15: A couple of typos were corrected in [[media:136.4.10 Dec 30 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]].

12/24/15: In [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]], new [[media:136.11.18.docx|Fig. 136.11.18, LPA Final Inspection Letter]], [[media:136.11.19.docx|Fig. 136.11.19, LPA Final List of Acceptance Testers]], [[media:136.11.20.docx|Fig. 136.11.20, LPA DBE Certification Letter]] and [[media:136.11.21.docx|Fig. 136.11.21, LPA Vendor Lien Waiver]] provide templates for consistent submittals by LPAs.

12/23/15: In [[136.11 Local Public Agency Construction#136.11.5 Subcontracts|EPG 136.11.5 Subcontracts]], guidance was clarified to state that the LPA is responsible for assuring the subcontractors are qualified. Elsewhere in [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], Fig. 136.11.6 was replaced with [[media:136.11.6 Dec 2015.pdf|Fig. 136.11.6, Subcontractor Certification Regarding Affirmative Action]]. [[media:136.11.4 2015.doc|Fig. 136.11.4, Request for Approval of Subcontract]], was updated with various clarifications. In [[media:136.11.5 Dec 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]], the Percent Sublet this Request equation was updated. Also, from EPG 136.4, various fields were updated in [[media:136.4.10 Dec 2015.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], to eliminate calculation errors. Further, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated by removing JSP J. Final Payment Documents JSP. (This JSP was prematurely added to the boilerplate. Removal will eliminate confusion for LPA partners.) The new [[media:136.11.17.docx|Fig. 136.11.17, LPA Semi-Final Inspection Letter]], provides a template for consistent submittals by the LPAs.

11/24/15: In [[136.3 Federal Aid Basics#136.3.15.3 OMB Audit|EPG 136.3.15.3 OMB Audit]], to stay current with 2 CFR part 200, the federal expenditure amount was increased from $500K to $750K before an independent audit is required.

11/6/15: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] was revised so that DBE Goals will now be established on LPA On-Call Consultant Contracts. This replaces the statewide programmatic goal and provides a level playing field for all on-call consultants in the utilization of DBEs. [[media:Fig. 136.4.1 Nov 2015.docx|Fig. 136.4.1's Attachment E Section 7]] modified to reflect that on-call consultant contracts now set DBE goals.

10/27/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.11 CE Funding Obligation|EPG 136.4.2.11 CE Funding Obligation]], verbiage in the first paragraph was deleted to align guidance to what is in [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract]] (Article VII, A).

10/21/15: [[136.11 Local Public Agency Construction#136.11.19 Final Acceptance|EPG 136.11.19 Final Acceptance]] was clarified, particularly guidance about "corrections" vs. "exceptions", for LPAs performing Final Acceptance of an LPA project.

10/20/15: In [[136.11 Local Public Agency Construction#136.11.18 Final Plans| EPG 136.11.18 Final Plans]], a reference to EPG 136.11.19 was added and a reference to Engineer on Record (EOR) removed to clarify the bridge plan Final Plans requirements.

10/20/15: For convenience, the [[media:146 CUF July 27 2015.pdf|Commercially Useful Function (CUF) Determination Form]] was added to the figure box at the top of [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]].

10/16/15: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to include the DBE JSP for Liquid Asphalt.

10/13/15: In [[136.7 Design#136.7.5.3 Incentive/Disincentive Provisions|EPG 136.7.5.3 Incentive/Disincentive Provisions]], renamed and updated the old FHWA Contract Administration Core Curriculum's link to a link to FHWA's Technical Advisory for Incentive/Disincentive for Early Completion.

10/1/15: In [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.5_Railroads EPG 136.7.2.5 Railroads] and the first paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.4_Railroads EPG 136.9.2.4 Railroads], guidance about railroad coordination (even if no railroads are impacted) was clarified to comply with the FHWA statement required for all fed-aid projects. FHWA policy now requires a specific "railroad status statement" from the LPA even when no railroads are affected by the project. Line 11 of [[media:136.9.1 Oct 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]] now requires supporting documentation for railroad impacts.

9/22/15: Guidance was updated to conform with new BEAP contract. In the fourth paragraph of [[136.3 Federal Aid Basics#Upon completion of the consultant's evaluation|EPG 136.3.8.10.3 Administration]], guidance was updated about where the report is sent. IRS mileage rates are specified in the third paragraph of [[136.3 Federal Aid Basics#136.3.8.10.4 Funding and Authorized Costs|EPG 136.3.8.10.4 Funding and Authorized Costs]]. In the third paragraph of EPG 136.3.8.10.4 Funding and Authorized Costs, it is now specified that the BEAP Project Tracking Form include a total cost for the project, including personnel costs as well as direct costs. In the first paragraph of [[136.3 Federal Aid Basics#136.3.8.10.5 General Process for a BEAP Study|EPG 136.3.8.10.5 General Process for a BEAP Study]], the process to submit the draft copy of a BEAP Study has been revised. In [[#136.3.8.10.6 Local Public Agency Responsibilities|EPG 136.3.8.10.6 Local Public Agency Responsibilities]], the LPA will now provide pictures of a structure that is not of the Nat'l Bridge Inventory. Also, in [[136.3 Federal Aid Basics#Whenever load rating calculations are done|EPG 136.3.8.10.7 Consultant Responsibilities]], the consultant is to provide inventory and operating ratings for the HS20 design vehicle and provide a load posting recommendation when load rating calculations are part of the BEAP Study. Finally, all of the BEAP documents (Figs. 136.3.19-136.3.23) were updated.

9/17/15: In the second paragraph of [[136.11 Local Public Agency Construction#136.11.18 Final Plans|EPG 136.11.18 Final Plans]], guidance was clarified to show that MoDOT only needs "as built" plans when there have been significant structural or material changes to the original design plans (that is, changes that would require approval of the Engineer on Record, EOR).

9/17/15: In the first paragraph of [[136.10 Advertisement for Bid and Project Award#136.10.7.3 Bid Evaluation Considerations|EPG 136.10.7.3 Bid Evaluation Considerations]], the minimum standard for the number of bid evaluations has been set at three. When three bids are not available, the LPA is asked to explain.

9/10/15: Links to the latest version of SEMA's Floodplain Development Permit Application and No-Rise Certificate have been provided.

8/21/15: In the third paragraph of [[136.4 Consultant Selection and Consultant Contract Management#Each individual shall rate the firms|EPG 136.4.2.6 Step 5 - Selection of Consultant]], guidance was clarified by eliminating vagueness about the necessity for local public agencies to submit review forms and comments about rating firms.

8/20/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], three contracts were updated ([[media:136.3.5 2015.pdf|Fig. 136.3.5, HS 4, Safe Routes to School Program Agreement]], [[media:136.3.9 Aug 2015.docx|Fig. 136.3.9, FS 13, Off-System Bridge Replacement and Rehabilitation Program Agreement]] and [[media:136.3.21 2015.pdf|Fig. 136.3.21, BR11, BEAP Hourly Rate Contract]].)

8/19/15: The final bullet (about listing the parcel numbers and names of owners of all parcels acquired) in [[136.8 Local Public Agency Land Acquisition#136.8.10.3.3 Required data to be submitted with clearance certification|EPG 136.8.10.3.3 Required data to be submitted with clearance certification]] was deleted to reflect the changes already done in Form 136.8.8, Clearance Certification Statement.

7/27/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.5 Suspension and Debarment Certification (23 CFR 635.112)|EPG 136.9.4.1.1.5 Suspension and Debarment Certification]], the outdated ''A Listing of Parties Excluded from Federal Procurement and Non-procurement Programs'' link was replaced with a new, useful link to [https://www.sam.gov/portal/SAM/#1 System for Award Management].

7/24/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF July 27 2015.pdf|CUF Determination form]] has been provided.

7/16/15: In the big, gray "Additional Information for MoDOT Employees" box in [[136.3 Federal Aid Basics#136.3.13 Agreements|EPG 136.3.13 Agreements]], an old link to CCO's intranet was updated to their new SharePoint site. LPAs will not be able to access the SharePoint site (just like they were not able to access the intranet site). Two EPG article links were also added. [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was updated with a new link to the Affidavit of Compliance in Section 10.

6/30/15: [[media:136.6.7 201.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]], was updated to correct a technical issue and to reference recently developed bridge documentation standards.

6/22/15: [[media:110.2 checklist Jan 2015.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]] was updated.

6/19/15: In [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], links to numerous contracts were updated. A new link to contract [[media:136.3.28 2015.docx|FS 13-SUP BRO Supplemental Agreement (Fig. 136.3.28) ]] was also made available.

6/16/15: To eliminate confusion, a reference in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1 Material Acceptance] to one of the types of sampling and testing (a combination of certification documentation, delivery tickets and visual inspection) was deleted.

6/12/15: In [[136.11 Local Public Agency Construction#136.11.17.1 Material Acceptance|EPG 136.11.17.1 Material Acceptance]], the Small Material Quantity Acceptance Table was removed. Current info is available at [[Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)|EPG Off-Systems Guide Schedule for Federal-Aid Acceptance Sampling and Testing (FAST)]].

6/12/15: Both guidance in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts|EPG 136.4.2.4.3.2 LPA Consideration of DBE for On-Call Contracts]] and [[media:Fig. 136.4.1 June 2015.docx|Fig. 136.4.1, Engineering Services Contract ]] were updated to show that the engineer is required to submit Good Faith Efforts documentation for all agreements greater than $50,000. The engineer must also document Good Faith Efforts made to achieve that DBE goal if the agreed percentage specified is less than the percentage stated.

6/9/15: A very minor change (adding "LPA" to the title) was made to [[media:136.6.11 2015.doc|Fig. 136.6.11, LPA Floodplain Development Permit]] so that this form will not be confused with MoDOT's other Floodplain Development Permit/Application form.

6/8/15: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.5 Bridge (Structure) Submittals|EPG 136.9.2.5 Bridge (Structure) Submittals]], a third paragraph was added (per Sec 202.40.1.1) to provide guidance that a notification of demolition 10 days prior to start is required; also renovation or demolition requires hazardous waste reports and must be in the bid proposal. [[media:136.9.1 2015.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], was also updated to reflect these revisions.

5/29/15: A new file, [[media:Fig. 136.11.16.docx|Fig. 136.11.16, Approved Contract Administration Software]], is now available in the second paragraph of [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.1_Project_Diaries EPG 136.11.13.1 Project Diaries]. The file was introduced to identify systems that secure diaries.

5/22/15: [[media:136.3.1 2015.doc|Fig. 136.3.1, Programming Data Form]], was revised by adding questions about the need for right of way. Also, Fig. 136.3.3 Utilities Scoping Checklist was renumbered as [[media:136.7.8.doc|Fig. 136.7.8, Utilities Scoping Checklist]], and moved to [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]].

5/15/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF May 2015.pdf|CUF Determination form]] has been provided.

5/12/15: Several links in [[136.7 Design#136.7.3.1.2 Job Special Provisions|EPG 136.7.3.1.2 Job Special Provisions]] were updated to the [https://spexternal.modot.mo.gov/sites/de/JSP/Forms/Alt%20LPA.aspx new SharePoint link for JSPs]. Once you are in the new site, just scroll down a little and you will see all the LPA JSPs.

5/4/15: In [[media:Fig. 136.4.1 May 2015.docx|Fig 136.4.1, Engineering Services Contract]], the good faith effort requirements of #7 under Attachment E (on pg. 19) was modified. The Engineer is now required to submit the Good Faith Efforts documentation illustrating reasonable efforts to obtain DBE Participation.

4/23/15: [[136.3 Federal Aid Basics#136.3.7.4 Prompt Payment Policy|EPG 136.3.7.4 Prompt Payment Policy]] was added, in accordance with Missouri law. The existing EPG 136.3.7.4 Policy Enforcement was renumbered as EPG 136.3.7.5.

4/22/15: The [[media:136.9.4 2015.doc|ADA checklist]] was updated with relatively minor updates in [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]].

4/22/15: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]], the reference to E-Verify was removed from the first bulleted item.

4/20/15: In [[136.11 Local Public Agency Construction#136.11.9 Commercially Useful Function (CUF)|EPG 136.11.9 Commercially Useful Function (CUF)]], the DBE Truckers Interview Form was removed from use in the CUF interview.

4/20/15: In the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]], the guidance was clarified to state that the LPA may talk to the property owners about the project prior to the issuance of an A-Date. They can’t do appraisals, make offers, etc., until the A-Date is issued. Some LPAs were under the impression that they were not allowed to tell property owners anything about a project until they had an A-Date.

4/9/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was further updated.

4/2/15: The [[media:136.12.3.3.1 Obligation Request Form Apr 2015.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], was updated to include some additional FHWA requirements. New items on the form:
:* If the project has a State Number correlated with it, list it on the Obligation Form after the Federal Aid Number
:* Estimated Award Date – Enter the date the Construction Contract Award Date is anticipated.
:* Travel way ID: Route, Beginning Log Point & Ending Log Point
:* Railroad Impacts – Is the project going to have Railroad Impacts? (Drop Down) Yes or No
:* Utility Clearance – Is the project going to have Utilities Impacts? (Drop Down) No Impacts, Conditional Clearance, or Entire Clearance
:* Construction Completion Date - Enter the date the construction will be complete is anticipated.
:* To Auto Calculate, highlight the $0.00 on Total Estimate or Bid Amount and Press F9.

3/25/15: [[media:136.4.11 2015.doc|Fig. 136.4.11, Consultant Selection & ESC Submittal Checklist]], was udpated with the new link to MoDOT's Approved Consultant Prequalification List.

3/20/15: The new subarticle, [[136.7 Design#136.7.2.6.4 Buy America for Utilities|EPG 136.7.2.6.4 Buy America for Utilities]], provides clarification on Buy America requirements for utility relocation.

3/19/15: [[media:Fig. 136.4.1 2015.docx|Fig. 136.4.1 Engineering Services Contract]] was revised by removing the Attachment C-Overhead Rate Breakdown from the contract.

3/17/15: A new sentence was added to the first paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.7.3 Dedications|EPG 136.8.7.3 Dedications]] to further clarify the documentation needed when property or property rights are dedicated to an LPA.

3/6/15: [[media:136.11.5 2015.xls|Fig. 136.11.5, DBE Subcontract Worksheet]] and [[media:136.11.6 2015.doc|Fig. 136.11.6, Contractor’s Instructions for Filling out Request to Subcontract Work]] were updated to correct DBE allowance language.

2/26/15: In [[136.8 Local Public Agency Land Acquisition#136.8.2.2 Acquisition Authority|EPG 136.8.2.2 Acquisition Authority]] and the second paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.8.1 General|EPG 136.8.8.1 General]], guidance has been expanded for the streamlined documentation process for the acquisitions of LPA projects. Two new forms, [[media:136.8.2.2.docx|Right of Way Acquisition Schedule (Form 136.8.2.2)]] and [[media:136.8.2.2.A.docx|Right of Way Acquisition Schedule Instructions (Form 136.8.2.2.A)]] were added and [[media:136.8.1 2015.doc|Acquisition Authority Request (Form 136.8.1)]] was updated.

2/23/15: A typo in [[media:136.8.20 2015.docx|Form 136.8.20 LPA Project Acquisition Monitoring Checklist]] was corrected.

2/20/15: In the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.17.1_Material_Acceptance EPG 136.11.17.1's] item #1, MoDOT's QC/QA Off-Systems Guide Schedule for FAST table is now to be used as a minimum for material acceptance. In item #1's second paragraph, certification card must now be on hand during sampling and testing. In item #2, independent assurance samples and test will be required of the LPA or the LPA's consultant. Also, in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20's] item #3, a final list of acceptance testers used on the project must now be provided by the LPA.

2/6/15: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF Jan 2015.pdf|CUF Determination form]] has been provided.

1/28/15: A minor correction was made to the title of [http://epg.modot.org/index.php?title=136.8_Local_Public_Agency_Land_Acquisition#136.8.6.3.4_Uniform_Residential_Appraisal_Report_.28URAR.29_and_Addendum EPG 136.8.6.3.4 Uniform Residential Appraisal Report (URAR) and Addendum] by replacing "Approval" with "Appraisal".

1/8/15: [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], was updated with the new link to the ADA checklist.

12/31/14: In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 Plans, Specs and Estimates (PSE)]], [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated to add reference to two JSPs: LDs Specified for Winter Months and Safety Requirements. Further, [[136.7 Design#136.7.3.1.2.1.10 Safety Apparel Requirements|EPG 136.7.3.1.2.1.10 Safety Apparel Requirements]] was added because the new [[media:136.7.7.docx|Safety Requirements JSP]] is now required when a project is on MoDOT’s right of way.

11/26/14: In [[media:Fig. 136.4.1 2014.docx|Fig. 136.4.1 Engineering Services Contract]], the title of Attachment E was changed on pg.9 to reflect the actual title of the Attachment on pg. 17. [[media:136.9.1 2014.xlsx|Fig. 136.9.1 Final PS&E Submittal Checklist]] was revised to reflect that all plan sheets are signed and sealed by the engineer of record.

11/20/14: In EPG 136.3.12 Federal-aid Participation for Local Work, more specifically in both the fourth paragraph of [[136.3 Federal Aid Basics#136.3.12.3.4 Procedures|EPG 136.3.12.3.4 Procedures]] and the fifth paragraph of [[136.3 Federal Aid Basics#136.3.12.4.5 Procedures|EPG 136.3.12.4.5 Procedures]], guidance was revised to clarify change orders and supplements. Guidance now emphasizes that scope and estimates are to be complete and accurate.

11/17/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], two forms were updated: [[media:136.8.8 Nov 2014.doc|Fig. 136.8.8 Clearance Certification Statement]] and [[media:136.8.20 2014.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]].

10/16/14: In the third paragraph of [[136.8 Local Public Agency Land Acquisition#136.8.11.5.2 Approval of Contract|EPG 136.8.11.5.2 Approval of Contract]], a sentence was removed that had stated that a current real estate agent is required in Missouri.

9/26/14: In the first paragraphs of [[:Category:136 Local Public Agency (LPA) Policy|EPG 136 Local Public Agency (LPA) Policy]], references to Safe Routes to School were removed and references to MAP-21 were added.

9/25/14: Three forms were updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]: [[media:136.8.25 Sept 2014.doc|Form 136.8.25 Sample Donation Letter and Waiver of Appraisal]], [[media:136.8.26 2014.doc|Form 136.8.26 Sample Letter Offer (Payment Estimate)]] and [[media:136.8.27 2014.doc|Form 136.8.27 Sample Letter Offer (Value Finding or Standard Format Appraisal)]].

9/23/14: The consultant contract limit of the $100,000 total for on-call contracts was clarified in a recent video conference. The second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]] was clarified to indicate the total on-call cannot exceed $100,000 for the project.

9/12/14: Guidance in the first paragraph of [[136.3 Federal Aid Basics#136.3.8.11.4 TEAP Process and Timeline|EPG 136.3.8.11.4 TEAP Process and Timeline]] and the second to the last paragraph in [[136.3 Federal Aid Basics#136.3.8.11.5 Funding|EPG 136.3.8.11.5 Funding]] was updated to reflect that Traffic Division is no longer involved in the TEAP process for LPA project solicitation

8/28/14: [[media:136.6.7 201.docx|Fig. 136.6.7 Memorandum of Agreement for Migration of Adverse Effects]] was further corrected as a reference to a previous law, STURAA, was replaced with the new law MAP-21.

8/27/14: The two State Wage Rates links from the MO Dept of Labor were updated in [[136.12 Figures, Glossary and Other Useful Links#136.12.3.3 Links to Other Resources|EPG 136.12.3.3 Links to Other Resources]]. Also, in [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[media:136.6.7.doc|Fig. 136.6.7, Memorandum of Agreement for Migration of Adverse Effects]] was corrected by moving the location of a statement about stipulations.

8/22/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was revised by adding a drafter's note to provide guidance for highlighted sections. Language to define the contracting authority was also added.

8/8/14: [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]] now reflects that project closeout certifications are to be electronically received 60 days of the Final Inspection date.

8/8/14: In [[136.9 Plans, Specs and Estimates (PSE)#136.9.4.1.1.3 Bid Guaranty (49 CFR 18.36)|EPG 136.9.4.1.1.3 Bid Guaranty]], the guidance about the bid guarantee amount was clarified so as to not burden the contractor with high bid bonds. Dollar amounts for bid bond requirements are not to be used.

8/7/14: Updated the [http://epg.modot.org/forms/RW/Chapter%207_Negotiation/Roster%20of%20Approved%20Contract%20Negotiators.pdf Roster of Approved Contract Negotiators].

8/6/14: A new version of the [[media:136.7.2.9 sample letter.docx|Request for a Finding in the Public’s Interest sample letter]] was provided in EPG 136.7.2.9.

7/29/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] was updated again.

7/17/14: In Item #1 under the seventh parapraph of [[136.3 Federal Aid Basics#136.3.10.8 Use of Bridge Soft Match Credit|EPG 136.3.10.8 Use of Bridge Soft Match Credit]], the new [[media:Fig.136.3.27.xls|Fig. 136.3.27 Example of a Soft Match Credit Transfer Request]] has been referenced in a brief sentence. Also, in [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]], both [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19 Current BEAP Consultant List]] and Fig. 136.3.20 BEAP Project Tracking Form were updated.

6/23/14: Updated [[media:136.8.8 2014.doc|Clearance Certification Statement (Form 136.8.8)]].

6/13/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators June 2014.pdf|Roster of Approved Contract Negotiators]].

6/11/14: In [[136.6 Environmental and Cultural Requirements#4. Check to see whether the bridge has been excluded|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], the promised FHWA "Bridge Program Comment Excepted Bridges List"
website is now available.

5/29/14: Updated the [[media:136.8.25 2014.doc|Sample Donation Letter and Waiver of Appraisal, Form 136.8.25]].

5/22/14: Updated the [[media:236.7 Roster of Approved Contract Negotiators May 2014.pdf|Roster of Approved Contract Negotiators]].

5/14/14: The first two paragraphs of [[136.8 Local Public Agency Land Acquisition#136.8.4 Retention and Access to Records|EPG 136.8.4 Retention and Access to Records]] were revised to show that the [[media:136.8.17 2014.doc|Parcel File Checklist (Form 136.8.17)]] is now optional.

5/13/14: [[media:136.3.18 2014.xls|Fig. 136.3.18 Construction Reimbursement Form]] was updated. Also, [[media:136.8.20.docx|Fig. 136.8.20 Project Acquisition Monitor Checklist]] verbiage was tweaked to include more uniform act check items.

5/12/14: A very minor correction in EPG 136.11 Local Public Agency Construction's [[136.11 Local Public Agency Construction#Small Material Quantity Acceptance Table|Small Material Quantity Acceptance Table]]. Now, the AC is shown to be measured in tons and PCC measured in cubic yards.

5/7/14: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], [[media:136.8.18.docx|Form 136.8.18, RW Plan Review Checklist]] was updated.

4/30/14: [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.3 Consultant Evaluations for On-Call Services|EPG 136.4.2.4.3.3 Consultant Evaluations for On-Call Services]] was clarified to show who signs the LPA On-Call Consultant Evaluation and what happens to this document afterwards.

4/28/14: [[media:136.4.6.docx|Fig. 136.4.6 List of Unallowable Costs]] was updated in EPG 136.4 Consultant Selection and Consultant Contract Management.

4/21/14: In [[136.11 Local Public Agency Construction#136.11.13.3 Invoices|EPG 136.11.13.3 Invoices]], and the first paragraphs of both [[136.3 Federal Aid Basics#136.3.7.3 Progress Invoices|EPG 136.3.7.3 Progress Invoices]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]], the $10,000 requirement for invoicing was removed. It had been replaced with the requirement to invoice at least one time per month but not more often than every 2 weeks. Also, in [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], a requirement was implemented for the LPA to evaluate the consultant upon completion of work if they were hired by a standard solicitation. Thus, a "should" was replaced with a "must" in the first sentence.

4/15/14: At the bottom of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]],"MoDOT will certify the dates on which any on-site inspections were made" was deleted.

4/1/14: In the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.10.1_Federal_Wage_Rates_.2823_USC_113_and_29_CFR_5.29 EPG 136.9.4.1.1.10.1 Federal Wage Rates], the Dept. of Labor's link and associated information was updated.

3/31/14: In [[media:136.9.4 Apr 2014.doc|Fig. 136.9.4 ADA Checklist]], two items were clarified, two more items were removed to better align with Access Board’s PROWAG info. PROWAG references were also added to assist users in finding further information on the US Access Bd. website.

3/19/14: Near the top of [[136.6 Environmental and Cultural Requirements#136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], guidance was added that defined LPA jobs with "No Potential to Cause Adverse Effects" and that do not need a Sec 106 submittal to the SHPO.

3/18/14: In the second paragraph of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]], a sentence was added to tell the LPA to write a scope for the consultant and produce an estimate to determine whether the project is eligible for the on-call list.

3/11/14: A minor clarification of titles was made at the bottom of Fig. 136.9.4 ADA Checklist. "Resident Engineer" and "Area Engineer" were replaced with "Engineer of Record".

3/10/14: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], it was clarified that the copies of the contact and associated files to be submitted to the District Contact must be electronic copies.

3/7/14: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List|EPG 136.4.2.4.3.1 Selecting a Consultant from the LPA On-Call Consultant List]], it was clarified that it is not mandatory for LPAs to consider at least 3 firms for each project when reviewing the LPA On-Call Consultant List.

3/6/14: A link was inserted for the [http://www.modot.org/business/lpa/OnCallListing.htm LPA On-Call Consultant List] in three locations in [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.11_Traffic_Engineering_Assistance_Program_.28TEAP.29 EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)].

3/5/14: EPG 136.3.18 TAP was moved to [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 TAP]] and the subsequent EPG 136.3.8 subarticles were renumbered accordingly. The eligible project sponsor information at the bottom of the newly renumbered [[136.3 Federal Aid Basics#136.3.8.7.2 Project Eligibility and Selection|EPG 136.3.8.7.2 Project Eligibility and Selection]] was deleted and replaced with a link to [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]] to ensure consistency in the definition of eligible sponsors.

2/24/14: New guidance is now available for the LPA On-Call Consultant List at [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4.3 Using the LPA On-Call Consultant List|EPG 136.4.2.4.3 Using the LPA On-Call Consultant List]]. Additional revisions were made in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.2 Step 1 – Scope of Services|EPG 136.4.2.2 Step 1 – Scope of Services]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.3 Step 2 - Creating an RFQ Document|EPG 136.4.2.3 Step 2 - Creating an RFQ Document]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.4 Step 3 - Advertising the RFQ Solicitation|EPG 136.4.2.4 Step 3 - Advertising the RFQ Solicitation]] for this new list. A new form, [[media:136.4.19.docx|Fig. 136.4.19 LPA On-Call Consultant Evaluation]], has also been introduced.

2/18/14: [[media:136.8.1 2014.doc|Fig. 136.8.1, Acquisition Authority Request]] was updated.

2/5/14: The contacts were updated in the [[media:136.12.3.3.1 Obligation Request Form 2014.docx|Obligation Request Form]], which is available in [http://epg.modot.mo.gov/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms].

2/4/14: [[media:136.9.3 2018.docx|Fig. 136.9.3 Federal Project Bid Proposal Boilerplate]] was updated by removing the requirement for using our template bid bond. Also, "lien waver" was added to the list of documentation examples in #4b of [[136.11 Local Public Agency Construction#136.11.20 Project Closeout Certifications|EPG 136.11.20 Project Closeout Certifications]].

1/31/14: In [[media:136.4.15 2014.doc|Fig. 136.4.15]], a misspelled word was corrected.

1/30/14: The definition of County Aid Road Trust (CART) Funding was added to [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.2_Glossary EPG 136.12.2 Glassary].

1/29/14: In [http://epg.modot.org/index.php?title=136.12_Figures%2C_Glossary_and_Other_Useful_Links#136.12.3.3_Links_to_Other_Resources EPG 136.12.3.3 Links to Other Resources], the ADAAG links were updated.

1/28/14: In [[136.7 Design#Deviations from MoDOT and Federal Requirements|EPG 136.7.2.7 Design Exceptions]], a minor clarification was made to the guidance for the engineer of record submitting the approved design exception to the MoDOT District Contact. It was made clear that the approved design is to be submitted only for projects on MoDOT's system.

1/10/14: [[media:Fig.136.3.19 2019.pdf|Fig. 136.3.19, Current BEAP Consultant List]] was updated.

1/9/14: New guidance, [[136.3 Federal Aid Basics#136.3.8.7 Transportation Alternatives Program (TAP)|EPG 136.3.8.7 Transportation Alternatives Program (TAP)]] is now available. TAP includes the pre-MAP-21 programs of Transportation Enhancements, Recreational Trails, Safe Routes to School and Scenic Byways. A brief listing of links, [[136.3 Federal Aid Basics#136.3.17 Emergency Relief|EPG 136.3.17 Emergency Relief]] is also new. Other minor revisions (such as the definitions of MAP-21 and TAP) arising from MAP-21 were made in [[136.1 Introduction#136.1.1 Background and Purpose|EPG 136.1.1 Background and Purpose]] and [[136.12 Figures, Glossary and Other Useful Links#136.12.2 Glossary|EPG 136.12.2 Glossary]].

12/18/13: Additional environmental documentation of FHWA approval is now required under Section One of the [[media:136.8.1 2013.doc|Acquisition Authority Request (Form 136.8.1)]].

11/4/13: [[media:136.11.1 Nov 2013.doc|Fig. 136.11.1, General Guidelines for LPA Preconstruction Conference]], was updated to include "land disturbance permit" as part of the pre-construction conference topics.

10/18/13: Guidance in [http://epg.modot.org/index.php?title=136.7_Design#136.7.2.10_Value_Engineering EPG 136.7.2.10 Value Engineering] was updated to comply with MAP-21, the federal surface transportation law. Now, National Highway System (NHS) projects costing at least $50,000,000 and NHS bridge projects costing at least $40,000,000 require a Value Engineering (VE) study. (Previously, VE studies were required for NHS projects costing $25M and NHS bridge projects costing $20M.) Design/Build projects are exempt from this VE study requirement.

10/11/13: EPG 136.3.15.1 Progress Invoice was moved to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3] to reflect the federal definition of Reasonable Progress. There was no change in policy.

10/1/13: EPG 906 TEAP has been moved to [[136.3 Federal Aid Basics#136.3.8.11 Traffic Engineering Assistance Program (TEAP)|EPG 136.3.8.11 Traffic Engineering Assistance Program (TEAP)]]. The modified EPG language reflects Design Division timelines and processes. One of the main process changes is that the TEAP studies will be provided through on-call consultants. (Local agencies will select a consultant from an approved list of on-call consultants to complete a TEAP study for them.) The TEAP application has also been completely revised to resemble other DE or LPA standard applications. In FY 2014, the Traffic & Highway Safety Division and the Local Programs group will partner to administer TEAP. The TEAP processes and timelines will remain the same. In FY 2015, the administration of TEAP will be through the Local Programs group.

9/27/13: In [[136.7 Design#136.7.2.6.1 Utility Relocations|EPG 136.7.2.6.1 Utility Relocations]], new guidance has been provided for the Utility Status Letter to be prepared by the LPA.

9/24/13: The format, not the content, of [[media:136.4.7 Sept 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated.

9/23/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], guidance including three new files was added to provide sufficient documentation so LPA can produce an actual contract. Also, [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate ]] was updated to include sample contract forms.

9/20/13: In the EPG 136.6 sidebar, at the top of the article, a link to the Advisory Council on Historic Preservation's [http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] was added under "Other Figures and Information for EPG 136.6". It applies to all federally funded or permitted projects, and gives a good background on the Section 106 process.

9/18/13: A typo was corrected in [[media:136.9.5 2013.doc|Fig. 136.9.5, LPA Certification of PS&E]].

9/12/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], the link to the ''Uniform Audit & Accounting Guide'' was updated to the 2012 edition of this publication.

9/11/13: Very minor editorial revisions were made to Figs. [[media:136.4.9 Sept 2013.doc|136.4.9 (Local Sponsor ESC Sample Cover Letter)]], [[media:136.8.25 Sept 2013.doc|136.8.25 (Sample Donation Letter & Waiver of Appraisal)]], [[media:136.8.26 Sept 2013.doc|136.8.26 (Sample Letter Offer – Pay Estimate)]] and [[media:136.8.27 Sept 2013.doc|136.8.27 (Sample Letter Offer – Value Finding)]].

9/9/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], a note was added to Point #2 to clarify whether the Certificate of Authority is required.

9/6/13: In [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], several forms ([[media:136.8.25 2013.doc|Form 136.8.25 Sample Donation Letter & Waiver of Appraisal]], [[media:136.8.26 2013.doc|Form 136.8.26 Sample Letter Offer – Pay Estimate]] and [[media:136.8.27 2013.doc|Form 136.8.27 Sample Letter Offer – Value Finding]]) were updated due to a request from FHWA.

9/5/13: A minor clarification was made in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification]. Point #2 was expanded to show that the consultant will be required to have a Certificate of Good Standing and hold a certification of authority from the MO Board for Architects, Professional Engineers, Professional Land Surveyors and Landscape Architects.

8/21/13: At the bottom of [[136.6 Environmental and Cultural Requirements#136.6.4.8 Stormwater and Erosion Control|EPG 136.6.4.8 Stormwater and Erosion Control]], a minor reference to EPG 806.8 SWPPP was added for greater convenience.

8/20/13: The [http://moltap.org/ Missouri Local Technical Assistance Program] link was updated in EPG 136.12.3.3.

8/19/13: The link to newest 7/2012 [http://www.modot.org/business/contractor_resources/documents/RequesttoSubcontract_C-220.pdf Request to Subcontract Work Form] was updated in EPG 136.11.8.

8/12/13: For greater convenience, links to [http://www.modot.org/newsandinfo/functionalclassificationmaps/index.htm "functional classification"] have been added to [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]].

8/6/13: Subconsultant requirements were updated in [[media:Fig. 136.4.14 Aug 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]].

7/12/13: The [[media:Fig.136.3.19 2019.pdf|BEAP Consultant List]] was updated.

7/11/13: Revisions made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.1 Subconsultant cost exceeding $25,000|EPG 136.4.2.7.3.1 Subconsultant cost exceeding $25,000]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.9 MoDOT Review of Consultant Contract|EPG 136.4.2.9 MoDOT Review of Consultant Contract]] result from MoDOT's Audits and Investigation Division ceasing the pre-negotiations reviews and shifting the reviews to project managers and/or contract administrators. Also updated the checklist in [[media:Fig. 136.4.14 July 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] to be more helpful.

7/8/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]], the MRC form was replaced with the new Consultant Certification of Indirect Cost form.

7/5/13: Fig. 136.3.20, BEAP Project Tracking Form, was updated.

6/26/13: Some minor formatting issues were addressed in [[media:Fig. 136.4.1 June 26, 2013.docx|Fig. 136.4.1, Engineering Services Contract ]].

6/25/13: EPG 754 BEAP info was slightly modified and moved to [[136.3 Federal Aid Basics#136.3.8.10 Bridge Engineering Assistance Program (BEAP)|EPG 136.3.8.10 Bridge Engineering Assistance Program (BEAP)]].

6/25/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.1 Federal Law|EPG 136.4.1.1 Federal Law]], a minor clarification of the italicized text from "federally funded projects" to "projects that utilize Federal Aid Highway Program funds for engineering". Also, in [[media:136.4.10 2013.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], more spaces were added for direct salaries in the invoice.

6/18/13: Three links (to BRO and Soft Match Balances, DBE Submittal Forms and Disadvantaged Business Enterprises) were removed from EPG 136.12.3.2. Also, EPG 136.12 Figures and Glossary was retitled to [[136.12 Figures, Glossary and Other Useful Links|EPG 136.12 Figures, Glossary and Other Useful Links]].

6/17/3: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the acceptance for provision for asphalt cement price index, seal coat price index, underseal price index and UBAWS membrane price index was updated.

6/13/13: In [[136.6 Environmental and Cultural Requirements#Program Comment for Post-1945 Common Bridge Types.|EPG 136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations]], Post-1945 Bridge information was added to allow the exemption of some bridges from the Sec 106 review.

6/11/13: Incorrect references to "consultant" were replaced with "engineer" in [[media:Fig. 136.4.1 June 2013.docx|Fig. 136.4.1, Engineering Services Contract]].

6/10/13: An updated table of approved Missouri Scenic Byways was added to [[136.3 Federal Aid Basics#136.3.8.8.2 Project Eligibility and Selection|EPG 136.3.8.8.2 Project Eligibility and Selection]]. Also, in both [[136.10 Advertisement for Bid and Project Award#136.10.7.1.1 Responsive Bid|EPG 136.10.7.1.1 Responsive Bid]] and [[136.10 Advertisement for Bid and Project Award#136.10.7.3.3 DBE Submittal Form Review|EPG 136.10.7.3.3 DBE Submittal Form Review]], the DBE requirements at bid opening were clarified.

6/6/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]], the requirement to send the e-verify with each letter of interest was removed. MoDOT now requires firms to be prequalified and part of prequalification is the e-verification of documents. Also, a minor correction was made to the revision date of [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

6/5/13: The [http://www.modot.org/business/consultant_resources/documents/StandardConsultantPrequalificationProcess.pdf How-To Tutorial for MoDOT's Consultant Standard Prequalification Process] is now available. Also now available are links to the [http://www.modot.org/business/consultant_resources/standard_prequalification_process.htm Standard Prequalification Process] and [http://www.modot.org/business/consultant_resources/documents/SAFEHARBORELIGIBILITYREQUIREMENTS_004.pdf Safe Harbor Indirect Cost Rate (SHR) Prequalification Process].

6/4/13: A minor correction was made to [[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]. (In the figure, Item 13 was changed to Item 15 under Question 5.) Also, the link to the [http://epg.modot.org/forms/RW/Chapter%206_Appraisal%20and%20Appraisal%20Review/Roster%20of%20Approved%20Contract%20Appraisers.pdf Roster of Approved Contract Appraisers] was updated in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]].

5/31/13: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000|EPG 136.4.2.7.3.2 Subconsultant cost NOT exceeding $25,000]], new guidance clarified that a subconsultant charging less than $25K must also submit the Management Representation and Certification Form.

5/30/13: Information was added to [[media:136.4.7 May 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] and [[media:Fig. 136.4.14 May 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]] ensuring hazardous waste inspections and reports were being done. Also, [[136.4 Consultant Selection and Consultant Contract Management#136.4.4 Construction Engineering (CE) and Construction Administration|EPG 136.4.4 Construction Engineering (CE) and Construction Administration]] having links to EPG 136.11 was added. The former EPG 136.4.4 was renumbered as EPG 136.4.5 Key Submittals/Requirements. Finally, a minor revision was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/21/13: In [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]], it was clarified that the approved preliminary plan is to be available for public viewing/display during the 21-day advertisement period.

5/17/13: Minor clarification was added to [[media:136.9.1 May 17, 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]], and [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

5/16/13: New guidance about contract execution timeframe has been provided in [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.5 Contract Execution|EPG 136.4.2.7.5 Contract Execution]].

5/16/13: [[media:110.2 checklist 2013.pdf|Fig. 136.11.13, Job Bulletin Board Checklist]], was updated. Also, guidance for selecting and scoring consultants was added to the bottom of [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]].

5/15/13: Fig 136.4.8, District Representative ESC Cover Letter, was removed since this form is no longer required.

5/14/13: The name of a figure was updated in [[media:136.9.1 May 2013.xlsx|Fig. 136.9.1, Final PS&E Submittal Checklist]].

5/10/13: At the bottom of [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.2.2_Project_Eligibility_and_Selection EPG 136.3.8.2.2], [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.3.2_Project_Eligibility_and_Selection EPG 136.3.8.3.2] and [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.8.5.2_Project_Eligibility_and_Selection EPG 136.3.8.5.2], convenient links for additional guidance for STP and CMAQ funds were added to guidance having to do with project eligibility and selection.

5/9/13: In [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], the checkbox for "all e-verify information" on the bidders checklist was removed since the e-verify information is only a requirement prior to award and is not required to be submitted with the bids.

5/3/13: In [[136.10 Advertisement for Bid and Project Award#136.10.8 Award|EPG 136.10.8 Award]], expanded and clarified guidance for what the LPA should submit to the district after the LPA executes the contract. Also, a minor clarification was made to the title of [[media:136.11.1 2013.doc|Fig. 136.11.1]], General Guideline for LPA Preconstruction Conference.

5/2/13: A very minor update was made to [[media:Fig. 136.4.1 May 2013.docx|Fig. 136.4.1 ESC]]. Also, in [[136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]], updated the links to both the Roster of Approved Contract Appraisers and Roster of Approved Contract Negotiators.

4/30/13: [[media:136.4.7 Apr 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]], was updated with a minor revision.

4/22/13: In [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 Commercially Useful Function (CUF)], the latest version of the [[media:146 CUF 2015.pdf|CUF Determination form]] has been provided by MoDOT's External Civil Rights Division.

4/15/13: A convenient link to CUF red flags was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.9_Commercially_Useful_Function_.28CUF.29 EPG 136.11.9 CUF]. Also, guidance was added in [http://epg.modot.mo.gov/index.php?title=136.11_Local_Public_Agency_Construction#136.11.20_Project_Closeout_Certifications EPG 136.11.20 Project Closeout Certifications, 4b] for the LPA to provide documentation that each DBA was paid in full. This type of DBE documentation may include a letter, e-mail or copies of reimbursement checks.

4/15/13: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], the [[media:136.12.3.3.1 Obligation Request Form 2013.docx|Obligation Request Form]] was updated with a very minor revision.

4/4/13: Some references within the checklist of [[media:Fig. 136.4.14 Apr 2013.doc|Fig. 136.4.14, Checklist for reviewing Consultant Contracts]], were updated.

4/2/13: A very minor update (a new logo) was made to [[media:Fig. 136.4.8 Apr 2013.doc|Fig. 136.4.8, District Representative ESC Cover Letter]].

3/27/13: A very minor update was made to [[media:Fig. 136.4.1 Mar 2013.docx|Fig. 136.4.1 ESC]].

3/20/13: [[media:Fig. 136.4.14 Mar 2013.doc|Fig. 136.4.14, Checklist for Reviewing Consultant Contracts]], was revised with updated document references.

3/12/13: Information regarding the page limits for the letter of interest was updated in [[media:136.4.7 Mar 2013.doc|Fig. 136.4.7]].

2/28/13: In [[media:136.4.9 Feb 2013.doc|Fig. 136.4.9]], a sentence was added regarding a city not being staffed to do engineering work and the need to hire a consultant.

2/26/13: [[media:136.4.7 Feb 2013.doc|Fig. 136.4.7, Sample Solicitation & Sample Scope of Services]] was updated to include "right of way plans" in the sample scope of services.

2/25/13: [[136.11 Local Public Agency Construction#136.11.12 Construction Administration|EPG 136.11.12 Construction Administration]] was re-titled (from "EPG 136.11.12 Consultant Construction Engineering Services") and expanded to give more guidance on construction administration expectations.

2/21/13: [[136.9 Plans, Specs and Estimates (PSE)#136.9.2.10 ADA Checklist|EPG 136.9.2.10]] was retitled "ADA Checklist" (from "ADA Certification and Checklist"), a minor change.

2/8/13: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was updated with minor corrections.

2/4/13: In [[media:136.4.11 Feb 2013.doc|Fig. 136.4.11]], the conflict of interest line item was added.

2/4/13: In [[136.1 Introduction#136.1.2.2 Project Sponsor Eligibility|EPG 136.1.2.2 Project Sponsor Eligibility]], the definition of an eligible sponsor for federal aid transportation projects was clarified. This change allows MoDOT to focus our limited resources on public agencies that have public accountability and typically have the internal structure and knowledge to deliver a federal aid project. Project sponsors must be a city, county or transportation related government agency to be eligible to administer a federal aid transportation project. All other entities including, but not limited to, school districts and not-for-profit agencies must partner with a city or county to apply for and/or administer a federal aid transportation project.

2/1/13: [[media:136.9.1 2013.xlsx|Fig. 136.9.1]] updated to remove the requirement for ADA certification. Also, Fig. 136.9.12 (ADA Certification) deleted and incorporated into [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]].

2/1/13: In several locations in EPG 136.4 Consultant Selection and Consultant Contract Management, clarification of the criteria for prequalifying a consultant for MoDOT and LPA work. Info that was added back on 11/1/12 was removed, among other updates to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.5 Consultant Qualification|EPG 136.4.1.5 Consultant Qualification]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.6 Conflict of Interest|EPG 136.4.1.6 Conflict of Interest]], [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.5 Step 4 - Response to the RFQ|EPG 136.4.2.5 Step 4 - Response to the RFQ]] and [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]]. Also, Figs. [[media:136.4.7 2013.doc|136.4.7]], [[media:Fig. 136.4.8 2013.doc|136.4.8]], [[media:136.4.9 2013.doc|136.4.9]], [[media:136.4.11 2013.doc|136.4.11]] and [[media:Fig. 136.4.14 2013.doc|136.4.14]] were updated to reflect the new consultant prequalification requirements. The ''How to Evaluate'' PowerPoint tutorial was updated. Finally, [[media:Fig. 136.4.1 2013.docx|Fig. 136.4.1 Engineering Services Contract]] was updated to include the following sections:
:* Added prompt payment language
:* Added suspension and termination language
:* Added lobbying certification language
:* Added OPTIONAL insurance language
:* Added the Conflict of Interest Form as Attachment G
:* Added ADA certification language (no longer have to use a separate ADA certification form, which was Fig. 136.9.12).

1/29/13: In EPG 136.7.2.4.2, the old Fig. 136.9.4 was updated to the correct, current figure.

1/28/13: In Item "b" of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.1.2_Step_2.2C_Cultural_Resource_Investigations Step 2a. The Cultural Resource Survey] in 136.6 Environmental and Cultural Requirements, guidance has been added to conveniently provide SHPO architectural survey info.

1/22/13: A very minor clarification to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.12.4.4_Submittal_Requirements EPG 136.3.12.4.4] (a reference to Fig. 136.3.17 was added).

1/17/13: [[media:136.9.11.pdf|Fig. 136.9.11, Example Estimate]], has been added. This estimate is broken down into the required categories for payment.

1/16/13: Some of the verbiage in the second paragraph of [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.11_CE_Funding_Obligation EPG 136.4.2.11 CE Funding Obligation] was clarified.

1/15/13: In [[136.11 Local Public Agency Construction#136.11.15.1 Change Order Documentation|EPG 136.11.15.1 Change Order Documentation]], guidance about whether re-designs are eligible for federal participation was clarified. A similar, smaller clarification was also made in #7 of [[136.3 Federal Aid Basics#136.3.15 Reimbursement and Auditing|EPG 136.3.15 Reimbursement and Auditing]].

12/27/12: In [[136.11 Local Public Agency Construction|EPG 136.11 Local Public Agency Construction]], updated references to Fig. 136.11.9 from "Contractor Certification" to "Contractor DBE Certification".

12/21/12: A note was added to [[media:136.4.17 Dec 2012.xlsx|Fig. 136.4.17]] about PE ceiling or CE ceiling amounts.

12/10/12: [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.11_E-Verify_Affidavit_.26_MOU_.28RsMO_285.530.29 EPG 136.9.4.1.1.11 E-Verify Affidavit & MOU] was updated. (The bid proposal must now state that the E-verify affidavit and MOU must be submitted prior to award of the contract.) Also [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]] was clarified on the use of bid bond forms and when worker eligibility documents must be submitted.

12/5/12: Item 78 in [[media:136.9.1 Dec 5, 2012.xlsx|Fig. 136.9.1]] was updated with a minor revision to match the Obligation Request Form categories.

11/27/12: [http://epg.modot.org/index.php?title=136.7_Design#136.7.3.1.2.1.4_Lump_Sum_Items EPG 136.7.3.1.2.1.4 Lump Sum Items] was clarified by stating that spec lump sum items do not require a JSP.

11/26/12: Several minor clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. The most notable clarifications were made to [[136.4 Consultant Selection and Consultant Contract Management#136.4.1.3.2 Preliminary Engineering Activities by Local Forces|EPG 136.4.1.3.2 Preliminary Engineering Activities by Local Forces]] (about when the LPA is not requesting reimbursement for the in-house design services), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.6 Step 5 - Selection of Consultant|EPG 136.4.2.6 Step 5 - Selection of Consultant]] (about rating as many firms as necessary), [[136.4 Consultant Selection and Consultant Contract Management#136.4.2.7.3 Subconsultants|EPG 136.4.2.7.3 Subconsultants]] (about encouraging subconsultants to be prequalified), [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]] (adding that each invoice must show the total DBE payments for the particular invoice) and [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.2 Supplemental Agreements|EPG 136.4.3.2 Supplemental Agreements]] (about LPA responsibility to fund the work).

11/21/12: Minor updates were made to Figs. [[media:136.4.11 2012.doc|136.4.11]] and [[media:Fig. 136.4.14 Nov 2012.doc|136.4.14]].

11/19/12: In EPG 136.11.2 Work by LPA Forces, the [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf link to FHWA Fom 1273] was updated.

11/15/12: [[media:136.4.10 Nov 15, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated to expand the DBE information.

11/2/12: LPAs' website advertisement opportunities were expanded in the first paragraph of [http://epg.modot.mo.gov/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.3_Bid_Opening_Advertisement EPG 136.10.3 Bid Opening Advertisement ].

11/1/12: Guidance was added to [[136.4 Consultant Selection and Consultant Contract Management#6. Bridge Consultants Only:|EPG 136.4.1.5 Consultant Qualification, #6 Bridge Consultants Only]] that the Bridge Experience Profile and Personal Bridge Experience Record forms must be updated every 3 years.

10/25/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.7.2_Basis_of_Payment EPG 136.4.2.7.2 Basis of Payment], changed the mileage reimbursable rates from the IRS rate to GSA's current POV Mileage Reimbursable Rate. Also updated [[media:Fig. 136.4.14 2012.doc|Fig. 136.4.14]] to reflect this change.

10/23/12: In [http://epg.modot.org/index.php?title=136.12_Figures_and_Glossary#136.12.3.2.1_Commonly_Used_Forms EPG 136.12.3.2.1 Commonly Used Forms], removed Fig. 136.12, Sample Form for Submitting Invoices from the gray "Forms and Information" box. This form was out-of-date and has been relabeled elsewhere.

10/22/12: [[media:136.9.12 Oct 2012.doc|Fig. 136.9.12's]] cross slope compliance guidance was slightly modified.

10/12/12: In [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.3 Consultant Performance Appraisals|EPG 136.4.3.3 Consultant Performance Appraisals]], guidance was clarified on how to document consultant evaluations.

10/11/12: A minor typo update was made to [[media:136.8.8 2012.doc|Form 136.8.8]].

10/10/12: A minor change was made to [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]], clarifying that the E-verify information must be submitted with each bid.

10/5/12: [[media:136.4.10 Oct 5, 2012.xlsx|Figs. 136.4.10]] and [[media:136.4.17 Oct 5, 2012.xlsx|136.4.17]] were updated. In Fig. 136.4.10, more cells were locked and Cell C68 was updated, while in Fig. 136.4.17, commentary was added on how to fill out Section 2 of the invoice. Also, in [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]] the "How To" PowerPoint, [[media:136.4.2.3 How to Develop a Winning Project Application.ppt|How to Develop a Winning Project Application]], was added.

10/1/12: In [[media:136.4.10 Oct 2012.xlsx|Fig. 136.4.10]], changed cells to have 2 decimal points instead of none. In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10_Hazardous_Waste EPG 136.6.4.10], minor clarifications were made about including inspection reports in the bid proposal. In [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9]], minor clarifications were made to [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.1_Environmental.2C_Historical_and_Cultural_Requirements EPG 136.9.2.1] and [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity 136.9.4.1.1.4] about including all hazardous waste reports and changing the timeline for submitting subcontractor affirmative action certification prior to the notice to proceed for construction, respectively. In [[media:136.9.1 Sept 28, 2012.xlsx|Fig. 136.9.1]], a line item was added for Asbestos and Lead Paint Inspection Reports that need to be a part of the bid book. In [[136.11 Local Public Agency Construction|EPG 136.11]], a requirement for Hazardous Waste Notifications was added to [[media:136.11.1 Sept 2012.doc|Fig. 136.11.1]].

9/25/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] was revised by adding a revision date and a statement on project award.

9/24/12: A minor clarification was made to [http://epg.modot.mo.gov/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.15_Disadvantaged_Business_Enterprise_.28DBE.29_.2849_CFR_Part_26.29 EPG 136.9.4.1.1.15] about the DBE goal applying to the entire federally-funded project. Also, a very minor update was made to [[media:136.9.1 Sept 2012.xlsx|Fig. 136.9.1]].

9/5/12: Three figures, [[media:136.4.10 Sept 5, 2012.xlsx|136.4.10]], [[media:136.4.17 Sept 2012.xlsx|136.4.17]] and [[media:136.4.18 Sept 5, 2012.docx|136.4.18]], were updated with minor revisions.

9/4/12: The ADA Checklist, Fig. 136.9.4, was updated, replacing the old "ADA Post-Construction" and "Post-Inspection" Checklist. The new ADA Checklist presents expanded information to comply with the US Access Board's PROWAG 2005 and 2010 ADA/ABA standards. Also, [[media:136.4.10 Sept 2012.xlsx|Fig. 136.4.10]] was updated with a minor revision.

8/30/12: Under "Federal-Aid Essential Videos" in the gray box at the top of [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], the "Federal-Aid Program Overview" video was replaced with three other videos.

8/29/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.1.5_Consultant_Qualification EPG 136.4.1.5 Consultant Qualification], guidance was clarified for consultant qualification.

8/29/12: DBE requirement guidance was clarified in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.3.2_Supplemental_Agreements EPG 136.4.3.2 Supplemental Agreements].

8/27/12: Links to various FHWA videos were added to the gray boxes at the top of several articles (including [[136.3 Federal Aid Basics|EPG 136.3 Federal Aid Basics]], [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], [[136.6 Environmental and Cultural Requirements|EPG 136.6 Environmental and Cultural Requirements]], [[136.7 Design|EPG 136.7 Design]], [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], [[136.9 Plans, Specs and Estimates (PSE)|EPG 136.9 PSE]], [[136.10 Advertisement for Bid and Project Award|EPG 136.10 Advertisement for Bid and Project Award]] and [[136.11 Local Public Agency Construction|EPG 136.11 LPA Construction]]).

8/22/12: The invoice template guidance was clarified and slightly expanded in the "Invoice Detail" portion of [[136.4 Consultant Selection and Consultant Contract Management#136.4.3.1 Payments/Invoicing|EPG 136.4.3.1 Payments/Invoicing]].

8/20/12: Fig. 136.9.1 was revised with a minor update.

8/9/12: [[media:136.9.3 2018.docx|Fig. 136.9.3]] (Federal Project Bid Proposal Boilerplate) was updated.

7/31/12: Revised [[media:136.4.10 July 31, 2012.xlsx|Fig. 136.4.10]] and [[media:136.4.18 July 2012.docx|Fig. 136.4.18]] with minor updates.

7/30/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1]], the link to FHWA Form 1273 was updated. The new link is the same as the current link to this form in EPG 136.9 Plans, Specs and Estimates (PSE).

7/23/12: [[media:136.4.10 July 23, 2012.xlsx|Fig. 136.4.10, LPA Consultant Services Invoice]], was updated with a minor revision.

7/23/12: In [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.4.1_Advertising_on_MoDOT.E2.80.99s_Site EPG 136.4.2.4.1 Advertising on MoDOT’s Site], guidance was clarified by adding "When advertising on MoDOT's website, the LPA can choose to also advertise in a newspaper but it is not required."

7/18/12: Several links were updated and references to form attachments were updated in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]]. Also, [[media:Fig. 136.4.1.docx|Fig. 136.4.1]] had minor clarifications and [[media:136.4.17 July 2012.xlsx|Fig. 136.4.17]] had one minor update.

7/17/12: [[media:136.4.10 July 2012.xlsx|Fig. 136.4.10]] was updated with minor changes.

7/17/12: A clarification in the second paragraph of [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.3_Utility_Status EPG 136.9.2.3 Utility Status]: "bid opening" was replaced with "construction obligation".

7/12/12: Figs. 136.4.18 and 136.9.1 were updated with minor corrections.

7/6/12: In [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4]], Figs. 136.4.10 and 136.4.17 were updated as xlsx files.

7/2/12: [http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf Fig. 136.9.7, Required Contract Provision], was updated.

6/25/12: Fig. 136.5.4, Non-Infrastructure Obligation Request Form, was made available in [[136.5 Non-Infrastructure|EPG 136.5 Non-Infrastructure]].

6/19/20: In EPG 136.4, the "How To" tutorial [[media:136.4 How to Evaluate.ppt|How to Evaluate Consultant Proposals, Complete Rating Sheets and Make a Selection]] was added. Also, minor updates were done to [[media:136.4.10 June 20, 2012.doc|Fig. 136.4.10, LPA Consultant Services Invoice]].

6/14/12: In [[136.12 Figures, Glossary and Other Useful Links#136.12.1 Figures|EPG 136.12.1 Figures]] and [[136.8 Local Public Agency Land Acquisition|EPG 136.8 LPA Land Acquisition]], the Roster of Approved Contract Appraisers was updated so that LPAs can access it. Also, the Roster of Approved Contract Negotiators was added.

6/12/12: In [http://epg.modot.mo.gov/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.2_Painting_Bridges_and_Demolition_of_Painted_Structures EPG 136.6.4.10.2 Painting Bridges and Demolition of Painted Surfaces], a process change has been required by MoDOT's signing an MOU with DHSS. For any lead testing activity, the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS.

6/11/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.10.1_Renovation_and_Demolition_of_Structures EPG 136.6.4.10.1 Renovation and Demolition of Structures], the use of an Asbestos Building Inspector was specified rather than "a certified asbestos inspector". Also, in [[136.4 Consultant Selection and Consultant Contract Management|EPG 136.4 Consultant Selection and Consultant Contract Management]], Figs. 136.4.10 and 136.4.18 were updated.

6/6/12: Fig. 136.11.6 was clarified so that which form is being filled out and which of the other two figures comprising each half when the contractor fills it out are now clearly indicated.

6/4/12: A small clarification was made in Fig. 136.9.12.

5/25/12: Fig. 136.9.1 was updated with minor clarifications. Also, [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.2.11_PS.26E_Certification EPG 136.9.2.11] was added to further clarify the PS&E certification.

5/21/12: Several minor corrections of references to Federal Bid Proposal Boilerplate sections in [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.9.4.1.1.4] through [http://epg.modot.org/index.php?title=136.9_Plans%2C_Specs_and_Estimates_%28PSE%29#136.9.4.1.1.7_Lobbying_Certification_.2849_CFR_part_20.29 EPG 136.9.4.1.1.7].

5/17/12: In [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.2_National_Environmental_Policy_Act_.28NEPA.29_Classification EPG 136.6.2 NEPA Classification], the info about the three-year shelf life of the NEPA was clarified. In [[136.12 Figures, Glossary and Other Useful Links#136.12.3.2.1 Commonly Used Forms|EPG 136.12.3.2.1 Commonly Used Forms]], the Obligation Request Form was updated. Also, Fig. 136.3.17 Work by Local Forces Proposal was updated.

5/11/12: A useful PowerPoint tutorial, "How to Complete the RFQ and Get it Advertised", is now available in [http://epg.modot.org/index.php?title=136.4_Consultant_Selection_and_Consultant_Contract_Management#136.4.2.3_Step_2_-_Creating_an_RFQ_Document EPG 136.4.2.3].

5/10/12: Fig. 136.9.1 was updated with minor clarifications. Also, there were minor corrections to [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.1_Certification_Regarding_Anti-collusion EPG 136.10.6.1], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.2_Certification_Regarding_Use_of_Contract_Funds_for_Lobbying EPG 136.10.6.2], [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.3_Certification_Regarding_Debarment_and_Suspension EPG 136.10.6.3] and [http://epg.modot.org/index.php?title=136.10_Advertisement_for_Bid_and_Project_Award#136.10.6.4_Certifications_Regarding_Affirmative_Action_and_Equal_Opportunity EPG 136.10.6.4].

5/3/12: Updated [[media:136.9.3 2018.docx|Fig. 136.9.3, Federal Project Bid Proposal Boilerplate]].

4/30/12: [[media:136.9.1.xls|Fig. 136.9.1]] updated as an Excel file.

4/30/12: Two new figures (Figs. 136.11.14 and 136.11.15) and associated guidance were added to [http://epg.modot.org/index.php?title=136.3_Federal_Aid_Basics#136.3.7.3_Progress_Invoices EPG 136.3.7.3 Progress Invoices] and [http://epg.modot.org/index.php?title=136.11_Local_Public_Agency_Construction#136.11.13.3_Invoices EPG 136.11.13.3 Invoices].

4/30/12: Because the info required by Fig. 136.3.1 Programming Data was split between it and Fig. 136.6.4 LPA Request for Env'l Review, the guidance for programming projects was revised. Note changes in the table in [[136.3 Federal Aid Basics#136.3.7.1 Procedures|EPG 136.3.7.1]], new guidance in [[136.3 Federal Aid Basics#136.3.8 Programs|EPG 136.3.8 Programs]] and shortened guidance in [[136.3 Federal Aid Basics#136.3.8.1.3 Project Programming|EPG 136.3.8.1.3]], [[136.3 Federal Aid Basics#136.3.8.2.3 Project Programming|EPG 136.3.8.2.3]], [[136.3 Federal Aid Basics#136.3.8.3.3 Project Programming|EPG 136.3.8.3.3]], [[136.3 Federal Aid Basics#136.3.8.5.3.1 Roadway Type Projects|EPG 136.8.5.3.1]] and [[136.3 Federal Aid Basics#136.3.8.5.3.2 Non-Infrastructure Projects|EPG 136.3.8.5.3.2]].

4/27/12: The guidance on the need for an erosion control plan was clarified in the first paragraph of [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.8_Stormwater_and_Erosion_Control EPG 136.6.4.8 Stormwater and Erosion Control]. In the third paragraph of EPG 136.6.4.8, it was further clarified that the SWPPP does not need to be site-specific, but the erosion control plan does need to be site-specific.

4/24/12: Comments from the Corps of Engineers have clarified guidance in both [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.3_Section_404_Permits_for_Wetlands_and_Streams EPG 136.6.4.3 Section 404 Permits for Wetlands and Streams] and [http://epg.modot.org/index.php?title=136.6_Environmental_and_Cultural_Requirements#136.6.4.4_Channel_Modification EPG 136.6.4.4 Channel Modification].

4/24/12: Several "How To" PowerPoint tutorials were added to EPG 136 LPA Policy articles. View these new tutorials at the bottom of the large, gray "Figure" boxes at the top of [[136.6 Environmental and Cultural Requirements#PowerPoint Tutorials|EPG 136.6]], [[136.8 Local Public Agency Land Acquisition#PowerPoint Tutorials|EPG 136.8]] and [[136.11 Local Public Agency Construction#PowerPoint Tutorials|EPG 136.11]].

4/23/12: EPG 136 was generally re-written following thorough research. Please check the entire contents of any EPG 136 article you may be consulting so as not to miss any policy changes.

[[Category:136 Local Public Agency (LPA) Policy|136.13]]

LPA:136.6 Environmental and Cultural Requirements

2021-05-14T15:03:17Z

Bramar12: /* 136.6.4.2.3 De Minimis Determination */

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|<center>'''Figures'''</center>
|-
|[[media:136.6.1.docx|Fig. 136.6.1, Project Review Process flowchart]]
|-
|[[media:136.6.2.docx|Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones]]
|-
|[[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]]
|-
|[https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]]
|-
|[[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing Categorical Exclusion Determination]]
|-
|[[media:136.6.6.doc|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]]
|-
|[[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]]
|-
|[[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]
|-
|[[media:136.6.9.doc|Fig. 136.6.9, Content of a Section 4(f) Evaluation]]
|-
|[[media:136.6.10.doc|Fig. 136.6.10, Diagram of Typical Floodplain]]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11, LPA Floodplain Development Permit]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12, Engineering “No-Rise” Certificate]
|-
|[[media:136.6.13.doc|Fig. 136.6.13, Procedures for “No-Rise” Certification for Proposed Development]]
|-
|[[media:136.6.14.docx|Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way]]
|-
|[[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]]
|-
|[[media:136.6.16 2018.pdf|Fig. 136.6.16, LPA Project Checklist for Adverse Effects]]
|-
|[[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]]
|-
|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
|-
|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|-
! <center>'''Other Figures and Information for EPG 136.6'''</center>
|-
|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|[http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|[http://www.dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|[https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|[http://www.modot.org/business/lpa/cert_train.htm NEPA Training video] - scroll down to bottom left
|-
|[http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] - this Advisory Council on Historic Preservation's toolkit provides additional and supplemental info for the Section 106 process
|-
|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
|<div id="PowerPoint Tutorials"></div>
|-
! <center>'''"How To" PowerPoint Tutorials'''</center>
|-
|[[media:136.6 How to Complete the Application.ppt|How to Complete the Application for Section 106 Clearance]]
|-
|[[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=develop Project Development]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=environm Environment]
|}

=136.6.1 Introduction=

Meeting environmental and cultural resource requirements and getting the necessary approvals and permits for local public agency (LPA) projects can involve multiple steps and varying lengths of time. Not meeting requirements in a timely manner can delay or even halt your project. You must obtain National Environmental Policy Act (NEPA) approval from the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)] before 35% plan completion. Before you can begin right-of-way acquisition for the project, you need concurrence from the State Historic Preservation Office (SHPO) that [[127.2 Historic Preservation and Cultural Resources|Section 106 (cultural resources)]] has been addressed satisfactorily. Some resources with specific requirements in addition to NEPA include historic buildings, archaeological sites, historic bridges, historic sites and parklands, wetlands and waterbody crossings, endangered species and conversion of farmland. Information on these topics and others can be found in this article and in the [http://www.modot.org/business/lpa/cert_train.htm NEPA Training video].

'''Roles and Responsibilities:''' MoDOT’s role in the project review process is to advise the LPA of requirements that must be met, review any NEPA submittals for completeness before forwarding to FHWA, and ensure that all needed permits, approvals, or other supporting documentation are obtained. The LPA is expected to provide complete and accurate information about the project. Complying with the applicable laws and regulations is the LPA’s responsibility. The LPA interacts with MoDOT through the designated district contact. For the occasional project that is classified as an Environmental Assessment (EA) or Environmental Impact Statement (EIS) under NEPA, a MoDOT environmental staff member will be a liaison between the LPA and FHWA. The liaison participates in project team meetings, is responsible for all communication with FHWA concerning the project, and helps ensure satisfactory compliance with NEPA. A flowchart summarizes the environmental/historic preservation project review process in [[media:136.6.1.docx|Figure 136.6.1]]. The timeframes needed to achieve key environmental/cultural resources compliance milestones are shown below and in [[media:136.6.2.docx|Figure 136.6.2]] (landscape format to print for reference). [[media:136.6.3 Jan 18 2019.docx|Figure 136.6.3]] contains a helpful checklist to guide the LPA through this process.

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
!style="background:#BEBEBE" colspan="4"|Key Environmental/Cultural Resources Compliance Milestones
|-
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Obtain NEPA classification||Provide adequate project information with Request for Environmental Review||Provide classification|| 30 days
|-
|Complete NEPA documentation if required: 1. Programmatic CE (no documentation required) 2. Letter CE 3. CE2 4. EA 5. EIS ||Prepare and submit required documentation|| Review documentation, provide comments, and submit documentation (revised by LPA as needed) to FHWA || 1. Programmatic CE – 4 weeks 2. Letter CE – 6 weeks 3. CE2 – 10 weeks 4. EA – 18 months 5. EIS – 36 months
|-
|Comply with Section 106 (cultural resources)||Obtain SHPO's concurrence||Ensure Section 106 compliance||Generally, 10 weeks * Can take 6–12 months if SHPO finds adverse effect
|-
|Section 4 (f) 1. Historic bridge programmatic 2. Public land prog. or ''de minimis'' 3. Full draft and final evaluation ||1. Prepare MOA 2. Provide documentation 3. Provide documentation||1. Review MOA 2. Review & submit to FHWA 3. Review & submit to FHWW ||1. 6 months 2. 60 days 3. 12 months
|-
|Comply with Clean Water Act Sections 404 and 401||Obtain permits||Ensure compliance||Nationwide: 6–8 weeks Individual: 4–6 months
|-
|Comply with Endangered Species Act||Consult with MDC and obtain clearance letter||Review consultation|| 1–6 months
|-
|Floodplains||Contact local floodplain administrator for any needed permits||Ensure compliance|| 1–6 months
|-
|Comply with Clean Water Act Section 602||Obtain NPDES permit||Ensure Section 602 compliance|| 1–3 months
|-
|Comply with env. laws regarding use of borrow & spoil sites||Comply with applicable laws||Ensure compliance with applicable laws|| Varies according to law
|-
|Hazardous waste||Determine presence, contact DNR if hazardous materials are found||Ensure compliance|| 1 month
|-
|Comply with Farmland Protection Policy Act (FPPA)|| Obtain Farmland Rating||Ensure FPPA compliance|| 6 weeks
|-
|Environmental Justice, Title VI, ADA, etc.||Ensure compliance||Ensure compliance|| 1 month
|-
|Noise|| Complete noise study if necessary|| Ensure compliance|| 1–6 months
|-
|Comply with Clean Air Act||Ensure Clean Air Act compliance, model if necessary||Ensure Clean Air Act compliance||6–12 months if modeling required
|-
|Public Involvement|| Provide planned or completed public involvement|| Ensure compliance with [[:Category:129 Public Involvement|EPG 129 Public Involvement]]|| 1-8 weeks
|}

=136.6.2 National Environmental Policy Act (NEPA) Classification=

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] to the MoDOT district contact within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER initiates MoDOT environmental and historic preservation staff’s review of the project to determine the appropriate NEPA classification. The district contact will notify the LPA of the project’s classification as well as other environmental permits and clearances the LPA must obtain.

Since the environmental classification is based on the scope of the project and expected magnitude of impacts, providing all information requested on the form is vital to getting the NEPA classification as early as possible. Whenever the project scope or location changes or more than a year has passed since MoDOT’s environmental and historic preservation staff reviewed the RER, the LPA will submit to the MoDOT district contact a new RER that describes and shows any changes. Based on that information, the project will be reexamined. A completed and approved NEPA document has a limited shelf life of three years from the date on the NEPA document. If construction obligation has not occurred within three years of the date on the NEPA document/date, a new RER must be filled out and reviewed and a new NEPA document/date will be issued. After obtaining approval of a ROD, FONSI, or CE determination and before requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

The basic NEPA classifications are:

:* Categorical Exclusion (CE)—typically sufficient for projects that do not individually or cumulatively have a significant environmental effect. Most projects will be classified as CEs.

:* Environmental Assessment (EA)—required for projects in which the environmental impact is not clearly established. Projects such as a two-lane relocation or adding lanes to an existing highway corridor generally require an EA.

:* Environmental Impact Statement (EIS)—required for projects that may have significant adverse impacts or that are controversial. Projects such as a new controlled-access freeway, a highway project of four or more lanes on a new location, or new construction or extension of a separate roadway for buses or high occupancy vehicles not located within an existing highway facility typically require an EIS.

=136.6.3 Categorical Exclusion (CE) =

The majority of transportation projects in Missouri are classified as categorical exclusions (CEs) and are completed as a programmatic CE (PCE) or a CE2. Approximately 96% of LPA projects have been classified as programmatic CEs, with the remainder classified as CE2s and very rarely as an EA or EIS (see [[127.14 National Environmental Policy Act (NEPA) Classification and Documents#127.14.5 NEPA Glossary|EPG 127.14.5 NEPA Glossary]]).

An agreement with FHWA allows MoDOT to automatically classify specific types of projects that require no more than 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, as PCEs. PCEs do not require FHWA review. MoDOT and FHWA executed this [[media:136.6.3 programmatic agreement.pdf|programmatic agreement]] on October 15, 2018. The thresholds that cannot be exceeded are contained within the agreement. If a project exceeds one of the thresholds, a CE2 must be approved by FHWA.

For projects that require over 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, MoDOT will advise the LPA to complete a [http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot CE2 Form] describing the project, the impacts expected from the project, and mitigation to compensate for the project’s impacts. The Form requests information such as the federal project number, route, county, project termini and length, project description, current and future average daily traffic (ADT), right of way and easement needs, displacements/relocations, a location map, and any other associated attachments. [[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing a CE2 Form]], guides the LPA through the process. For FHWA to concur that the project is a CE2 instead of an EA or EIS, the CE2 document must clearly demonstrate that the project will not have significant impacts and therefore, is categorically excluded from the requirement to prepare an EIS or EA. MoDOT will notify the LPA of the CE2 approval, request for more information, or FHWA’s decision that an EA or EIS needs to be prepared.

=136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations=

The resource-specific information that follows is intended to aid the LPA in complying with federal and state environmental laws and regulations. Ultimately, the LPA is solely responsible for compliance with all applicable laws and regulations, regardless of the information, or lack thereof, included here. The LPA must ensure that all commitments specified in environmental documents are identified in plans and job specifications as appropriate. The LPA is also responsible for implementing all commitments and monitoring included in environmental documents.

==136.6.4.1 Section 106 (Cultural Resource) Compliance ==
{|style="padding: 0.3em; margin-left:10px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="310px" align="right"
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|'''Useful Section 106 Websites'''
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|[http://www.achp.gov/work106.html Advisory Council on Historic Preservation]
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|[http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office]
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|[http://www.environment.fhwa.dot.gov/histpres/index.asp Federal Highway Administration]
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|[http://www.modot.org/ehp/HistoricPreservation.htm MoDOT Historic Preservation Section]
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[[127.2 Historic Preservation and Cultural Resources|Section 106 of the National Historic Preservation Act (NHPA) of 1966]] requires the consideration of the potential impacts of federally funded or permitted projects to significant cultural resources. Cultural resources include archaeological sites, buildings, structures (e.g., bridges), objects or historic districts. The significance of a cultural resource is evaluated by applying a specific set of criteria that is set forth by the [http://www.nationalregisterofhistoricplaces.com/faq.html National Register of Historic Places]. Cultural resources that meet the criteria of eligibility for listing on the National Register are referred to as “historic properties.” Failure to comply with Section 106 requirements could jeopardize federal funding and permits for a project. Section 106 encourages, but does not mandate, the preservation of historic properties. The goal of Section 106 is to ensure that preservation values are factored into the planning process for all federally funded or permitted projects. Compliance with Section 106 requires three things:

:1. ''Identify historic properties.'' Determine project’s area of potential effects (APE), identify cultural resources within the APE, and evaluate historic significance of these cultural resources;

:2. ''Assess adverse effects.'' Assess if the project will have an adverse effect on historic properties; and

:3. ''Resolve adverse effects.'' Avoidance, minimization, and/or mitigation of any project adverse effects on historic properties.

[[image:136.6.4.1.jpg|center|750px]]

Additional information on the Section 106 process is available on the webpages of the [http://www.achp.gov/work106.html Advisory Council on Historic Preservation] and the [http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office].

[[media:136.6.6.doc|Fig. 136.6.6]] illustrates the steps that the LPAs should follow to comply with Section 106.

===136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations===

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER submittal initiates the Section 106 review.

MoDOT has hired a consultant to oversee the LPA Section 106 compliance. The basic process is:

:1. The LPA should submit their Request for Environmental Review (RER). The consultant will review the RER and determine if the job Section 106 compliance is covered by the Section 106 agreement document on Minor Highway Projects.

::A. If it is the consultant will state on the RER that the project has Section 106 clearance and list the Stipulation and the date the decision was made.

::B. If the project is not covered by the Minor Highway Projects agreement, the consultant will state on the RER that a Section 106 investigation and submittal to SHPO is required.

:2. If a Section 106 investigation is required, the LPA will then move to [[#136.6.4.1.2 Step 2, Cultural Resource Investigations|EPG 136.6.4.1.2 Step 2, Cultural Resource Investigations]].

::A. The consultant will review the LPA’s (or their consultants) Section 106 submittal before it is sent to SHPO.

::B. If the Section 106 finding is “no historic properties affected” or “no adverse effect to historic properties and the State Historic Preservation Office concurs with this finding the Section 106 process has been completed.

::C. If the finding is “adverse effect to a historic property,” the LPA will then need to negotiate and execute a Section 106 agreement document (e.g., Memorandum of Agreement or Programmatic Agreement).

:3. If a Section 106 agreement document is required, the LPA will then move to [[#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

::The consultant will also oversee the LPA’s (or their consultants) consultation and development of the Memorandum of Agreement.

[[image:136.6.4.1.1 Historic Bridge.jpg|center|750px|thumb|<center>'''The Historic Big Creek Bridge – an 8-panel, pin-connected Camelback through truss bridge</center>''']]

===136.6.4.1.2 Step 2, Cultural Resource Investigations===

'''If the SHPO requests a Section 106 survey the LPA will need to hire a qualified [http://www.dnr.mo.gov/shpo/consultants.htm cultural resource consultant] or staff member to conduct the survey and to submit a report of their findings to the SHPO.'''

'''Step 2a. The Cultural Resource Survey'''

:a. Cultural resource surveys typically are limited to the area of potential effects (APE) (i.e., For archaeology, this is the maximum footprint of the project consisting of proposed and existing right of way, and permanent and temporary easements) and any off-site areas, if known, (e.g., borrow, staging, wasting, etc.). For architectural resources, the APE may include the limits of the project plus a buffer around the project area so indirect effects of the project are considered (usually 50 ft in urban settings and 100 ft in rural settings).

:For archaeological resources, the APE is the maximum footprint of the project consisting of existing and new right-of-way, and temporary and permanent easements.

::1. An architectural survey consists of photographing buildings within the architectural APE and providing descriptions and historical information about those buildings constructed more than 50 years ago. In addition to buildings, features associated with a property such as gateposts, hitching posts, outbuildings, signage, etc. should be included in the photographic coverage. Clear photographs, which show the resource clearly, should be included in the survey report. Photographs taken out of car windows or where the resource is hidden behind vegetation are not acceptable.

::2. A Phase I archaeological survey is an intensive, systematic, investigation of the APE of the proposed project to identify any archaeological site that may be affected by the proposed project. If there is good surface visibility (e.g., a plowed field), archaeological sites may be identified by a pedestrian survey, which consists of archaeologists walking the area to examine what is exposed on the surface. If there is poor surface visibility (e.g., a pasture) the archaeologists use shovel or auger tests to look for artifacts. Shovel tests are small hand-dug holes about 12 inches wide and up to 24 inches deep, while auger tests are 8-inch diameter holes up to 6 feet deep. In most survey areas, shovel tests or auger tests will be excavated at 50 foot intervals. The excavated soil is examined for artifacts and other evidence of prehistoric or early historic archaeological sites.

::Phase II archaeological site testing will be needed if any potential National Register eligible sites are encountered in the APE that could be impacted by the proposed project. The Phase II is a limited archaeological excavation of a site to determine its significance and whether it meets National Register eligibility standards. The standard method for testing an archaeological site is the hand-excavation of test units. Test Units are usually 3 ft. x 3 ft. or 3 ft. x 6 ft. in size and are dug usually to a depth of 3 to 4 feet. These test units are excavated to search for intact artifact deposits and/or features (e.g., hearths, storage pits, hut basins, etc.) that would provide information about the people whose activities had created the site. The archaeological consultant will need to consult with SHPO and MoDOT on the proposed Phase II testing strategy before it is implemented. A Phase II investigation takes approximately 1-2 weeks per site.

:b. Reporting the results of the cultural resource survey should follow the SHPO [http://www.dnr.mo.gov/shpo/docs/MO_phase1_guide.pdf “Guidelines for Contract Cultural Resource Survey Reports”]. The standard method to submit the results is the [http://www.dnr.mo.gov/forms/780-1718.pdf SHPO Section 106 Memo]. Directions in completing this memo are provided on [http://www.dnr.mo.gov/shpo/sectionrev.htm SHPO’s website]. Additional [http://www.dnr.mo.gov/shpo/archisurvey.htm SHPO guidance on requirements for architectural surveys] is posted on the SHPO website, including [http://www.dnr.mo.gov/forms/780-2125-f.pdf the Architectural/Historic Inventory Form] that should be used for buildings that are believed to be eligible for listing on the National Register of Historic Places.

:c. The Section 106 submittal will be reviewed and commented on by SHPO. SHPO has by law 30 calendar days to respond.

::1. If no cultural resources were identified, the SHPO usually will respond “no historic resources affected.” The Section 106 process is complete and no further action is necessary.

::2. If cultural resources were identified, their eligibility for the National Register of Historic Places (National Register) must be determined.

::3. In some cases, additional field investigations and /or historical research may be required for the cultural resource professional to determine resource eligibility.

The SHPO comments only apply to the project as submitted. Any changes to the project may require a supplemental submittal to SHPO regarding these changes (e.g., project limits, significant modifications to the nature of the project, etc.). Any subsequent communication with SHPO should include the Project Number assigned by SHPO to the original submittal.

If human remains are encountered during any fieldwork, the LPA and consultants must comply with state burial laws ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194] – unmarked remains or [https://revisor.mo.gov/main/OneSection.aspx?section=214 RSMO 214] – cemeteries). This requires initially contacting local law enforcement. If the human remains are not part of a crime scene, jurisdiction of the remains and disturbance of them falls on either local courts (RSMO 214) or the SHPO (RSMO 194). Consultation with appropriate American Indian tribes should be required if the human remains are believed to be of Native Americans – either prehistoric or historic. The LPA must contact FHWA prior to any consultation with Indian tribes. FHWA, as the Federal agency, is legally responsible for the tribal consultation process. The LPA may only consult directly with an Indian Tribe if authorized by FHWA.

'''Step 2b. Determination of Eligibility'''

'''If cultural resources are present, the LPA, in consultation with SHPO and FHWA/MoDOT, determines whether a cultural resource meets the eligibility requirements of the National Register. A cultural resource professional may need to conduct additional investigations to evaluate the eligibility of some resources. The cultural resource professional will need to consult with the MoDOT Historic Preservation staff on the proposed testing plan for an archaeological site before implementing it.'''

Readily available information can often be used to determine the National Register eligibility of identified cultural resources. This information should consist of the results of the cultural resource survey, any subsequent investigations, or other available information such as pictures and available history of structures. If the adverse effects to the potentially National Register eligible cultural resource cannot be avoided by the project the National Register eligibility determination is included in the Section 106 submittal.

:a. The SHPO is requested to concur or disagree with the National Register eligibility of a cultural resource. The cultural resource professional should provide an assessment of resource eligibility.

:b. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is not eligible for the National Register, the Section 106 process is complete. No further action is necessary.

:c. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is eligible for the National Register, a determination of effect (Step 2c) is made next.

::1. If SHPO, LPA, and FHWA/MoDOT disagree on the eligibility of a resource, the LPA should request the FHWA to contact the Keeper of the National Register of Historic Places (Keeper) for a definitive opinion. If the FHWA decides that the Keeper needs to be consulted they will provide the LPA with a list of the required documentation. This process can be lengthy (up to six months), so it should be avoided if possible.

::2. If the Keeper finds that the resource is not eligible, the LPA no longer needs to consider the project’s effects to that specific resource.

'''Step 2c. Determination of Effect'''

'''If historically significant cultural resources are present, the LPA, FHWA/MoDOT, and SHPO will determine the effect of the project on each National Register eligible property (called “historic property”). '''

The effect of a project on a historic property should be determined through consultation among the LPA, SHPO, and FHWA/MoDOT, using the criteria of adverse effects found at 36CFR800.4(1) and the examples of adverse effects found at 36CFR800.4(2). There will be a determination of either “no historic properties affected,” “no adverse effect” or “adverse effect.” The LPA will provide its opinion regarding effect along with its evaluation of eligibility to the SHPO for their concurrence. If the SHPO concurs with the LPA, this finding will be transmitted to the FHWA. If there is a disagreement among the LPA and SHPO, FHWA and MoDOT may be brought into the discussions to help facilitate an agreement.

:a. No Adverse Effect – If the finding is that the project effect is not adverse upon the historic property(ies), the Section 106 process is complete.

:b. Adverse Effect – If the project effect is adverse to the historic property(ies) (i.e., adversely affecting the characteristics that make it eligible for listing on the National Register), the LPA will consult with the SHPO on avoidance or mitigation of the adverse effect. It may be possible to redesign portions of the project to avoid adverse impacts to the historic property. The LPA will explore avoidance options, continued use, or rehabilitation of the historic property (not necessary for most archaeological sites). In addition, the public (interested parties, holders of permits, owners of affected lands, and private individuals) may be allowed to review and comment on the project, and participate in the decision-making process.

If the SHPO concurs with the results of the Section 106 Survey submittal being “no historic properties affected” or “no adverse effect to a historic property,” Section 106 compliance is completed. The date of the SHPO letter would be used as the Section 106 compliance date. If the result of the survey is “adverse effect to a historic property” the LPA precedes with Steps 3 and 4.

If the project changes after receipt of the SHPO letter with a “no historic properties affected” or “no adverse effect to a historic property” concurrence, the project must be resubmitted to the SHPO with the changes to the project identified. '''A change in the scope of the project may change the effects of the project on historic properties.'''

In instances where a project has an adverse effect, prior to continuing to the next step, the Advisory Council on Historic Preservation (Council) must be notified of the adverse effect and be invited to participate in consultation for the development of a Memorandum of Agreement (MOA). The [[media:136.6.16 2018.pdf|LPA Project Checklist for Adverse Effects]] for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) summarizes the steps the LPA must complete and which agencies will be involved in reviewing information. The LPA should complete the e106 form following the Directions, except leave Section 4 blank (see [[media:136.6.15.docx|Fig. 136.6.15, the example e106 form]]). The form should be e-mailed, along with supporting documentation to MoDOT for review. Once the form meets MoDOT approval, it will be forwarded to FHWA to be submitted to the Council, which has two weeks to respond.

The Council will become involved in consultation if the project has:

:1. Substantial impacts on historic properties, meaning that nationally significant properties or unusual properties are present or there are a large number of properties being affected by the project, including multiple properties within a historic district;

:2. They may become involved if the project presents questions about Section 106 policy or how the Section 106 regulations are interpreted;

:3. The project has the potential for presenting procedural problems. Procedural problems could include substantial public controversy, disputes among the consulting parties, likely litigation, or requests for Council involvement by consulting parties; or

:4. The project presents issues of concern to Indian tribes.

If an adverse effect cannot be avoided for certain kinds of historic properties, FHWA may determine that a Section 4(f) evaluation must be completed. Cultural resources requiring Section 4(f) evaluation are typically architectural or bridge resources, or archaeological sites that warrant preservation in place (usually mortuary sites). [http://environment.fhwa.dot.gov/4f/index.asp Section 4(f) of the Department of Transportation Act of 1966] states that a transportation project requiring the use of publicly owned land of a public park, recreation area, wildlife and waterfowl refuge, or a historic site (i.e., a “historic property” as defined by Section 106) may be approved only if:

:1) There is no prudent and feasible alternative to using that land; and

:2) The project includes all possible planning to minimize harm to the park, recreation area, wildlife and waterfowl refuge, or historic site resulting from the use.

Section 4(f) is unique to Department of Transportation projects and is a process that can take up to 12 months. The LPA should make sure it works closely with MoDOT and FHWA if there is a possibility of a need for a Section 4(f) Evaluation. Information on the Section 4(f) Evaluation process is provided elsewhere in EPG 136, however if the project is a bridge replacement and the only Section 4(f) issue is the bridge, MoDOT Historic Preservation will complete the Programmatic Section 4(f) evaluation documentation for FHWA review, using information provided by the LPA.

[[image:136.6.4.1.3.jpg|center|750px|thumb|<center>'''Portal View of the Historic Big Creek Bridge</center>''']]

===136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement===

'''If historic properties will be adversely affected by the project, the LPA will coordinate with the MoDOT Historic Preservation staff, SHPO and FHWA in preparation of a Memorandum of Agreement (MOA). Section 106 is not complete until an MOA is executed and the stipulations are completed.'''

The steps involved in developing an MOA and providing the information necessary for a Programmatic Section 4(f) Evaluation (if the adverse effect is to a historic bridge) are also detailed in the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f).

If adverse effects to a historic property cannot be avoided, a MOA will be prepared through consultation with LPA, FHWA, MoDOT, the SHPO, and other appropriate consulting parties. The MOA will document the stipulations to be carried out to mitigate the adverse effect upon the historic property(ies), including the appropriate level of documentation for the resource. If the resource is a bridge, the ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effect'' (Bridge Documentation Standards) should be referenced including the level at which the bridge will be documented. It is a legally binding agreement document that is signed by the signatory parties (usually the FHWA, SHPO and the LPA). [[media:136.6.7 2017.docx|Fig. 136.6.7]] provides an example of a MoDOT bridge MOA and the [[media:136.6.15.docx|e106 form]]. In addition, the Council provides a “model MOA” for archaeological data recovery on its website.

'''If the adverse effect is to a Native American archaeological site, the FHWA must consult with the Indian tribes with a historical interest in the project area and provide them an opportunity to participate in the consultation process.'''

:a. The MOA process is started by the LPA’s preparation and submittal of a draft MOA and the e106 form updated to include consultation that may have occurred on the project since the Council notification occurred, and an Alternatives Analysis (for bridge projects). The documents are forwarded to MoDOT Historic Preservation for review and comment.

:b. The Alternatives Analysis must include the following information (for additional information on the alternatives that must be considered, consult the [https://www.environment.fhwa.dot.gov/4f/4fbridge.asp FHWA Programmatic Section 4(f) Web-page]):

::1. A description of the purpose and need for the project;
::2. A description of the current condition of the bridge;
::3. A discussion of the do nothing alternative
::4. A discussion of the rehabilitation option for the bridge;
::5. A discussion of an alternative that would save the bridge by realigning the road to avoid the bridge;
::6. A discussion of an alternative that would relocate the bridge to another location to save it (can include discussion of the advertising efforts and their results)
::7. Rough cost estimates for the alternatives, including construction and right of way.

:c. When the MOA is satisfactory, MoDOT will inform the LPA, SHPO and FHWA that it is satisfactory. If the Council has responded, the LPA can begin the process of signing the MOA. The LPA should prepare a copy of the MOA for each signatory.

:d. If the adverse effects are to a Native American archaeological site, FHWA will provide a copy of the draft MOA and accompanying information to Indian tribes with historical interest in the project area or attach religious and cultural significance to the site to provide them the opportunity to participate in the consultation process.

:e. The LPA will send the signed MOA to the SHPO, using text similar to the [[media:136.6.17.docx|sample letter]] and copy MoDOT and FHWA on the transmittal letter. The SHPO will sign the MOA and forward it to the FHWA for execution, copying MoDOT and the LPA on the transmittal letter. The MOA is considered to be executed upon FHWA signature, who is the last party to sign the document (general signatory order is LPA, any other invited signatories, SHPO and then FHWA).

:f. Once the MOA is executed, MoDOT will prepare the Programmatic Section 4(f) evaluation for bridge projects and submit it to FHWA (see the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) for further details of how Section 4(f) fits into the Section 106 process).

If Steps 3 and 4 are required, the date the MOA is executed can be used as the Section 106 compliance date when requesting authorization to proceed from MoDOT and FHWA.

===136.6.4.1.4 Step 4, Mitigation of Adverse Effect===

'''The LPA will implement and fulfill the stipulations of the MOA. Ultimately, the SHPO must concur that the stipulations of the MOA have been satisfied. '''

Following the execution of the MOA, the LPA will implement stipulations of the MOA to mitigate the adverse effects upon the historic property(ies). The following mitigation measures have been used on various projects:

'''Bridges and Architectural Resources'''

The LPA and FHWA consult with the SHPO to determine the level and kind of documentation required for the historic property during the development of the MOA: Historic American Engineering Record (HAER) documentation, Historic American Building Survey (HABS) standards, or state-level documentation, as identified in the [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effects (Bridge Documentation Standards)'']. For most of these historic properties the state-level documentation is selected as the preferred method for recordation.

Bridges are advertised (in compliance with MAP-21) for availability and offered to interested parties for reuse in place or at an alternate location, but will be demolished if no one expresses a reasonable interest. The bridge should be advertised on MoDOT’s [http://www.modot.org/freebridges/ Free Bridges webpage] for a minimum of 60 days, which can be done in coordination with MoDOT Historic Preservation staff, as well as direct marketed to local governments, historical or preservation societies and trail groups in the area. The SHPO should be consulted regarding the agencies the bridge will be direct marketed to (this can be done as part of the MOA consultation). The transfer of ownership or demolition of the bridge occurs after the archival photographs, or the selection of photographs, has been accepted by the SHPO as adequate for the resource.

The specific HABS/HAER guidelines can be found at the [http://www.nps.gov/history/hdp/standards/guidelines.htm National Park Service’s Heritage Documentation Programs website], but the basic documentation usually includes:

::1. Copies of original plans or drawings. If copies of the original plans are not available, measured drawings may be produced at a precise scale from actual dimensions recorded in the field. Drawings may be produced either by hand or with computer-aided drafting.

::2. Large-format photographs are produced as contact prints from 4x5 and 5x7 black-and-white negatives and color transparencies. The formats allow maximum enlargement with minimal loss of detail and clarity, and the black-and-white processing allows for archival stability.

::3. Written histories place the site or structure within the appropriate context, addressing both the historical and the architectural or engineering aspects of its significance.

Bridges should be documented to the Bridge Documentation Standard designated in the MOA. Guidance for researching, describing and photographing a historic bridge can be found in [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]].

:If the SHPO recommends that the historic property be documented to the state level of documentation, the following information should be provided:

::1. 8 in. X 10 in. high-resolution black-and-white digital images (>600 dpi) to fully document overall views and details of the historic property. Photographs should be taken and processed according to [http://www.nps.gov/nr/publications/bulletins/photopolicy/index.htm standards for photographs] accompanying National Register documentation, including the appropriate considerations for paper and ink. It is a good idea to identify the paper and ink used, if possible. Digital, archival standard, compact discs with all views will be provided.

::2. A historic narrative and technical descriptions for the historic property.

::3. Plans or drawings for the historic property; specifically, floor plans for the historic building if it is architecturally significant and/or a copy of the original engineering construction plans for the historic bridge.

::4. The final documentation shall be provided to the SHPO along with archival digital discs containing the TIFF images and report PDF. Additional copies shall be provided to appropriate local historical groups, and retained by the LPA. Bound copies and/or CDs of the final documentation also will be available to others upon request.

{| style="margin: 1em auto 1em auto"
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|[[image:136.6.4.1.4 depot.jpg|400px|thumb|<center>'''Historic Marthasville Depot'''</center>]] ||[[image:136.6.4.1.4 restored depot.jpg|400px|thumb|<center>'''Restored Historic Marthasville Depot'''</center>]]
|}

The guidelines for [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf State Level Bridge Documentation Standards] are available. The general standards are described below. For all state level documentation photographs taken to NRHP standards are required.

:1. Level I documentation is for major rivers and their tributaries and includes in depth documentation of the history of the bridge, including describing its planning process, how it influenced social history, commerce, and other broad patterns of history. 8X10 inch photographs, bridge plans, and a bridge description are required.

:2. Level II documentation is a moderate level of documentation for small rivers and major creeks, with no significant association with historical events. It is anticipated that most bridges will be documented at this level. Historical documentation should document the engineering and transportation significance of the bridge including the planning for the bridge. 8X10 inch photograph, bridge plans and a brief description are required.

:3. Level III documentation consists of a well-documented inventory form with citations, and will be used for bridges over small streams away from populated areas, lettered routes in rural areas, and for bridges that may contribute to a historic district but not be individually eligible. The documentation includes 8X10 inch photographs, bridge plans and a bridge description.

:4. Level IV documentation is for bridges over small streams, creeks, highways or railroad crossings, that are not individually eligible but contribute to a larger historic property, and which have a low level of integrity; it is anticipated that few bridges will qualify for this level of documentation. This documentation consists of a documented inventory form, bridge plans and 5X7 inch photographs.

'''Archaeological Sites'''

If the adverse impacts to a National Register eligible archaeological site cannot be avoided (e.g., changes in roadway alignment, fencing, and burial under roadway fill) the usual mitigation measure is data recovery (i.e. site excavation). Excavation activities are typically limited to within the project limits. The guidance outlined in the Council’s publication, [http://www.achp.gov/archguide.html ''Recommended Approach for Consultation on the Recovery of Significant Information from Archaeological Sites''], should be followed in developing an archaeological data recovery plan. If a site is excavated, a qualified archaeologist must conduct the field investigations, analyze the remains, and prepare a Phase III data recovery report. Artifacts from excavations are the property of the LPA and must be curated at an archaeological curation facility. If human remains are encountered during the excavation, SHPO must be contacted and the state burial law ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194]) will need to be followed. Notification of the human remains should also be provided to FHWA and may need to be provided to consulting Indian tribes.

In addition to the documentation materials for the SHPO and FHWA, and the National Park Service's Heritage Documentation Program for HAER and HABS, additional copies may be needed for distribution to local repositories (historical society or local library) and interested parties.

If Steps 3 and 4 are required, then the date that FHWA signed the MOA is used as the Section 106 compliance date.

==136.6.4.2 Section 4(f) of the U.S. Department of Transportation Act of 1966 and Section 6(f) of the Land and Water Conservation Fund Act (LWCFA) Properties==

Section 4(f) of the U.S. Department of Transportation Act of 1966 requires that special consideration be given to publicly owned lands, or those held under a long-term lease, that are intended for use as public parks, recreation areas, or wildlife and waterfowl refuges as well as to publicly and privately owned historic sites listed or eligible for listing on the National Register of Historic Places. Codified at 49 U.S.C. 303, Section 4(f) applies to projects that receive funding from or require approval by a Department of Transportation (DOT) agency such as [http://www.fhwa.dot.gov/ FHWA].

It is the LPA’s responsibility to establish whether the project will require the use of or impact any Section 4(f) resources. The LPA will evaluate possible use of Section 4(f) resources early in the development of a project, when various alternatives for the proposed project are being considered. Ultimately, FHWA makes all decisions regarding Section 4(f) compliance for highway projects: whether Section 4(f) applies to a property, whether a use will occur, whether a de minimis impact determination (discussed below) is made, assessment of each alternative’s impacts to Section 4(f) properties, and (after consulting with the appropriate officials who have jurisdiction) whether the law allows selection of a particular alternative.

Before FHWA approves a project that uses Section 4(f) property, either the use must be determined to be de minimis or a Section 4(f) Evaluation must be completed. If the Section 4(f) Evaluation identifies a feasible and prudent alternative that completely avoids Section 4(f) properties, that alternative must be selected. If there is no feasible and prudent alternative that avoids all Section 4(f) properties, FHWA has some discretion in selecting the alternative that causes the least overall harm. FHWA may approve the use of land (permanent or temporary) from a Section 4(f) resource '''only if''':

:1. There is no feasible and prudent avoidance alternative to the use of land from the property and

:2. The action includes all possible planning to minimize harm to the property resulting from such use.

===136.6.4.2.1 Section 4(f) for Historic Properties===

To determine the applicability of Section 4(f) to historic sites, the LPA will consult with the FHWA (through the MoDOT district and MoDOT Historic Preservation staff), SHPO, and appropriate local officials to identify all properties listed on or eligible for the NRHP. The Section 4(f) requirements apply only to NRHP-listed or eligible properties that will be adversely affected, including archaeological sites chiefly significant for preservation in place, not data recovery.

===136.6.4.2.2 Section 4(f) for Public Lands===

If the federal, state, or local officials having jurisdiction over a park, recreation area, or refuge determine that the entire site is not significant, consideration under Section 4(f) is not required. The Section 4(f) land is presumed significant without such a determination and FHWA will decide whether Section 4(f) applies. The LPA must complete the Local Public Agency Section 4(f) compliance worksheet (for parks/refuges only) found in [[media:136.6.8 2013.doc|Fig. 136.6.8]].

For federal or other public land holdings (e.g., state forests) that are managed for multiple uses under statutes permitting such management, Section 4(f) applies only to those portions of such lands that function for or are designated in the plans of the administering agency as being for significant park, recreation, or wildlife and waterfowl refuge purposes. The officials having jurisdiction over the lands determine which lands so function or are so designated, and the significance of those lands. FHWA reviews this determination to assure it is reasonable. The determination of significance applies to the entire area used for such park, recreation, or wildlife and waterfowl refuge purposes.

===136.6.4.2.3 ''De Minimis'' Determination===

A ''de minimis'' finding means that a transportation use of a Section 4(f) property will cause minimal impact to the resource after considering impact avoidance, minimization, and mitigation or enhancement measures. If FHWA determines that the use of Section 4(f) land will have no adverse effect on the protected resource and obtains written agreement to such determination from the responsible official(s) with jurisdiction over the resource, an analysis of avoidance alternatives is not required and Section 4(f) is complete. Although a ''de minimis'' impact determination does not require evaluating whether avoidance alternatives are feasible and prudent, FHWA does consider any impact avoidance, minimization, and mitigation or enhancement measures that are included in the project to address the impacts and adverse effects on the Section 4(f) resource. The purpose of taking such measures into account is to encourage incorporating Section 4(f) protective measures as part of the project. ''De minimis'' impact findings are expressly conditioned upon implementation of any measures that were used to reduce the impact to a ''de minimis'' level. The LPA is responsible for ensuring such measures are implemented.

The ''de minimis'' impact criteria for historic sites are different from those for parks, recreation areas, and wildlife and waterfowl refuges. ''De minimis'' impacts on historic sites are defined as either a “no adverse effect” determination or “no historic properties affected” in compliance with Section 106 of the NHPA. ''De minimis'' impacts relative to publicly owned parks, recreation areas, and wildlife and waterfowl refuges are those that do not adversely affect the activities, features, or attributes of the resource.

In making a ''de minimis'' impact finding, FHWA must consider the facts supporting a ''de minimis'' impact determination, the record of coordination that precedes the'' de minimis'' finding, and the concurrence of the official(s) with jurisdiction. FHWA has the ultimate responsibility of ensuring that ''de minimis'' impact findings and required concurrences are reasonable. If FHWA makes a ''de minimis'' determination, the MoDOT district contact will notify the LPA, who will need to assemble the documentation required to support the finding. [http://www.fhwa.dot.gov/hep/qasdeminimus.htm Documentation requirements] are available. The public must also be afforded an opportunity to review and comment on the effects of the project on the protected activities, features, or attributes of the Section 4(f) property see [[:Category:129 Public Involvement#129.8 Section 4(f) Lands|EPG 129.8 Section 4(f) Lands]]”).

===136.6.4.2.4 Programmatic Section 4(f) ===

FHWA has approved five nationwide programmatic Section 4(f) evaluations. One covers federal-aid highway projects that use minor amounts of land from publicly owned public parks, recreation areas, or wildlife and waterfowl refuges. A second covers highway projects that use minor amounts of land from historic resources either listed on or eligible for the National Register of Historic Places (NRHP). The third programmatic Section 4(f) covers the use of historic bridges. The fourth is for independent bikeway or walkway construction that requires the use of recreation areas or parkland. The fifth is the net benefit programmatic Section 4(f) evaluation for projects that will use land from a Section 4(f) park, recreation area, wildlife or waterfowl refuge, or historic property and will result, in the view of FHWA and the official(s) with jurisdiction over the Section 4(f) property, in a net benefit to the 4(f) property.

The programmatic Section 4(f) documentation must demonstrate that the project meets applicability criteria for a programmatic evaluation, that avoidance alternatives have been evaluated, that no feasible and prudent alternatives exist, and that appropriate mitigation measures have been included. It must also include correspondence demonstrating that the official(s) with jurisdiction over the Section 4(f) resource agrees with the assessment of impacts and with the proposed mitigation measures. The documentation should be self-contained and self-explanatory since it will be available to the public upon request. With the exception of the programmatic Section 4(f) for historic bridges, a programmatic 4(f) evaluation cannot be used on projects requiring preparation of an EIS.

Using the nationwide programmatic evaluations can streamline the Section 4 (f) process for qualifying projects by eliminating some of the project-by-project internal review and interagency coordination. The [http://www.environment.fhwa.dot.gov/4f/4fnationwideevals.asp applicability criteria for the programmatic Section 4(f) evaluations] are available. For projects meeting the criteria, the programmatic Section 4(f) evaluation satisfies the requirements of Section 4(f) and no individual Section 4(f) evaluations need be prepared. The FHWA division office is responsible for reviewing each individual project to determine whether it meets the criteria and procedures of the programmatic Section 4(f).

===136.6.4.2.5 Section 4(f) Evaluation Process===

When adequate support exists for a Section 4(f) determination and the use of the property does not qualify for a de minimis determination or one of the nationwide programmatic Section 4(f) evaluations, the LPA will complete a Section 4(f) Evaluation. The evaluation must specifically explain why the alternatives to avoid the Section 4(f) property are not feasible and prudent and describe all measures that will be taken to minimize harm to the Section 4(f) property. Supporting information should demonstrate that there are unique problems or unusual factors involved in the use of alternatives that avoid the properties or that the cost, social, economic, environmental impacts, or community disruption resulting from such alternatives reach extraordinary magnitudes.

FHWA will review the final Section 4(f) evaluation for legal sufficiency before issuing an approval. LPAs will not proceed with any project requiring the use of Section 4(f) property and determined to be classified as a CE until notified by FHWA of Section 4(f) approval. For projects classified as EA or EIS, Section 4(f) approval is documented on a separate signature page concurrently with FHWA’s approval of the Finding of No Significant Impact (FONSI) or the final EIS. For EIS projects, the LPA should briefly summarize the Section 4(f) impacts and mitigation measures in the Record of Decision (ROD).

Circulation of a separate Section 4(f) evaluation is required when:

1. A proposed modification to the alignment or design after approval of the CE, EA, FONSI, draft EIS, final EIS, or ROD would require the use of Section 4(f) property;

2. FHWA determines that Section 4(f) applies to a property after approving the CE, EA, FONSI, draft EIS, final EIS, or ROD; or

3. A proposed modification to the alignment, design, or measures to minimize harm after the original Section 4(f) approval would result in a substantial increase in the amount of Section 4(f) land use, a substantial increase in the adverse impacts to Section 4(f) land, or a substantial reduction in mitigation measures.

If FHWA determines that Section 4(f) is applicable after approval of the CE, EA, FONSI, final EIS, or ROD, the decision to prepare and circulate a Section 4(f) evaluation will not necessarily require the preparation of a new or supplementary environmental document. Where a separate circulated Section 4(f) evaluation is prepared, such evaluation does not necessarily:

1. Prevent the issuance of new approvals,

2. Require the withdrawal of previous approvals, or

3. Require the suspension of project activities for any activity not affected by the Section 4(f) evaluation.

Detailed information on preparing a Section 4(f) Evaluation is provided in [[media:136.6.9.doc|Fig. 136.6.9]].

===136.6.4.2.6 Section 6(f) of the Land and Water Conservation Fund (LWCF) Act and Similar Grant Programs===

The Land and Water Conservation Fund (LWCF) Act provides funds for the acquisition and development of public outdoor recreation facilities. These could include community, county, and state parks, trails, fairgrounds, conservation areas, boat ramps, shooting ranges, etc. Section 6(f) of the LWCF Act places restrictions on public recreation facilities funded with LWCF monies— LWCF-assisted facilities must be maintained for outdoor recreation in perpetuity. Therefore, use of such property for a transportation project will require mitigation that includes replacement land of at least equal value and recreational utility. Section 6(f) documents are lengthy, frequently taking one to two years to process, and also require a signed Section 4(f) document to be completed.

Section 4(f) ''de minimis'' impact findings do not satisfy the requirements of Section 6(f) of the LWCF Act or other U.S. Department of Interior (DOI) grants-in-aid programs. Projects that propose the use of land from a property or site purchased or improved with funds under the LWCF Act, the Federal Aid in Sport Fish Restoration Act (Dingell-Johnson Act), the Federal Aid in Wildlife Restoration Act (Pittman-Robertson Act), or other similar law, or lands otherwise encumbered with a federal interest will require the LPA to coordinate with the appropriate federal agency regarding the agency's position on the land conversion or transfer. Other federal requirements that may apply to the Section 4(f) land should be determined through consultation with the officials with jurisdiction or appropriate DOI or other federal official. These federal agencies may have regulatory or other requirements for converting land to a different use. These requirements are independent of a ''de minimis'' impact finding and must be satisfied.

The Urban Park and Recreation Recovery (UPARR) program has provided funds toward the renovation and rehabilitation of numerous urban parks and recreation facilities. Although the UPARR funds may have been used in only a portion of a site or facility or were only a small percentage of the funds needed to renovate or rehabilitate a property, no property improved or developed with UPARR assistance can be converted to other than public recreation uses without the advance approval of the National Park Service. To be approved, a formal request for the conversion must be made by the grant recipient (urban city or county). The request must document that all alternatives to the conversion have been evaluated and rejected on a sound basis, required replacement land being offered as a substitute is of reasonably equivalent location and recreational usefulness, and the property for substitution meets the eligibility requirements for UPARR assistance.

Conversions of land funded by any of the aforementioned grant programs are tightly restricted by terms of the grant agreement and generally require lengthy coordination to meet the requirements for conversion.

==136.6.4.3 Section 404 Permits for Wetlands and Streams==

Projects that involve stream crossing(s) and/or impacts to wetlands under the jurisdiction of the U.S. Army Corps of Engineers (COE) require a Section 404 Permit or written confirmation that impacts will not trigger submittal of a Section 404 permit application. A Section 404 permit may be required for fill in any water body (waters of the U.S.)—lakes, ponds, streams, rivers, and wetlands. The COE will make a final determination as to the extent of its jurisdiction and the appropriate permit(s) for all regulated activities. If the proposed action impacts a wetland, a determination must be made that there is no practicable alternative to the wetland impact or floodplain encroachment.

The following information is required to satisfy NEPA reporting requirements as they pertain to impacts related to Section 404:

:1. A description of impacts to all streams, wetlands, and other water bodies.
:2. All coordination efforts with regulatory and resource agencies to avoid, minimize, and mitigate for impacts.
:3. Impacts of alternatives to the proposed action.
:4. Commitments and other mitigation measures for the project.

Stream and/or wetland impacts exceeding 0.5 acre or channelization beyond the minimum necessary to construct or protect the linear transportation project may require an individual permit. If the COE issues an individual Section 404 permit for project activities, the LPA must obtain an individual Section 401 Water Quality Certification from the Department of Natural Resources (DNR). For a nationwide permit (NWP), the LPA is obligated to follow the conditions specific to the appropriate NWP within DNR’s conditional 401 certifications. Most NWPs will not require an individual request for DNR’s Section 401 Water Quality Certification, because the agency has granted conditional certification for the majority of commonly used NWPs. The LPA must include the appropriate 401 certification conditions for their respective NWP(s) in the construction contract (see Item no. 3, below, for link to conditions).

The LPA should send duplicate permit applications concurrently to the COE and DNR for individual Section 404 permits/401 certifications. The COE application must be accompanied by copies of applicable permits, concurrence/clearance letters, or correspondence from resource agencies (particularly U.S. Fish & Wildlife Service for federally listed threatened or endangered species concerns under Section 7 Endangered Species Act (ESA) and the Missouri Department of Natural Resources’ State Historic Preservation Office (SHPO) for Section 106 compliance) verifying any regulatory requirements for the project. '''Section 404 permit issuance is dependent upon demonstrating compliance with other agencies’ regulatory requirements.''' This applies to both individual permits and NWPs requiring pre-construction notification. Therefore, Section 7 ESA consultation with the USFWS and Section 106 consultation with the SHPO must be complete before the COE will issue a permit or verify NWP coverage (please see EPG 136.6.4.1 and EPG 136.6.4.5 for detailed information on MoDOT’s role in ensuring ESA and Section 106 compliance on behalf of FHWA). Once the COE is ready to issue the individual permit, it will request 401 certification issuance from DNR. The LPA must include in the construction contract both the 404 and 401 permits and the conditions covered therein. A [https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/Obtain-a-Permit/ 404 permit application form] is available.
<div id="On linear transportation projects"></div>
On linear transportation projects where permanent fills impacting waters of the U.S. (not including wetlands) do not exceed 0.1 acre, there is no legal obligation to submit an application to the COE, unless one of the pre-construction notification requirements applies (see NWP descriptions and notification requirements, pages 1983-1998 of the [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Federal Register]). If a project meets the “no pre-construction notification” condition, the LPA must provide a written statement to MoDOT verifying that permanent project impacts will not exceed 0.1 acre and upload that determination to the RER as documentation of such. If either temporary or permanent impacts to wetlands will result from project construction, then a permit submittal is required.

For impacts that exceed the nationwide permit pre-construction notification thresholds, the LPA must obtain a permit from the COE and provide it to MoDOT. In either the no pre-construction notification or the permit application submittal scenario, if NWP(s) apply, then the LPA is required to abide by all of the following conditions and include them in all contract proposals to validate the NWP(s):

1. The 32 Nationwide Permit General Conditions. The [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf 2017 Nationwide Permit Conditions] define the general conditions on pages 1998-2004 (under ''C. Nationwide Permit General Conditions'').

2. The Regional Special Conditions for NWPs. The Nationwide Permit (NWP) [http://www.mvs.usace.army.mil/Portals/54/docs/regulatory/permits/2017NWP_MORegCon.pdf Regional Conditions] are available.

3. The State of Missouri Section 401 Water Quality Certification General & Specific Conditions. The [https://dnr.mo.gov/pubs/pub2815.htm State of Missouri 401 Water Quality Certification] conditions for Nationwide Permits are available.

==136.6.4.4 Channel Modification==

Channel changes alter the conditions of the natural waterway and may increase velocity of the flowing water, sometimes enough to damage the highway embankment near the stream or cause excessive scour around footings of structures. Because channel modifications may result in such outcomes, alterations should be avoided to the fullest extent practical. Where channel alterations are unavoidable, the environmental, hydraulic, legal, and geomorphic aspects involved must be evaluated. The effect on peak flow downstream and the affected flow area should be determined. Relative to Section 404 permitting, any channelization should be kept to an absolute minimum and should only be undertaken to facilitate or protect a construction project. The LPA must include justification for any channel changes in the Section 404 permit application.

1. The new channel should duplicate the existing stream and floodplain characteristics as nearly as possible, including stream width, depth, slope, flow regime, sinuosity, bank cover, side slopes, and flow and velocity distribution.

2. Channel modification may be constructed if the average channel velocity would not be increased beyond the scour velocity of the predominant soil type at the project site.

3. The COE will require individual permit authorization for projects with channel modification beyond the minimum needed to construct or protect the linear transportation project. Such modifications must be in the immediate vicinity of the project and the LPA will be required to do stream mitigation to compensate for the channel loss. This can drastically add to the cost of a project; it may require a monetary contribution to an approved stream mitigation bank/in lieu fee program or the acquisition/restoration and/or, in very limited circumstances, protection of a previously impacted stream resource.

==136.6.4.5 Threatened and Endangered Species and Migratory Birds==
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|'''Threatened and Endangered Species Program Guidance Videos'''
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|[https://youtu.be/Kg3bqv3meJk Chap. 1, Overview and Background Information]
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|[https://youtu.be/jGbwlNbP5-k Chap. 2, Common Field Assessments: Bats and Birds]
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|[https://youtu.be/ZRtRSpUHNTc MDC Tutorial: Natural Heritage Review]
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|'''Threatened and Endangered Species Assessments'''
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|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
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|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
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Threatened and endangered (T&E) species considerations for FHWA funded projects include potential impacts to rare plants, animals, critical habitat, and natural communities (e.g., caves, prairies, karst). FHWA must document compliance with federal and state laws governing potential impacts to listed species. Project sponsors receiving federal aid are required to thoroughly investigate any impacts their projects might have on federally listed T&E species and any federally designated critical habitats.

The state of Missouri also tracks the status of over 1,100 plant and animal species that are considered rare in the state. Of these, 70 are listed as state endangered (current as of the 2019 Missouri Species and Communities of Conservation Concern publication). The state Endangered Species Law and the Missouri Wildlife Code protect state listed species. All FHWA funded projects in Missouri must also address potential impacts to state listed species.

===136.6.4.5.1 Laws and Regulations===

* The [http://www.fws.gov/endangered/laws-policies/index.html Endangered Species Act of 1973] (ESA) requires FHWA to consult with the U.S. Fish and Wildlife Service (FWS) regarding their projects and measures that can be implemented to minimize or eliminate project impacts to federally protected species and critical habitats. FHWA has designated MoDOT as the only non-federal agency that can conduct ESA Section 7 consultation on their behalf. Project sponsors must provide MoDOT with all the necessary information to document effect determinations for all federally protected species that could occur in the project area. If necessary, MoDOT will complete Section 7 consultation directly with FWS for all projects which May Affect (positively or negatively) federally listed species.

* The National Environmental Policy Act ([https://www.environment.fhwa.dot.gov/projdev/index.asp NEPA]) of 1969 (as amended) requires consideration of the physical environment for any project that uses federal funding or requires federal permits.

* The Missouri Revised Statute, Title XXXVIII, Chapter 569 (formerly CH 578, Missouri Cave Resources Act), defines prohibited actions for caves regarding trespass, vandalism, contamination, and destruction.

* The Missouri Revised Statute, Title XVI, Chapter 252, which defines the Missouri Endangered Species Law, and the Missouri Code of State Regulations, Title 3, Division 10, Chapter 4 (Wildlife Code: General Provisions) extend special protections to species that are listed as endangered in the state. The Missouri Department of Conservation (MDC) administers the Wildlife Code which pertains to permissible and prohibited actions for Missouri fish, wildlife, and plants. MDC also tracks locations of federally protected and state endangered species and species and communities of conservation concern in Missouri.

===136.6.4.5.2 Process===

The ESA requires federal agencies to evaluate every project and determine whether it could have a negative impact on any federally listed T&E species or their critical habitat. Sponsors must provide this evaluation to MoDOT for their federally funded projects and give sufficient data to justify their impact assessment for each species that could occur in the project area. T&E information should be made available to MoDOT Design Environmental Section at least 6 months ahead of Plan Submittal and Estimates (PS&E) date. Please refer to the [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]] for examples of how to assess species impacts from your federally funded project.
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|'''Additional Info'''
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|[[media:136.6.4.5.2.pdf|FHWA Feb 2015 non-fed designation letter]]
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Under the ESA, no action can be taken that will jeopardize the continued existence of any federally listed threatened or endangered species or result in the destruction or adverse modification of critical habitat for such species. If an action May Affect a federally listed species or critical habitat, FHWA and MoDOT must consult with the FWS to determine how to eliminate or minimize those impacts.

====136.6.4.5.2.1 Sponsor Responsibilities====
The sponsor must submit via the Request for Environmental Review (RER) database the completed T&E assessment package in timely manner to allow a reasonable amount of time to obtain clearance for T&E requirements and consultation, which in some case could take up to 6-8 months. Please refer to [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]], to find the appropriate information to be submitted. NOTE: Threatened and Endangered Species clearance is now required by Missouri FHWA prior receiving NEPA classification approval. (See [[LPA:136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]).

[[image:127.7.2.jpg|center|800px|thumb|<center>'''Missouri is home to 14 species of bats. Three of these species are federally protected and call Missouri caves and forests home. Occasionally, they also call our infrastructure “home”, at least temporarily. Bats can form colonies on or in bridges or use them as temporary day or night roosts, sleeping during the day, or stopping over at bridges to rest at night while feeding. Only one of these photos shows bats in a “natural” habitat; the top left photo is of Indiana bats clustering in a cave, which would be during winter hibernation. The rest are all photos of bats, even federally protected species, taking advantage of the cracks and crevices in our bridge structures. Take care to check bridges for signs of bat use prior to bridge rehabilitation or replacement projects. If you do ever see bats utilizing bridges, please do not disturb them and report the occurrence to the Environmental Staff at MoDOT. </center>''']]

It is up to the sponsor to produce a written evaluation of their project's impacts on each listed species. The sponsor must demonstrate a basic understanding of the habitat requirements for each species from the FWS official project species list and assess if the same habitat exists in the project area. MoDOT has provided example habitat descriptions for the sponsor to use in evaluating project impacts ([[media:Fig. 136.6.19.pdf|Fig 136.6.19]]). If there is suitable habitat in the project limits, then the project May Affect listed species. The sponsor or their consultant should submit the full project limits, easements, right-of-way, utilities, staging, storage, temporary crossing, and access and ground disturbance information along with aerial photos, plans (if available) and diagrams of the full project impacts.

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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.2.1.jpg|center|720px]]
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The sponsor may be asked to provide additional detailed information about the project which may include contracting for additional species and habitat surveys. The sponsor and/or the consultant may need to work with MoDOT environmental staff to determine measures that could be implemented to minimize the project’s impacts on T&E species. It is important that the sponsor, and not just the consultant, be involved in this process to ensure that suggested changes to the project are feasible and will be implemented. Any measures to minimize or eliminate impacts to T&E species must become contract commitments (i.e., job special provisions, design modifications, plan notes, etc.).

====136.6.4.5.2.2 Environmental Section Responsibilities====
Upon receiving a completed T&E submittal from the LPA sponsor or their consultant (refer to steps in the [[media:Fig. 136.6.18.pdf|T&E Checklist]]), MoDOT environmental staff will review the project details and impact evaluations from the sponsor and provide a written determination of effect for all listed species. This documentation may be in agreement with or in addition to the sponsor’s evaluation. Official effect determinations must be documented in the permanent NEPA record. MoDOT environmental staff will also specify what actions need to occur to address any environmental issues and who needs to perform those actions (the sponsor or MoDOT). MoDOT will handle all coordination with the FWS to obtain any necessary clearances.

If the sponsor determines and MoDOT agrees that there will be No Effect on listed species or their suitable habitat, then the ESA requires no further coordination at that time. In the RER, MoDOT will document that the project is clear of any T&E species constraints. If any measures or modifications are necessary to achieve a No Effect determination, these will become commitments during the NEPA decision making process and require follow-through for compliance.

If it is determined that a federally listed T&E species, suitable habitat, critical habitat, or other federally protected resource is present or is likely to occur within the project limits and the action may affect a listed species or federally designated critical habitat, FHWA and MoDOT are required to complete ESA consultation with the FWS. The ESA describes two types of consultation, formal and informal. Formal consultation is required when there will be an Adverse Effect on a listed species or Adverse Modification of federally designated critical its habitat. It is rarely necessary, and therefore it is not covered in detail here. Should formal consultation become necessary, FHWA, MoDOT, and the sponsor would work through the process together.

=====136.6.4.5.2.2.1 Informal Consultation=====
Informal consultation is conducted when a T&E species, suitable habitat, or critical habitat is present or likely to occur in the proposed project area and MoDOT on behalf of FHWA has determined that the project “may affect, but is not likely to adversely affect” (NLAA) the species. Informal consultation can only be completed if FHWA and MoDOT can provide data to show that they have removed all potential for the project to have an adverse effect on the species or its critical habitat. As the designated non-federal representative of FHWA, MoDOT environmental staff submits project details, species assessments, and effect determinations to FWS justifying that the project is not likely to adversely affect the species and request written concurrence. The justification for this submittal is taken from the sponsor’s evaluation of the project impacts. It may be necessary for the sponsor to conduct additional surveys, commit to seasonal restrictions, or modify the design of the project to avoid or minimize impacts to listed species. Commitments made during consultation must be followed to be in compliance with federal laws. All T&E commitments must be included in the NEPA documentation and attached to the RER. Once the documentation is submitted to the FWS, they usually respond within 30 days. If they concur with the NLAA determination, and the sponsor has committed to conservation measures which will be implemented for the project, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance. If FWS does not concur with that determination, then either additional clarification and protection measures may be needed or formal consultation is necessary. Informal consultation with the FWS should begin three to six months prior to Plans, Specs, and Estimates (PS&E) to allow time to complete the process and avoid project delays.

=====136.6.4.5.2.2.2 Range-wide Programmatic Informal Consultation for Indiana Bat and Northern Long-eared Bat Only=====
Your project may qualify for consultation under a programmatic agreement for summer bat habitat impacts if certain conditions can be met. The FWS and FHWA entered into an agreement for streamlining consultation for projects that are NLAA Indiana and northern long-eared bats. [http://www.fws.gov/midwest/endangered/section7/fhwa/index.html More information about this programmatic consultation agreement] is available.

Generally, if suitable summer bat habitat is present in the project limits, trees to be removed for the project are entirely within 100 ft. of the existing road, and the sponsor commits to seasonal tree clearing (i.e. clearing suitable bat habitat only between November 1 and March 31) then the project likely qualifies for programmatic consultation. The justification for this assessment is taken from the sponsor’s evaluation of the project impacts. It will be necessary for the sponsor to commit to seasonal tree clearing restrictions. MODOT environmental staff will submit documentation to FWS describing project details and verifying the project meets the programmatic consultation criteria. Once submitted to the FWS, they have 14 days to ask for additional information. If there is no comment during that time, the project has automatic concurrence for Indiana and northern long-eared bat impacts. If “No Effect” determinations are made for all other species, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance.

===136.6.4.5.3 Migratory Birds===

Sponsors could encounter the nests of bird species protected by the [https://www.fws.gov/laws/lawsdigest/migtrea.html Migratory Bird Treaty Act of 1918] (MBTA) while conducting bridge repairs and replacements. Several bird species protected by the Act commonly construct their nests on the underside of bridge decks and on the substructure. These most often include cliff swallows, barn swallows, Eastern phoebes, and American robins. Cliff swallows build their gourd-shaped mud nests in colonies, sometimes containing hundreds of nests. Often, these nests are found on bridges over water but they can also occur on bridges over major highways and railroads, particularly if the bridge is in a floodplain or near permanent water. Barn swallows also build mud nests, but they are cup-shaped and not enclosed like cliff swallows. They will also nest in colonies, but usually these are much smaller than those of cliff swallows.

[[image:136.6.4.5.3.jpg|center|700px|thumb|<center>'''Cliff swallows under a concrete bridge over a stream. This species generally nests in colonies of several birds, building their own nests in a matter of days from mud pellets. Once eggs are laid in a nest, it would be a violation of the Migratory Bird Treaty Act to destroy the nest and its eggs, young birds, or adults without a permit. The general breeding dates for this species in Missouri is April 1 through July 31, however, they could nest before and after those dates. Cliff swallows can brood multiple clutches (groups of eggs) during a single breeding season.'''</center>]]

Eastern phoebe and American robin nests are frequently found on smaller bridges over small rivers. Usually they are on the top of substructure steel components and near the abutments. They are not colony nesters but sometimes 3 or 4 nests can be found on a single bridge. Other MBTA-protected species can also be found nesting on bridges, but they are not common. Several bird species that are not protected by the MBTA are often seen nesting on bridges. These include pigeons (rock doves), European starlings, and house sparrows. These species are all non-native introductions to the US and therefore, they are not protected by the MBTA.

====136.6.4.5.3.1 Laws and Regulations====
The Migratory Bird Treaty Act of 1918 makes it illegal for anyone to take, possess, import, export, transport, sell, purchase, barter, or offer for sale, purchase or barter any migratory bird, or the parts, nests or eggs of such a bird except under the terms of a valid permit issued pursuant to Federal regulations. The migratory bird species protected by the act are listed in [https://www.fws.gov/migratorybirds/pdf/policies-and-regulations/MBTAListofBirdsFinalRule.pdf 50 CFR 10.13]. "Take" refers to killing adults, eggs or young of the bird species protected by the act.

====136.6.4.5.3.2 Process====
All projects that involve impacts to the underside of bridge decks, the substructure, or concrete box culverts should be checked for the presence of nesting birds. For LPA projects, the project sponsor or their consultant is expected to perform the inspection and report it on the Request for Environmental Review (RER) and [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]].

Inspections should take place within a year of the anticipated letting date. The checklist notes additional requirements for documenting bridge inspections. If no nests are noted, the project will be cleared and nothing further is required. If nests are noted, a Job Special Provision will need to be placed in the contract that provides guidance on how to avoid violating the MBTA. Often, removal of the old, inactive nests (those without eggs or young) before the project starts, and maintenance of the bridge in a nest-free condition until construction, is necessary. Nest removal should be done in the non-breeding season. Generally speaking, the assumed active breeding season for the majority of the birds that would use bridge and culvert structures as habitat is between April 1 and July 31. However, these are just general dates and no active bird nests should be disturbed without a permit, even outside of these dates.

[[image:136.6.4.5.3.2.jpg|center|475px]]

=====136.6.4.5.3.2.1 Sponsor Responsibilities=====
The Sponsor is responsible for reporting any nests known to be present on the structure when submitting the RER and on the LPA Environmental T&E Checklist (see excerpt below). If nests are present, a JSP for avoidance will be used and must be followed.

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="800px" align="center"
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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
|-
|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
|-
|[[image:136.6.4.5.3.2.1.jpg|center|720px]]
|}

=====136.6.4.5.3.2.2 Environmental Section Responsibilities=====

During RER reviews, the MoDOT Environmental Specialist will review the project description, plans, photos, and written assessments and determine if the project has the potential to harm protected species. MoDOT will confirm with the sponsor the JSP will be used prior to clearing the Migratory Bird review on the RER. If a project is already under construction, and nests are noted on the bridge, MoDOT will assist in determining if the nests are active, if they belong to an MBTA-protected species, and to provide the sponsor with options to avoid violations of the MBTA.

==136.6.4.6 Base Floodplain and Regulatory Floodway==

Floodplains provide a number of important functions in the natural environment—creating wildlife habitat, providing temporary storage of floodwater, preventing heavy erosion caused by fast-moving water, recharging and protecting groundwater, providing a vegetative buffer to filter contaminants, and accommodating the natural movement of streams. Executive Order 11988—Floodplain Management, Federal Highway Administration (FHWA) policy and procedures in 23 CFR 650, and other federal floodplain management guidelines direct agencies to evaluate floodplain impacts for proposed actions.

Floodplains can be described by the frequency of flooding that occurs. With Executive Order 11988, the base, or one percent annual chance, flood was formally adopted as a standard for use by all federal agencies. The base flood is the flood that has a one percent chance of being equaled or exceeded each year. Thus, the base flood can occur more than once in a relatively short period of time. The base flood is commonly labeled the “one percent flood” and often inappropriately referred to as the “100-year” flood. Larger floods may, and often have, occurred but the one percent flood is the generally accepted regulatory standard.

The National Flood Insurance Program (NFIP) uses the base flood as the standard for floodplain management and to determine the need for flood insurance. When available, NFIP flood hazard boundary maps and flood insurance studies for the project area are used to determine the limits of the base (1%) floodplain and the extent of encroachment (an action within the limits of the base floodplain). The base floodplain is the area of one percent flood hazard within a county or community—that is, the area in which the flood has a one percent chance of being equaled or exceeded in any given year.

The regulatory floodway is the area of a stream or river channel plus any adjacent floodplain areas that must be kept open to convey floodwaters from the base flood without increasing the height of the flood more than a certain amount. Federal Emergency Management Agency (FEMA) restrictions do not allow projects to cause any rise in the regulatory floodway and no more than a one-foot cumulative rise may result from all projects in the base (1%) floodplain. [[media:136.6.10.doc|Fig. 136.6.10]] illustrates the various elements of a typical floodplain.

The LPA provides information on the LPA Request for Environmental Review (RER) form regarding community participation in the NFIP and whether the project is located in a Special Flood Hazard Area (SFHA). The SFHA is the land area covered by the floodwaters of the base flood on NFIP maps and where the NFIP's floodplain management regulations must be enforced. A current list of communities for which FEMA Flood Insurance Studies have been performed is available in the [http://www.fema.gov/national-flood-insurance-program/national-flood-insurance-program-community-status-book National Flood Insurance Program Community Status Book]. [http://www.fema.gov/cis/MO.pdf Missouri-only data] is also available. If the project is located in a community or county that has not been mapped, the LPA notes this. If the community has been mapped, the LPA identifies whether the project is located in the 100-year floodplain and/or regulatory floodway.

The MoDOT district contact will inform the LPA of the need to obtain a floodplain development permit ([http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11 LPA Floodplain Development Permit Application]) from the local floodplain administrator or whether, for projects proposed within regulatory floodways, the LPA must obtain a “no-rise” certificate before a Floodplain Development Permit is issued. To find contact information for your local floodplain administrator, use the menu or map feature under Local Floodplain Administrator on the [http://www.sema.dps.mo.gov/programs/floodplain/ State Emergency Management Agency website]. [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12] contains the Engineering "No-Rise" Certification form and [[media:136.6.13.doc|Fig. 136.6.13]] describes Procedures for “No-Rise” Certification for Proposed Development in the Regulatory Floodway.

LPAs that participate in the NFIP must ensure that floodplain developments meet the NFIP regulations identified in [https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml Title 44, Code of Federal Regulations], Parts 59 through 78. (Parts 59 and 60 contain the most applicable information for a typical project.) The LPA, with assistance from the local floodplain administrator, is responsible for ensuring that FEMA NFIP requirements are met. The LPA is also responsible for obtaining all required certifications before construction begins. The LPA should note that if a project requires a Clean Water Act Section 404 permit, the floodplain development permit cannot be issued until the 404 permit is issued by the US Army Corps of Engineers ([https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml 44CFR60.3a]). Issuance of the 404 permit is also dependent on other applicable clearances such as Section 106 of the National Historic Preservation Act and Section 7 of the Endangered Species Act. Additionally, because the NFIP requirements may control the hydraulic design of the project, the LPA is advised to investigate this in the early stages of the project.

For the convenience of LPAs and engineers, [http://msc.fema.gov/portal FEMA Flood Insurance Studies and flood maps] pertaining to a project site can be viewed by selecting “Flood Insurance, Flood Maps, and/or All Flood Information.” Hardcopies of the FEMA Flood Insurance Studies and Flood Maps can also be ordered through the same site.

==136.6.4.7 State Emergency Management Agency (SEMA)/Federal Emergency Management Agency (FEMA) Buyout Lands==

The Flood Disaster Protection Act of 1988 (The Stafford Act), under Section 404, identified the use of disaster relief funds for the Hazard Mitigation Grant Program (HMGP), including the acquisition and relocation of flood-damaged property. The Volkmer Bill further expanded the use of HMGP funds under Section 404 to “buy out” flood-damaged property that had been affected by the Great Flood of 1993.

These FEMA buyout properties have numerous restrictions. No structures or improvements may be erected on these properties unless the improvements are open on all sides. The site can be used only for open space purposes and must remain in public ownership. These conditions and restrictions (among others), along with the right to enforce same, are deemed to be covenants running with the land in perpetuity and are binding on subsequent successors, grantees, or assigns. Any project decision involving a FEMA buyout property should consider that it may take two to three years to obtain an exemption from FEMA to use this parcel, and if allowed, the exemption would likely be a permanent easement rather than a transfer of property.

==136.6.4.8 Stormwater and Erosion Control==

Provisions of the federal Clean Water Act (CWA) and related state rules and regulations require stormwater permits for construction activities that disturb areas of one acre or more. Prior to initiation of any federal-aid project, the LPA needs to determine the acreage that will be disturbed. If less than one acre is disturbed, the LPA is exempt from the requirements of the CWA National Pollutant Discharge Elimination System (NPDES) program permits and DNR permit applications. However, there may be other state or local ordinances that must be addressed and the LPA should inquire whether there are local rules and regulations that govern clean water guidelines. Even if a NPDES permit is not required and there are no local clean water guidelines, the LPA must still develop and adhere to a site specific erosion control plan for ANY ground disturbance. If more than one acre is planned to be disturbed, documentation shall be provided in the NEPA document for the project and a commitment to obtain and comply with pertinent NPDES permits shall be listed in the NEPA commitments.

'''Permit for Land Disturbance'''

Missouri Department of Natural Resources (DNR) is Missouri’s regulating agency for environmental compliance. DNR issues land disturbance permits for projects one acre and greater to ensure compliance with the CWA and Missouri’s Clean Water Law. LPA’s will be required to obtain a land disturbance permit from DNR for any applicable project, unless a general operating permit exists for the entity. A few cities (Kansas City, Columbia, and others) and counties have obtained their own land disturbance permits from DNR for generic land disturbance purposes. In these areas, the LPA (city or county government) has its own restrictions and erosion control guidelines to meet the intent of its program. If one acre or more will be disturbed, the LPA should determine whether its city or county is operating under a DNR-approved program. If so, the local government jurisdiction will impose appropriate erosion controls.

When a project will disturb one acre or more and the city or county does not have a DNR-approved stormwater program, the LPA must obtain a permit from DNR and provide documentation that this commitment was completed. The LPA must develop a Stormwater Pollution Prevention Plan (SWPPP) for the project and a site-specific erosion control plan. [http://cfpub.epa.gov/npdes/stormwater/swppp.cfm Some example SWPPPs] are available. The LPA will need to contact the DNR NPDES Water Pollution Control Program office (573-751-1300 or 800-361-4827) for further directions. The LPA is responsible for providing a temporary erosion control plan to be included with the final plan submittal if any amount of acreage is to be disturbed. The plans will detail the types of temporary erosion and sediment control best management practices (BMPs) to be used and where the items will be installed. Further information on design criteria can be found in [[:Category:806 Pollution, Erosion and Sediment Control|EPG 806 Pollution, Erosion and Sediment Control]].

For information on temporary stream crossing pipes and construction, see [[806.8 Storm Water Pollution Prevention Plan (SWPPP)|EPG 806.8 Storm Water Pollution Prevention Plan (SWPPP)]].

'''Individual State Operating Permit for TS4'''

MoDOT has an individual permit (from MDNR) that applies to stormwater (TS4 Permit MO-0137910). If you are inside the limits of a regulated MS4 area, you must adhere to the MS4 requirements as defined in the respective MS4 permit specific to that municipality. Additionally, if you are discharging to a watershed subject to an approved and effective Total Maximum Daily Load (TMDL) that MoDOT is assigned a Waste Load Allocation (WLA) or discharging to an Outstanding National or State Resource Water, directly or through MoDOT’s drainage system (e.g., ditches and stormwater conveyance systems), runoff must be treated for water quality and/or quantity before entering MoDOT’s drainage system. If the project’s land disturbance is 1 acre or more and entirely on MoDOT right of way, you must comply with [[127.29 Storm Water|MoDOT’s TS4 permit]].

==136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way==

Borrow/spoil sites, staging areas, haul roads, and/or burn pits may be located outside the project footprint and therefore were not previously addressed by the NEPA document and other environmental approvals for the project. The LPA is responsible for ensuring that the contractor obtains all necessary environmental clearances for borrow sites and other land disturbance areas—including off-site locations used to deposit excess material or for haul roads. To eliminate possible delays, the LPA should specify in the engineering services contract that a proposed borrow site be investigated. The LPA will provide clearance documentation to the MoDOT district contact. Procedures for environmental clearance of borrow sites and other land disturbance activities outside right of way is available at [[127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations|EPG 127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations]].” This information is also available through the MoDOT district contact.

The requirements of [[#136.6.4.1 Section 106 (Cultural Resource) Compliance |Section 106 of the National Historic Preservation Act]] apply to all areas of land disturbance. The LPA must complete the [http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office's Section 106 Project Information Form] and submit it to DNR. The LPA will provide written certification to the MoDOT district contact that the proposed site of land disturbance has been cleared of environmental concerns under all applicable federal and state laws and regulations. These include but are not limited to the Clean Water Act; Section 4(f) of the Department of Transportation Act; the Endangered Species Act; the National Historic Preservation Act; the Farmland Protection Act; Resource Conservation and Recovery Act; Comprehensive Environmental Response, Compensation, and Liability Act; and RSMo Chapter 194, Section 194.400, Unmarked Human Burial Sites. Certification must include all clearance letters and other evidence of coordination with the appropriate regulatory agencies.

==136.6.4.10 Hazardous Waste==

A number of laws and regulations deal with hazardous waste and both underground and aboveground storage tanks. Properties containing hazardous and non-hazardous solid wastes are frequently encountered in new right-of-way acquisitions. Some properties with extensive contamination and legal liabilities may warrant avoidance. For most sites, however, early identification and planning will allow selection of feasible alternatives with incidental costs. In addressing hazardous and solid wastes, the goals are to avoid unacceptable cleanup cost and legal liability and comply with federal and state laws and regulations regarding cleanup. The most common type of hazardous waste site encountered is a petroleum underground storage tank (UST) site. LPAs shall evaluate proposed corridors for hazardous and solid waste sites by conducting a thorough database search and a field check (if necessary). Possible sources include:

:* [http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm Federal Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)]

:* [http://www.dnr.mo.gov/env/hwp/registry-log.pdf DNR Confirmed Abandoned or Uncontrolled Hazardous Waste Disposal Sites in Missouri]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Generators List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Treatment, Storage, and Disposal Facilities List], select Missouri Commercial Hazardous Waste Facilities, List--PUB968

:* [http://www.dnr.mo.gov/env/swmp/facilities/sanlist.htm DNR Solid Waste Facilities List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Registered Underground Petroleum Storage Tank List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Leaking Underground Storage Tank List]

:* [http://www.pstif.org/ Petroleum Storage Tank Insurance Fund], select Tank Sites tab

:* [http://www.nrc.uscg.mil/nrchp.html National Response Center Hotline], select Services, then query/download and select Standard Reports to run query

:* [http://www.epa.gov/enviro/ EPA Envirofacts], under Other Sites of Interest select Enviromapper

:* Other lists as appropriate.

Coordination with the Environmental Protection Agency (EPA) and DNR will help to determine liability, regulatory requirements, and potential cleanup costs. The potential to encounter unknown wastes from sites not identified through database and/or site reviews by the LPA should always be a consideration. Any unknown sites that are found during project construction shall be handled in accordance with federal and state laws and regulations. Any agency coordination, known hazardous waste site boundaries, and any measures taken to avoid, minimize or mitigate impacts to those areas must be included in the NEPA document. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate.

===136.6.4.10.1 Renovation and Demolition of Structures===

All structures, including bridges, that will be renovated or demolished must be inspected for asbestos. The reports from these hazardous waste inspections MUST be included in the bid proposal. Demolition or renovation is a three-step process under the asbestos regulations. All structures that meet the criteria as described above must be inspected by an Asbestos Building Inspector. Following the inspection, regardless of whether asbestos is present or not, an Asbestos Demolition Notification shall be made to DNR no fewer than 10 working days prior to beginning the project. If regulated amounts of asbestos are present, an Asbestos Project Notification must also be submitted and an Asbestos Post-Notification must be filed after the work is completed. If abatement is necessary, a certified Contractor Supervisor must be present and a licensed asbestos abatement contractor must do the abatement. Useful links for information on asbestos regulations include:

:* The [http://www.dnr.mo.gov/env/apcp/asbestos.htm main Asbestos Information page]
:* [http://www.dnr.mo.gov/pubs/pub2157.pdf Asbestos Requirements for Demolition and Renovation Projects tech bulletin]
:* [http://www.dnr.mo.gov/forms/780-1226-f.pdf Asbestos Project Notification]
:* [http://www.dnr.mo.gov/forms/780-1923-f.pdf Asbestos Demolition Notification]
:* [http://www.dnr.mo.gov/forms/780-1225-f.pdf Asbestos Post-Notification]
:* [http://www.dnr.mo.gov/ MO DNR] contact: Senora Cressman, Environmental Specialist, office (573) 522-9936, cell (636) 432-8083, fax (573) 751-2706.

===136.6.4.10.2 Painting Bridges and Demolition of Painted Structures===

Painted surfaces of bridges and structures often contain heavy metals such as lead, chromium or barium that are regulated as hazardous waste under federal and state law. MoDOT has entered into a Memorandum of Understanding (MOU) with the Department of Health and Senior Services (DHSS) that stipulates certain requirements for lead abatement contractors. The contractor requirements involve any testing or identifying of lead-based paint on the surface of structures, determining whether a painted structure is a lead-hazard because of deteriorated paint, and performance of lead abatement activities. Specific requirements for LPA projects include:

:1) All contractors and subcontractors performing lead abatement activities must be licensed as Missouri lead abatement contractors. Additionally, employees of the contractors performing lead abatement activities are required to be licensed as Missouri lead abatement supervisor(s) and/or workers,
:2) the project sponsor shall provide notification to DHSS through the submittal of a ''lead abatement project funding agency notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects, and
:3) the contractor shall also provide notification to DHSS through the submittal of a ''lead abatement project notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects.

Both the [http://www.modot.mo.gov/business/contractor_resources/LeadPaintActivities.htm MOU and contractor information for lead work activities] are available. [http://www.health.mo.gov/safety/leadlicensing/ Application forms, licensing information and training schedules] are also available.

Painted structures shall be tested prior to painting and demolition to determine proper disposal for the waste generated during the project. The inspection reports MUST be included in the bid proposal. The test results for heavy metal analysis shall be included in the NEPA document, along with the identification of the need to handle and dispose of the material as a hazardous waste. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate. Note that the information provided herein is not inclusive and LPAs must follow all applicable federal and state laws for these activities.

'''Bridge Painting '''

Wash water and wipes used to clean bridge surfaces prior to painting must be collected and tested to determine whether they are regulated as hazardous waste. If it fails, it must be handled in accordance with federal and state law. Wash water that is not hazardous waste must still be collected and disposed at a Publicly Owned Treatment Works or a National Pollutant Discharge Elimination System (NPDES) permit must be obtained for discharge.

Blast residue must be collected and tested to determine whether it is regulated as a hazardous waste. Bridges with lead-, chromium-, or barium-based paint (or other regulated metals), must be handled as a hazardous waste and transported by a licensed hazardous waste transporter to a permitted Treatment Storage and Disposal (TSD) facility. Hazardous Waste Summary reports must be submitted to the Department of Natural Resources (DNR) for assessment of fees and taxes.

'''Painted Block and Brick in Structures to be Demolished '''

When a building or structure (including bridges) that is to be demolished contains block and brick that is painted, the painted surfaces should be tested for regulated heavy-metal-based paint to determine whether the material can be used for clean fill. As previously described above in the first paragraph of EPG 136.6.4.10.2, for any lead testing activity the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS. All other demolition debris must be disposed in a demolition landfill. If a demolition landfill is not available, a permitted solid waste landfill can accept it. The levels of certain metals that are acceptable for use as clean fill are listed in the [http://www.dnr.mo.gov/env/swmp/docs/cleanfill09.pdf DNR Tech Bulletin on Painted Block and Brick].

Also refer to ''Missouri Standard Specifications For Highway Construction'' [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 1081] on bridge painting and [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 202] on demolition.

==136.6.4.11 Farmland Protection Policy Act==

The Farmland Protection Policy Act (FPPA) mandates that agencies identify and take into account the adverse effects of federal projects on farmland. The act requires all federally funded projects to be assessed for the potential conversion of farmland to non-farming purposes. LPAs shall assess the impact of their projects in cooperation with the local Natural Resources Conservation Service (NRCS) office.

If the project requires no additional right of way, farmland assessment is not necessary. When additional right of way is needed, if it is located within city limits and the affected land is entirely developed for uses other than agriculture (e.g., within city limits), the LPA may document this in their files and no further action is required. If it is outside of established city limits, the LPA must complete a [[Media:127.11 Form AD 1006.DOC|Form AD-1006 Farmland Conversion Impact Rating]] (or for corridor type projects [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] and forward it along with the preliminary layouts to the NRCS for agency review.

Forms can also be obtained from the NRCS and may be reproduced. The LPA completes Parts I and III, showing the acreage of new right-of-way and borrow areas, and submits three copies to NRCS. The submittal should request NRCS to fill out Parts II, IV, and V. NRCS assistance in filling out Part VI can also be requested, if desired. The LPA shall also ask NRCS to advise whether any land considered to be farmland is subject to any state or local government policy or programs to protect farmland.

The LPA must complete the form after NCRS returns it. If the total rating exceeds 160 points, the FPPA mandates further consideration of protection. Using the bottom portion of Form AD-1006 labeled “Reason for Selection,” the LPA will document why this site was selected over the other alternative sites and submit one copy of the form along with the preliminary layout. This completes the processing. Under present directives, the LPA will have satisfied the requirements by considering the impact of converting any farmland to non-agricultural use and submitting the completed form. If the project is classified as other than a categorical exclusion, the completed form must be included in the EIS or EA.

==136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)==

[http://www.fhwa.dot.gov/environment/environmental_justice/overview/ Title VI of the Civil Rights Act of 1964 and Executive Order (EO) 12898 on Environmental Justice] apply to all programs and activities of federal-aid recipients, subrecipients, and contractors whether the programs and activities are federally funded or not. Environmental justice should be considered in all project development decisions regardless of the NEPA classification.

Compliance with Title VI and EO 12898 during the NEPA process includes fully identifying social, economic and environmental effects; considering alternatives; coordinating with agencies; involving the public; and utilizing a systematic interdisciplinary approach. Potential impacts to the human environment should drive the transportation decision-making process as much as potential impacts to the natural environment and comparable consideration is to be given to both impacts to the natural and human environment. The final decisions on any proposed project on any federal-aid system are to be made in the best overall public interest, taking into consideration the need for fast, safe and efficient transportation, public services, and the costs of eliminating or minimizing possible adverse economic, social, and environmental effects. Compliance with EO 13166 on Limited English Proficiency should also be considered.

Community impact assessment is key to avoiding the potential for discrimination or disproportionately high and adverse impacts. The LPA will provide a brief description of impacts, if any, to minorities, low-income populations, and the community in general. Most projects will be small and will have minimal to no impacts. If there are any commercial or residential displacements, the following text must be included in the NEPA documentation:

:The acquisition and relocation of affected residential and commercial properties will be conducted in accordance with the relocation procedures established in the Uniform Relocation Assistance and Real Property Acquisition Policies Act (referred to as the Uniform Act) of 1970, as amended. The Uniform Act and Missouri state laws require that just compensation be paid to the owner(s) of private property taken for public use. The Uniform Act is carried out without discrimination and in compliance with Title VI (the Civil Rights Act of 1964), the President’s Executive Order on Environmental Justice, and the Americans with Disabilities Act.

The LPA must provide relocation services to all impacted households without discrimination under guidance of the Uniform Act. Additional information concerning [http://www.fhwa.dot.gov/environment/environmental_justice/ej_at_dot/ environmental justice] and [http://www.fhwa.dot.gov/environment/community_impact_assessment/index.cfm community impact assessment] is available.

Guidelines regarding public involvement can be found in [[:Category:129 Public Involvement|EPG 129 Public Involvement]]. These guidelines are not to be viewed as all-inclusive. Instead, they outline the minimum level of expectations for public involvement, with each individual effort matching the specific needs of the project and the community involved. Public involvement efforts based on environmental document type can be found in [[:Category:129 Public Involvement#129.4 Public Involvement Based on Environmental Document Type|EPG 129.4 Public Involvement Based on Environmental Document Type]]. Documentation is key and any outreach must be documented in the project files and the Request for Environmental Review (RER).

==136.6.4.13 Noise Standards and Noise Abatement==

Federal legislation in 1970 authorized the use of federal-aid highway funds for measures to abate and control highway traffic noise. MoDOT has a federally approved [[127.13 Noise|traffic noise policy]] to define and conform to the requirements of [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=ae7cf57d9d28b534abe1c23c25349e64;rgn=div5;view=text;node=23%3A1.0.1.8.44;idno=23;cc=ecfr Article 772, Code of Federal Regulations (23 CFR 772)] and the noise-related requirements of NEPA. The guidelines in the MoDOT Noise Policy are used to determine the need, feasibility, and reasonableness of noise abatement measures and provide the basis for statewide uniformity in traffic noise analysis. The LPA must use MoDOT’s FHWA-approved noise policy. Refer to [[127.13 Noise|EPG 127.13 Noise]].

==136.6.4.14 Air Quality Requirements==

The Clean Air Act defines requirements for transportation project air quality analysis. In Missouri, requirements are met through conformity demonstrations with established emission budgets contained in the State Implementation Plan (SIP). This process involves projects meeting the definition of "regionally significant" as described in 23 CFR 450.104. At a minimum, this includes all principal arterial highways and all fixed guideway transit facilities that offer a significant alternative to regional highway travel and would normally be included in the modeling of a metropolitan area’s transportation network. Generally, LPA projects will not meet the definition of "regionally significant" and the appropriate response for TIP Number on the Request for Environmental Review (RER) form is “N.A.” In the event a local project is determined to be regionally significant, conformity will be demonstrated through an established process for inclusion in a metropolitan Transportation Improvement Program (TIP).

=136.6.5 Environmental Assessment (EA)=

An EA is prepared when there is uncertainty about the significance of the impacts from a project. FHWA generally expects an EA for two-lane relocation projects and often for add-a-lane projects on new right of way; other types of projects may also require an EA. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EA sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion. An EA describes a project’s purpose and need, identifies the alternates that are being considered, and discusses the expected impacts. It should discuss all topics required by FHWA regulations and guidance but should discuss in detail only those where there is potential for a significant impact. The EA should be concise and should not contain long descriptions or include detailed information that may have been gathered or analyses that may have been conducted for the proposed action. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EA and the format. The LPA must contact the MoDOT district contact if a significant impact is identified at any time during the preparation of an EA. FHWA will determine whether an EIS needs to be prepared.

The LPA should begin consultation (through either early coordination or a scoping process) with interested regulatory agencies and others at the earliest appropriate time, to advise them of the scope of the project. This consultation will help determine those aspects of the proposed action with potential for social, economic, or environmental impact and will identify other environmental review and consultation requirements that are performed concurrently with the EA. Agencies with jurisdiction by law, such as the COE or the FWS, must be invited to become cooperating agencies. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating agencies and FHWA will send the letters. The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes. The EA must summarize the results of both agency consultation and public involvement. The LPA, or its consultant, will prepare a preliminary EA (pEA) that encompasses the following:

:* Finalize the location study with all alternates considered, including those discarded, depicted graphically.

:* Indicate the preferred alternate.

:* Evaluate all proposed reasonable alternates equally; the EA must include more than a single build alternative as well as the no build alternate. Reasonable alternates addressed in the EA are those that may be constructed in the event that the preferred alternate is not selected.

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification. Complete a Phase I archaeological survey for the preferred alternate. Identify all areas for which landowner access was denied or the survey was not conducted at the preliminary EA stage. Determine which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP). Submit all buildings, bridges, and culverts impacted by the preferred alignment, including those less than 50 years of age, to DNR’s State Historic Preservation Office (DNR-SHPO) for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pEA must include either a draft Memorandum of Agreement (MOA) or draft Programmatic Agreement (PA) identifying uncompleted or mitigation activities to be completed prior to project construction.

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for [http://www.modot.mo.gov/business/manuals/documents/FIG4-6R-2009usethisone.doc Section 4(f) protection], along with a statement as to the status of agency coordination on those impacts. The EA must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Identify any Section 6(f) resources the project will affect. Any Section 6(f)(3) Conversion Documentation required cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved FONSI signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams. Estimate the areas of wetlands in the project area for all alternatives using conventional mapping sources and windshield survey and document expected impacts.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either [[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating, Form AD-1006]] for site projects or [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy. The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pEA is provided to MoDOT for distribution to FHWA and any formal cooperating agencies (identified as such on the pEA cover sheet) for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pEA, the EA is ready for FHWA’s final review and approval, after which it is made available to the public as an FHWA document.

The EA must be made available for public inspection at the LPA’s office and at the appropriate FHWA field offices as described in the next two paragraphs of this section. Although it is not a federal requirement that the document be circulated for comment, the LPA is encouraged to provide the EA to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send notice of availability of the EA, briefly describing the project and its impacts, to the affected units of federal, state, and local government and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

MoDOT’s normal practice is to hold a location public hearing for all EAs. Although FHWA regulations do not require public hearings for EAs, the FHWA encourages them on most EAs. For specific EAs depending on the situation, the FHWA division office may require a public hearing after signing the EA and before signing the FONSI. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. When a public hearing is held as a part of the application for federal funds, the EA must be available at the public hearing and at the LPA’s office and at the appropriate FHWA field offices for a minimum of 15 days in advance of the public hearing. The notice of the public hearing in local newspapers must announce the availability of the EA and where it may be obtained to review. The notice will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the availability of the EA unless FHWA determines that a different period is warranted.

When a public hearing is not held, the LPA must place a notice similar to a public hearing notice and at a similar stage of project development in the local newspapers, advising the public of the EA’s availability at the LPA’s office and at the appropriate FHWA field offices and where to obtain information concerning the project. The notice must invite comments from all interested parties. It will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the publication of the notice unless FHWA determines that a different period is warranted.

==136.6.5.1 Findings of No Significant Impact (FONSI)==

Once the 30-day public comment period has ended and all comments from the public and other agencies have been collected, the LPA or its consultant prepares a Finding of No Significant Impact (FONSI). The FONSI should summarize any public and/or agency coordination that occurred after the EA was signed. The FONSI must satisfactorily address all substantive comments on the EA provided during the 30-day comment period, including those from other agencies, the general public, and as a result of the public hearing. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the FONSI. The FONSI must describe any changes to the EA-designated preferred alternate and document any additional impact analyses performed for the final, selected alternate.

The FONSI must also document compliance with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met and briefly present why the action does not have a significant impact. If the proposed project will adversely impact any NRHP-eligible sites or historical structures, either an MOA or a PA executed by the DNR-SHPO, FHWA, Advisory Council on Historic Preservation (ACHP), and the LPA must accompany the letter. The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire. Accompanying documentation must also include the Final Section 4(f) Evaluation, when required, for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

When the FONSI is completed and the listed items are included, the documentation (with a signature page) is provided to MoDOT for distribution to FHWA (and to cooperating agencies for their review and comment if the selected alternate differs from the EA-designated preferred alternate).

If the FONSI is for a new controlled access freeway, a highway project of four or more lanes on a new location, or other action described in 23 CFR §771.115a, the letter to FHWA and accompanying documentation described above must also be made available for public review, including affected units of government, for a minimum of 30 days before FHWA issues a FONSI for the project. A notice similar to that for a public hearing must announce the availability of the documentation. If at any point in the EA process, FHWA determines that the action is likely to have a significant impact, the LPA will be required to prepare an EIS.

FHWA will review the FONSI, accompanying documentation, and any public hearing comments and other comments received regarding the EA. If FHWA determines after reviewing the documentation that there are no significant impacts associated with the project, the FONSI will be signed and a copy of the signed FONSI will be returned to the LPA.

After FHWA issues a FONSI, the LPA is encouraged to provide the FONSI to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send a notice of availability of the FONSI to the affected units of federal, state, and local government and the FONSI shall be available from the LPA and FHWA upon request by the public. Notice of availability is also sent to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

==136.6.5.2 Timeframes==

The project schedule should allow about two years for obtaining a FONSI.

=136.6.6 Environmental Impact Statement (EIS)=

==136.6.6.1 Draft Environmental Impact Statement==

An EIS is prepared for projects that have clearly identified and significant social, economic, or environmental impacts. FHWA indicates that an EIS is required for four-lane relocations as well as for major bridges or projects that are controversial. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EIS sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion.

An EIS describes a project’s purpose and need, identifies the alternates being considered, and discusses expected impacts in detail. To the extent possible, it also indicates compliance with other regulations. The EIS includes procedures to minimize harm and details mitigation measures and all other environmental commitments. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EIS and the format.

When FHWA determines that an EIS is required, the LPA will prepare and FHWA will issue a Notice of Intent for publication in the ''Federal Register''. LPAs are encouraged to announce the intent to prepare an EIS by appropriate means at the local level.

After publication of the Notice of Intent, the LPA will begin a scoping process to aid in identifying the range of alternatives and impacts and the significant issues to be addressed in the EIS. Scoping is normally achieved through public and agency involvement procedures. If a scoping meeting is to be held, it will be announced in the FHWA’s Notice of Intent and by appropriate means at the local level. Agencies with jurisdiction by law must be requested to become cooperating agencies. Section 6002 (Efficient Environmental Reviews for Project Decision Making) of the Safe, Accountable, Flexible, and Efficient Transportation Equity Act of 2003 (SAFETEA-LU) updates the environmental review process by adding a new category of “participating agencies” for federal, state, and local agencies and tribal nations that have an interest in the project. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating and/or participating agencies as appropriate and FHWA will send the letters.

The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes.

Section 6002 stipulates that both participating agencies and the public will be given the opportunity to comment on the purpose and need and range of alternatives for a project. Previously only cooperating agencies were offered such an opportunity. Section 6002 also mandates establishing a coordination plan for agency and public participation and comment. Further information on the SAFETEA-LU environmental review process can be found in FHWA’s [http://www.fhwa.dot.gov/hep/section6002/ SAFETEA-LU ENVIRONMENTAL REVIEW PROCESS FINAL GUIDANCE, Publication L 109-59, November 15, 2006].

The LPA or its consultant will prepare a preliminary Draft EIS (pDEIS) that evaluates all reasonable alternatives to the action and discusses the reasons why other alternatives that may have been considered were eliminated from detailed study. The pDEIS also summarizes the studies, reviews, consultation, and coordination required by environmental laws or Executive Orders to the extent appropriate at this stage in the environmental process. A pDEIS requires completing the following work:

:* Finalize the location study; all alternates considered, including those discarded, must be depicted graphically in the document.

:* Indicate a preferred alternate if one stands out.

:* Evaluate all proposed reasonable alternates equally. Reasonable alternates addressed in the EIS are those that may be constructed in the event that the preferred alternate is not selected. (Provisions of SAFETEA-LU allow FHWA to decide whether the preferred alternative may be developed to a higher level of design detail to facilitate either the development of mitigation measures or compliance with other environmental laws. See FHWA’s 2006 SAFETEA-LU FINAL GUIDANCE, as cited previously, for details.)

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP).

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for Section 4(f) protection, along with a statement as to the status of agency coordination on those impacts. The DEIS must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Note the presence of any potential Section 6(f) resources. If Section 6(f)(3) Conversion Documentation is required, it cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved ROD signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams and possible impacts to them.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either Form AD-1006 for site projects or Form SCS-CPA-106 for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy.

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts, and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pDEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pDEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pDEIS, the DEIS is ready for FHWA’s final review. The FHWA, when satisfied that the DEIS complies with NEPA requirements, will approve the DEIS for circulation by signing and dating the cover sheet.

The LPA is responsible for printing the DEIS in sufficient quantity to accommodate circulation to those entities listed in the document as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the DEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

Once FHWA signs the DEIS, public and agency comments must be requested. The LPA, on behalf of FHWA, circulates the approved DEIS to federal and state agencies, local entities, elected officials, and others as appropriate for their review and comment. Upon circulation of the approved DEIS to the Environmental Protection Agency (EPA), the EPA publishes a Notice of Availability (NOA) in the Federal Register. Copies of the approved DEIS are also provided for public viewing and copying in the LPA’s office and other public repositories such as libraries and city or county offices. The DEIS must be made available to the public and transmitted to agencies for comment no later than the time the document is filed with the Environmental Protection Agency. The DEIS shall be transmitted to:

:1. Public officials, interest groups and members of the public known to have an interest in the proposed action or the DEIS;

:2. Federal, state and local government agencies expected to have jurisdiction or responsibility over, or interest or expertise in, the action. Copies are provided directly to appropriate state and local agencies and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372; and

:3. States and federal land management entities that may be significantly affected by the proposed action or any of the alternatives. These copies shall be accompanied by a request that such state or entity advise the FHWA in writing of any disagreement with the evaluation of impacts in the statement. FHWA will furnish the comments received to the LPA along with a written assessment of any disagreements for incorporation into the final EIS.

The ''Federal Register'' NOA initiates a period of no less than 45 days for the return of comments on the DEIS. The notice and the DEIS transmittal letter must identify to whom comments may be sent.

A location public hearing is generally held for all projects requiring an EIS. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. The DEIS shall be available at the public hearing and for a minimum of 15 days in advance of the hearing. The availability of the DEIS shall be mentioned and public comments requested in any public hearing notice and at any public hearing presentation. If a public hearing on an action proposed for FHWA funding is not held, a notice shall be placed in newspaper similar to a public hearing notice advising where the DEIS is available for review, how copies may be obtained, and where the comments will be sent.

==136.6.6.2 Final Environmental Impact Statement==

After circulation of a DEIS, when the 45-day comment period has ended and all comments from the public and other agencies have been collected, a preliminary Final EIS (pFEIS) is prepared. The FEIS identifies the preferred alternative and evaluates all reasonable alternatives considered. It should also discuss substantive comments received on the DEIS and responses thereto, summarize public involvement, and describe the mitigation measures that are to be incorporated into the proposed action. Mitigation measures presented as commitments in the FEIS must be implemented with the project. The following items of work are completed as part of the pFEIS:

:* All substantive comments gathered on the DEIS during the 45-day comment period, including those from other agencies, the general public, and as a result of the public hearing, must be satisfactorily addressed. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the pFEIS.

:* A preferred alternate must be declared.

:* A Phase I archaeological survey must be completed for the preferred alternate(s) and all areas for which landowner access was denied or the survey was not conducted should be identified. A determination should be made of which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* All buildings, bridges, and culverts impacted by the preferred alignment that were not previously reviewed by the DNR’s State Historic Preservation Office (DNR-SHPO), including those less than 50 years of age, must be submitted to DNR for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pFEIS must include either a Memorandum of Agreement (MOA) or a Programmatic Agreement (PA) executed by the DNR-SHPO, FHWA, the LPA, and the Advisory Council on Historic Preservation (ACHP) (all PAs; MOAs if it chooses to participate). The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire.

:* A Final Section 4(f) Evaluation, when required, must be included in the pFEIS for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

:* Identify any Section 6(f) resources the project will affect. Elements of the Section 6(f)(3) Conversion Documentation may be assembled during preparation of the NEPA document, even though the Section 6(f) document cannot be completed until the NEPA decision document has been issued.

:* A preliminary jurisdictional wetland and stream delineation is conducted in the project area for the preferred alternative and expected impacts are documented.

:* Identify whether any consultation with the U.S. Fish and Wildlife Service is required to address threatened or endangered plant and/or animal species within the project limits and any conservation measures resulting from the consultation.

:* The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

The FEIS will also document compliance, to the extent possible, with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met. Every reasonable effort shall be made to resolve interagency disagreements on actions before processing the FEIS. If significant issues remain unresolved, the FEIS must identify those issues and the consultations and other efforts made to resolve them. When the listed items are completed and included in a preliminary FEIS, the pFEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pFEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pFEIS, the FEIS is ready for FHWA’s final review and approval. The FEIS will be reviewed for legal sufficiency prior to FHWA approval.

FHWA will indicate approval of the FEIS for an action by signing and dating the cover page. Approval of the FEIS does not commit the FHWA to approve any future request to fund the preferred alternative.

The LPA should print a sufficient quantity of the FEIS to accommodate circulation to the appropriate entities as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the FEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

When sufficient copies of the approved FEIS are transmitted to FHWA, FHWA circulates the document to the EPA along with an NOA to be published in the ''Federal Register''. Publication of the NOA initiates a 30-day comment period on the FEIS. The LPA circulates the approved FEIS for review and comment to any persons, organizations, or agencies that made substantive comments on the DEIS or requested a copy, no later than the time the document is filed with EPA. In the case of lengthy documents, the agency may provide alternative circulation processes. The LPA shall also publish a notice of availability in local newspapers and make the FEIS available through the mechanism established pursuant to DOT Order 4600.13 which implements Executive Order 12372. When the FEIS is filed with EPA, it must be available for public review at the LPA’s offices and at appropriate FHWA offices. A copy will also be made available for public review at institutions such as local government offices, libraries, and schools, as appropriate.

=136.6.7 Record of Decision (ROD)=

Substantive comments received on the FEIS are addressed in a Record of Decision (ROD) prepared by the LPA. The ROD also discusses the alternates that were considered for the project, identifies the selected alternate, and discusses why this alternate was selected. The ROD discusses commitments made in the document, including the measures that have been adopted to minimize harm, such as mitigation plans, and details any monitoring and enforcement program, if applicable. After comments are satisfactorily addressed, the ROD is presented to FHWA for approval. Once the ROD is signed by FHWA, the LPA can approve the location of the project and begin detailed design.

The timeframe for completing the EIS process varies. The timeline for completing consultant-prepared EISs is a negotiated item within the scope of work. A good rule of thumb is to allow at least 3 years to get to an approved ROD.

=136.6.8 Supplemental Environmental Impact Statements=

A DEIS, FEIS or supplemental EIS may be supplemented at any time. An EIS shall be supplemented whenever FHWA determines that:

:1. Changes to the proposed action would result in significant environmental impacts that were not evaluated in the EIS; or

:2. New information or circumstances relevant to environmental concerns and bearing on the proposed action or its impacts would result in significant environmental impacts not evaluated in the EIS.

Where FHWA is uncertain of the significance of the new impacts, the LPA will develop appropriate environmental studies or, if FHWA deems appropriate, an EA to assess the impacts of the changes, new information, or new circumstances. If based upon the studies, FHWA determines that a supplemental EIS is not necessary, FHWA shall so indicate in the project file.

A supplement is to be developed using the same process and format (i.e., draft EIS and final EIS as an original EIS except that scoping is not required.

In some cases a supplemental EIS may be required to address issues of limited scope, such as the extent of proposed mitigation or the evaluation of location of design variations for a limited portion of the overall project. Where this is the case, the preparation of a supplemental EIS shall not necessarily:

:1. Prevent the granting of new approvals;

:2. Require the withdrawal of previous approvals; or

:3. Require the suspension of project activities; for any activity not directly affected by the supplement. If the changes in question are of such magnitude to require a reassessment of the entire action, or more than a limited portion of the overall action, FHWA shall suspend any activities that would have an adverse environmental impact or limit the choice of reasonable alternatives, until the supplemental EIS is completed.

More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.130.pdf detailed discussion of supplemental NEPA documents] can be found on FHWA’s web site.

=136.6.9 Re-evaluations=

If an acceptable FEIS is not submitted to the Federal Highway Administration (FHWA) within 3 years from the date of the DEIS circulation, the LPA shall prepare a written reevaluation of the DEIS in cooperation with FHWA. This reevaluation is used to determine whether a supplement to the DEIS or a new DEIS is needed.

A written reevaluation of the FEIS may be required before further approvals are granted if major steps to advance the action (e.g., authority to undertake final design, authority to acquire a significant portion of the right-of-way, or approval of the plans, specifications, and estimates) have not occurred within three years after the approval of the FEIS, final EIS supplement, or the last major FHWA approval or grant.

Factors such as noteworthy changes in the scope and/or location of the project, whether the project is active or inactive, and changes in environmental laws or regulations can also require a NEPA document reevaluation. Once completed and approved, a NEPA document has a limited shelf life of three years, even when portions of the project are under construction or have already been constructed, as is often the case for lengthy corridor projects. After approval of the ROD, FONSI or CE designation and prior to requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

Whenever the project scope or location changes, the LPA will submit to the MoDOT district contact a Request for Environmental Review (RER) form that describes and shows the changes. Based on that information, the project will be reexamined to determine whether the proposed changes require a reevaluation. When a reevaluation is needed, the LPA prepares the reevaluation documentation. In most cases, the reevaluation is submitted to the FHWA for review and approval. Documentation for reevaluations is based on the original NEPA document type. If the original NEPA document was an EA or EIS, the LPA prepares a letter documenting the reevaluation and submits it to MoDOT for FHWA’s review and approval. Some projects with original NEPA classifications as CEs may also require reevaluations in the form of a letter. FHWA does not routinely require reevaluations in the form of supplemental EAs or EISs. More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.129.pdf detailed discussion of NEPA reevaluations] can be found on FHWA’s web site.

[[Category:136 Local Public Agency (LPA) Policy|136.06]]

LPA:136.6 Environmental and Cultural Requirements

2021-05-14T15:00:05Z

Bramar12: /* 136.6.4.2.3 De Minimis Determination */

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:left; font-size: 95%; background:#f5f5f5" width="360px" align="right"
|-
|<center>'''Figures'''</center>
|-
|[[media:136.6.1.docx|Fig. 136.6.1, Project Review Process flowchart]]
|-
|[[media:136.6.2.docx|Fig. 136.6.2, Key Environmental/Cultural Resources Compliance Milestones]]
|-
|[[media:136.6.3 Jan 18 2019.docx|Fig. 136.6.3, Environmental/Cultural Resources Compliance Checklist]]
|-
|[https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review]
|-
|[[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]]
|-
|[[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing Categorical Exclusion Determination]]
|-
|[[media:136.6.6.doc|Fig. 136.6.6, Generalized flowchart of the Section 106 Process for Local Public Agencies]]
|-
|[[media:136.6.7 2017.docx|Fig. 136.6.7, Memorandum of Agreement for Mitigation of Adverse Effects]]
|-
|[[media:136.6.8 2013.doc|Fig. 136.6.8, LPA Section 4(f) Compliance Worksheet for Public Lands]]
|-
|[[media:136.6.9.doc|Fig. 136.6.9, Content of a Section 4(f) Evaluation]]
|-
|[[media:136.6.10.doc|Fig. 136.6.10, Diagram of Typical Floodplain]]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11, LPA Floodplain Development Permit]
|-
|[http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12, Engineering “No-Rise” Certificate]
|-
|[[media:136.6.13.doc|Fig. 136.6.13, Procedures for “No-Rise” Certification for Proposed Development]]
|-
|[[media:136.6.14.docx|Fig. 136.6.14, Procedures for Environmental Clearance of Borrow Sites and Other Disturbed Areas Outside Right of Way]]
|-
|[[media:136.6.15.docx|Fig. 136.6.15, Example e106 Form]]
|-
|[[media:136.6.16 2018.pdf|Fig. 136.6.16, LPA Project Checklist for Adverse Effects]]
|-
|[[media:136.6.17.docx|Fig. 136.6.17, Sample LPA Transmittal of MOA Letter]]
|-
|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
|-
|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|-
! <center>'''Other Figures and Information for EPG 136.6'''</center>
|-
|[http://www.achp.gov/archguide.html Advisory Council “Model MOA”]
|-
|[http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot Categorical Exclusion Determination]
|-
|[http://www.dnr.mo.gov/forms/780-1718_inst.pdf Instructions for Completing the SHPO 106 Survey Memo]
|-
|[[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating]]
|-
|[https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Nationwide 404 Permit for Minor Road Crossings (NWP 14 Linear Transportation Projects)]
|-
|[http://www.modot.org/business/lpa/cert_train.htm NEPA Training video] - scroll down to bottom left
|-
|[http://www.achp.gov/apptoolkit.html Section 106 Applicant Toolkit] - this Advisory Council on Historic Preservation's toolkit provides additional and supplemental info for the Section 106 process
|-
|[http://www.dnr.mo.gov/forms/780-1718.pdf State Historic Preservation Office’s Section 106 Survey Form]
|-
|[http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office’s Section 106 Project Information Form]
|-
|<div id="PowerPoint Tutorials"></div>
|-
! <center>'''"How To" PowerPoint Tutorials'''</center>
|-
|[[media:136.6 How to Complete the Application.ppt|How to Complete the Application for Section 106 Clearance]]
|-
|[[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]]
|-
|<center>'''Federal-Aid Essential Videos'''</center>
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=develop Project Development]
|-
|[http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=environm Environment]
|}

=136.6.1 Introduction=

Meeting environmental and cultural resource requirements and getting the necessary approvals and permits for local public agency (LPA) projects can involve multiple steps and varying lengths of time. Not meeting requirements in a timely manner can delay or even halt your project. You must obtain National Environmental Policy Act (NEPA) approval from the [http://www.fhwa.dot.gov/ Federal Highway Administration (FHWA)] before 35% plan completion. Before you can begin right-of-way acquisition for the project, you need concurrence from the State Historic Preservation Office (SHPO) that [[127.2 Historic Preservation and Cultural Resources|Section 106 (cultural resources)]] has been addressed satisfactorily. Some resources with specific requirements in addition to NEPA include historic buildings, archaeological sites, historic bridges, historic sites and parklands, wetlands and waterbody crossings, endangered species and conversion of farmland. Information on these topics and others can be found in this article and in the [http://www.modot.org/business/lpa/cert_train.htm NEPA Training video].

'''Roles and Responsibilities:''' MoDOT’s role in the project review process is to advise the LPA of requirements that must be met, review any NEPA submittals for completeness before forwarding to FHWA, and ensure that all needed permits, approvals, or other supporting documentation are obtained. The LPA is expected to provide complete and accurate information about the project. Complying with the applicable laws and regulations is the LPA’s responsibility. The LPA interacts with MoDOT through the designated district contact. For the occasional project that is classified as an Environmental Assessment (EA) or Environmental Impact Statement (EIS) under NEPA, a MoDOT environmental staff member will be a liaison between the LPA and FHWA. The liaison participates in project team meetings, is responsible for all communication with FHWA concerning the project, and helps ensure satisfactory compliance with NEPA. A flowchart summarizes the environmental/historic preservation project review process in [[media:136.6.1.docx|Figure 136.6.1]]. The timeframes needed to achieve key environmental/cultural resources compliance milestones are shown below and in [[media:136.6.2.docx|Figure 136.6.2]] (landscape format to print for reference). [[media:136.6.3 Jan 18 2019.docx|Figure 136.6.3]] contains a helpful checklist to guide the LPA through this process.

{| border="1" class="wikitable" style="margin: 1em auto 1em auto" style="text-align:center"
|+
!style="background:#BEBEBE" colspan="4"|Key Environmental/Cultural Resources Compliance Milestones
|-
! style="background:#BEBEBE" |Task/Submittal!! style="background:#BEBEBE" |LPA Responsibility !! style="background:#BEBEBE" |MoDOT Responsibility!! style="background:#BEBEBE" |MoDOT Timeframe
|-
|Obtain NEPA classification||Provide adequate project information with Request for Environmental Review||Provide classification|| 30 days
|-
|Complete NEPA documentation if required: 1. Programmatic CE (no documentation required) 2. Letter CE 3. CE2 4. EA 5. EIS ||Prepare and submit required documentation|| Review documentation, provide comments, and submit documentation (revised by LPA as needed) to FHWA || 1. Programmatic CE – 4 weeks 2. Letter CE – 6 weeks 3. CE2 – 10 weeks 4. EA – 18 months 5. EIS – 36 months
|-
|Comply with Section 106 (cultural resources)||Obtain SHPO's concurrence||Ensure Section 106 compliance||Generally, 10 weeks * Can take 6–12 months if SHPO finds adverse effect
|-
|Section 4 (f) 1. Historic bridge programmatic 2. Public land prog. or ''de minimis'' 3. Full draft and final evaluation ||1. Prepare MOA 2. Provide documentation 3. Provide documentation||1. Review MOA 2. Review & submit to FHWA 3. Review & submit to FHWW ||1. 6 months 2. 60 days 3. 12 months
|-
|Comply with Clean Water Act Sections 404 and 401||Obtain permits||Ensure compliance||Nationwide: 6–8 weeks Individual: 4–6 months
|-
|Comply with Endangered Species Act||Consult with MDC and obtain clearance letter||Review consultation|| 1–6 months
|-
|Floodplains||Contact local floodplain administrator for any needed permits||Ensure compliance|| 1–6 months
|-
|Comply with Clean Water Act Section 602||Obtain NPDES permit||Ensure Section 602 compliance|| 1–3 months
|-
|Comply with env. laws regarding use of borrow & spoil sites||Comply with applicable laws||Ensure compliance with applicable laws|| Varies according to law
|-
|Hazardous waste||Determine presence, contact DNR if hazardous materials are found||Ensure compliance|| 1 month
|-
|Comply with Farmland Protection Policy Act (FPPA)|| Obtain Farmland Rating||Ensure FPPA compliance|| 6 weeks
|-
|Environmental Justice, Title VI, ADA, etc.||Ensure compliance||Ensure compliance|| 1 month
|-
|Noise|| Complete noise study if necessary|| Ensure compliance|| 1–6 months
|-
|Comply with Clean Air Act||Ensure Clean Air Act compliance, model if necessary||Ensure Clean Air Act compliance||6–12 months if modeling required
|-
|Public Involvement|| Provide planned or completed public involvement|| Ensure compliance with [[:Category:129 Public Involvement|EPG 129 Public Involvement]]|| 1-8 weeks
|}

=136.6.2 National Environmental Policy Act (NEPA) Classification=

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] to the MoDOT district contact within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER initiates MoDOT environmental and historic preservation staff’s review of the project to determine the appropriate NEPA classification. The district contact will notify the LPA of the project’s classification as well as other environmental permits and clearances the LPA must obtain.

Since the environmental classification is based on the scope of the project and expected magnitude of impacts, providing all information requested on the form is vital to getting the NEPA classification as early as possible. Whenever the project scope or location changes or more than a year has passed since MoDOT’s environmental and historic preservation staff reviewed the RER, the LPA will submit to the MoDOT district contact a new RER that describes and shows any changes. Based on that information, the project will be reexamined. A completed and approved NEPA document has a limited shelf life of three years from the date on the NEPA document. If construction obligation has not occurred within three years of the date on the NEPA document/date, a new RER must be filled out and reviewed and a new NEPA document/date will be issued. After obtaining approval of a ROD, FONSI, or CE determination and before requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

The basic NEPA classifications are:

:* Categorical Exclusion (CE)—typically sufficient for projects that do not individually or cumulatively have a significant environmental effect. Most projects will be classified as CEs.

:* Environmental Assessment (EA)—required for projects in which the environmental impact is not clearly established. Projects such as a two-lane relocation or adding lanes to an existing highway corridor generally require an EA.

:* Environmental Impact Statement (EIS)—required for projects that may have significant adverse impacts or that are controversial. Projects such as a new controlled-access freeway, a highway project of four or more lanes on a new location, or new construction or extension of a separate roadway for buses or high occupancy vehicles not located within an existing highway facility typically require an EIS.

=136.6.3 Categorical Exclusion (CE) =

The majority of transportation projects in Missouri are classified as categorical exclusions (CEs) and are completed as a programmatic CE (PCE) or a CE2. Approximately 96% of LPA projects have been classified as programmatic CEs, with the remainder classified as CE2s and very rarely as an EA or EIS (see [[127.14 National Environmental Policy Act (NEPA) Classification and Documents#127.14.5 NEPA Glossary|EPG 127.14.5 NEPA Glossary]]).

An agreement with FHWA allows MoDOT to automatically classify specific types of projects that require no more than 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, as PCEs. PCEs do not require FHWA review. MoDOT and FHWA executed this [[media:136.6.3 programmatic agreement.pdf|programmatic agreement]] on October 15, 2018. The thresholds that cannot be exceeded are contained within the agreement. If a project exceeds one of the thresholds, a CE2 must be approved by FHWA.

For projects that require over 5 acres of new right of way and/or easements combined, or exceeds one of the thresholds, MoDOT will advise the LPA to complete a [http://epg.modot.mo.gov/forms/DE-Env&Cultural/Categorial%20Exclusion%20Form.dot CE2 Form] describing the project, the impacts expected from the project, and mitigation to compensate for the project’s impacts. The Form requests information such as the federal project number, route, county, project termini and length, project description, current and future average daily traffic (ADT), right of way and easement needs, displacements/relocations, a location map, and any other associated attachments. [[media:136.6.5.pdf|Fig. 136.6.5, Instructions for Preparing a CE2 Form]], guides the LPA through the process. For FHWA to concur that the project is a CE2 instead of an EA or EIS, the CE2 document must clearly demonstrate that the project will not have significant impacts and therefore, is categorically excluded from the requirement to prepare an EIS or EA. MoDOT will notify the LPA of the CE2 approval, request for more information, or FHWA’s decision that an EA or EIS needs to be prepared.

=136.6.4 Beyond NEPA—Complying with Other Federal and State Environmental Laws and Regulations=

The resource-specific information that follows is intended to aid the LPA in complying with federal and state environmental laws and regulations. Ultimately, the LPA is solely responsible for compliance with all applicable laws and regulations, regardless of the information, or lack thereof, included here. The LPA must ensure that all commitments specified in environmental documents are identified in plans and job specifications as appropriate. The LPA is also responsible for implementing all commitments and monitoring included in environmental documents.

==136.6.4.1 Section 106 (Cultural Resource) Compliance ==
{|style="padding: 0.3em; margin-left:10px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="310px" align="right"
|-
|'''Useful Section 106 Websites'''
|-
|[http://www.achp.gov/work106.html Advisory Council on Historic Preservation]
|-
|[http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office]
|-
|[http://www.environment.fhwa.dot.gov/histpres/index.asp Federal Highway Administration]
|-
|[http://www.modot.org/ehp/HistoricPreservation.htm MoDOT Historic Preservation Section]
|}
[[127.2 Historic Preservation and Cultural Resources|Section 106 of the National Historic Preservation Act (NHPA) of 1966]] requires the consideration of the potential impacts of federally funded or permitted projects to significant cultural resources. Cultural resources include archaeological sites, buildings, structures (e.g., bridges), objects or historic districts. The significance of a cultural resource is evaluated by applying a specific set of criteria that is set forth by the [http://www.nationalregisterofhistoricplaces.com/faq.html National Register of Historic Places]. Cultural resources that meet the criteria of eligibility for listing on the National Register are referred to as “historic properties.” Failure to comply with Section 106 requirements could jeopardize federal funding and permits for a project. Section 106 encourages, but does not mandate, the preservation of historic properties. The goal of Section 106 is to ensure that preservation values are factored into the planning process for all federally funded or permitted projects. Compliance with Section 106 requires three things:

:1. ''Identify historic properties.'' Determine project’s area of potential effects (APE), identify cultural resources within the APE, and evaluate historic significance of these cultural resources;

:2. ''Assess adverse effects.'' Assess if the project will have an adverse effect on historic properties; and

:3. ''Resolve adverse effects.'' Avoidance, minimization, and/or mitigation of any project adverse effects on historic properties.

[[image:136.6.4.1.jpg|center|750px]]

Additional information on the Section 106 process is available on the webpages of the [http://www.achp.gov/work106.html Advisory Council on Historic Preservation] and the [http://www.dnr.mo.gov/shpo/sectionrev.htm Missouri State Historic Preservation Office].

[[media:136.6.6.doc|Fig. 136.6.6]] illustrates the steps that the LPAs should follow to comply with Section 106.

===136.6.4.1.1 Step 1, Determine Need for Cultural Resource Investigations===

The LPA must submit the [https://www6.modot.mo.gov/RERProject/ LPA Request for Environmental Review (RER)] within 60 days of preliminary engineering (PE) obligation for all federal-aid projects. [[media:136.6.4 instructions 2018.doc|Fig. 136.6.4, How to Complete the Request for Environmental Review]] presents instructions to guide the LPA through the RER process. The RER submittal initiates the Section 106 review.

MoDOT has hired a consultant to oversee the LPA Section 106 compliance. The basic process is:

:1. The LPA should submit their Request for Environmental Review (RER). The consultant will review the RER and determine if the job Section 106 compliance is covered by the Section 106 agreement document on Minor Highway Projects.

::A. If it is the consultant will state on the RER that the project has Section 106 clearance and list the Stipulation and the date the decision was made.

::B. If the project is not covered by the Minor Highway Projects agreement, the consultant will state on the RER that a Section 106 investigation and submittal to SHPO is required.

:2. If a Section 106 investigation is required, the LPA will then move to [[#136.6.4.1.2 Step 2, Cultural Resource Investigations|EPG 136.6.4.1.2 Step 2, Cultural Resource Investigations]].

::A. The consultant will review the LPA’s (or their consultants) Section 106 submittal before it is sent to SHPO.

::B. If the Section 106 finding is “no historic properties affected” or “no adverse effect to historic properties and the State Historic Preservation Office concurs with this finding the Section 106 process has been completed.

::C. If the finding is “adverse effect to a historic property,” the LPA will then need to negotiate and execute a Section 106 agreement document (e.g., Memorandum of Agreement or Programmatic Agreement).

:3. If a Section 106 agreement document is required, the LPA will then move to [[#136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement|EPG 136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement]].

::The consultant will also oversee the LPA’s (or their consultants) consultation and development of the Memorandum of Agreement.

[[image:136.6.4.1.1 Historic Bridge.jpg|center|750px|thumb|<center>'''The Historic Big Creek Bridge – an 8-panel, pin-connected Camelback through truss bridge</center>''']]

===136.6.4.1.2 Step 2, Cultural Resource Investigations===

'''If the SHPO requests a Section 106 survey the LPA will need to hire a qualified [http://www.dnr.mo.gov/shpo/consultants.htm cultural resource consultant] or staff member to conduct the survey and to submit a report of their findings to the SHPO.'''

'''Step 2a. The Cultural Resource Survey'''

:a. Cultural resource surveys typically are limited to the area of potential effects (APE) (i.e., For archaeology, this is the maximum footprint of the project consisting of proposed and existing right of way, and permanent and temporary easements) and any off-site areas, if known, (e.g., borrow, staging, wasting, etc.). For architectural resources, the APE may include the limits of the project plus a buffer around the project area so indirect effects of the project are considered (usually 50 ft in urban settings and 100 ft in rural settings).

:For archaeological resources, the APE is the maximum footprint of the project consisting of existing and new right-of-way, and temporary and permanent easements.

::1. An architectural survey consists of photographing buildings within the architectural APE and providing descriptions and historical information about those buildings constructed more than 50 years ago. In addition to buildings, features associated with a property such as gateposts, hitching posts, outbuildings, signage, etc. should be included in the photographic coverage. Clear photographs, which show the resource clearly, should be included in the survey report. Photographs taken out of car windows or where the resource is hidden behind vegetation are not acceptable.

::2. A Phase I archaeological survey is an intensive, systematic, investigation of the APE of the proposed project to identify any archaeological site that may be affected by the proposed project. If there is good surface visibility (e.g., a plowed field), archaeological sites may be identified by a pedestrian survey, which consists of archaeologists walking the area to examine what is exposed on the surface. If there is poor surface visibility (e.g., a pasture) the archaeologists use shovel or auger tests to look for artifacts. Shovel tests are small hand-dug holes about 12 inches wide and up to 24 inches deep, while auger tests are 8-inch diameter holes up to 6 feet deep. In most survey areas, shovel tests or auger tests will be excavated at 50 foot intervals. The excavated soil is examined for artifacts and other evidence of prehistoric or early historic archaeological sites.

::Phase II archaeological site testing will be needed if any potential National Register eligible sites are encountered in the APE that could be impacted by the proposed project. The Phase II is a limited archaeological excavation of a site to determine its significance and whether it meets National Register eligibility standards. The standard method for testing an archaeological site is the hand-excavation of test units. Test Units are usually 3 ft. x 3 ft. or 3 ft. x 6 ft. in size and are dug usually to a depth of 3 to 4 feet. These test units are excavated to search for intact artifact deposits and/or features (e.g., hearths, storage pits, hut basins, etc.) that would provide information about the people whose activities had created the site. The archaeological consultant will need to consult with SHPO and MoDOT on the proposed Phase II testing strategy before it is implemented. A Phase II investigation takes approximately 1-2 weeks per site.

:b. Reporting the results of the cultural resource survey should follow the SHPO [http://www.dnr.mo.gov/shpo/docs/MO_phase1_guide.pdf “Guidelines for Contract Cultural Resource Survey Reports”]. The standard method to submit the results is the [http://www.dnr.mo.gov/forms/780-1718.pdf SHPO Section 106 Memo]. Directions in completing this memo are provided on [http://www.dnr.mo.gov/shpo/sectionrev.htm SHPO’s website]. Additional [http://www.dnr.mo.gov/shpo/archisurvey.htm SHPO guidance on requirements for architectural surveys] is posted on the SHPO website, including [http://www.dnr.mo.gov/forms/780-2125-f.pdf the Architectural/Historic Inventory Form] that should be used for buildings that are believed to be eligible for listing on the National Register of Historic Places.

:c. The Section 106 submittal will be reviewed and commented on by SHPO. SHPO has by law 30 calendar days to respond.

::1. If no cultural resources were identified, the SHPO usually will respond “no historic resources affected.” The Section 106 process is complete and no further action is necessary.

::2. If cultural resources were identified, their eligibility for the National Register of Historic Places (National Register) must be determined.

::3. In some cases, additional field investigations and /or historical research may be required for the cultural resource professional to determine resource eligibility.

The SHPO comments only apply to the project as submitted. Any changes to the project may require a supplemental submittal to SHPO regarding these changes (e.g., project limits, significant modifications to the nature of the project, etc.). Any subsequent communication with SHPO should include the Project Number assigned by SHPO to the original submittal.

If human remains are encountered during any fieldwork, the LPA and consultants must comply with state burial laws ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194] – unmarked remains or [https://revisor.mo.gov/main/OneSection.aspx?section=214 RSMO 214] – cemeteries). This requires initially contacting local law enforcement. If the human remains are not part of a crime scene, jurisdiction of the remains and disturbance of them falls on either local courts (RSMO 214) or the SHPO (RSMO 194). Consultation with appropriate American Indian tribes should be required if the human remains are believed to be of Native Americans – either prehistoric or historic. The LPA must contact FHWA prior to any consultation with Indian tribes. FHWA, as the Federal agency, is legally responsible for the tribal consultation process. The LPA may only consult directly with an Indian Tribe if authorized by FHWA.

'''Step 2b. Determination of Eligibility'''

'''If cultural resources are present, the LPA, in consultation with SHPO and FHWA/MoDOT, determines whether a cultural resource meets the eligibility requirements of the National Register. A cultural resource professional may need to conduct additional investigations to evaluate the eligibility of some resources. The cultural resource professional will need to consult with the MoDOT Historic Preservation staff on the proposed testing plan for an archaeological site before implementing it.'''

Readily available information can often be used to determine the National Register eligibility of identified cultural resources. This information should consist of the results of the cultural resource survey, any subsequent investigations, or other available information such as pictures and available history of structures. If the adverse effects to the potentially National Register eligible cultural resource cannot be avoided by the project the National Register eligibility determination is included in the Section 106 submittal.

:a. The SHPO is requested to concur or disagree with the National Register eligibility of a cultural resource. The cultural resource professional should provide an assessment of resource eligibility.

:b. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is not eligible for the National Register, the Section 106 process is complete. No further action is necessary.

:c. If SHPO, LPA, and FHWA/MoDOT agree that a cultural resource is eligible for the National Register, a determination of effect (Step 2c) is made next.

::1. If SHPO, LPA, and FHWA/MoDOT disagree on the eligibility of a resource, the LPA should request the FHWA to contact the Keeper of the National Register of Historic Places (Keeper) for a definitive opinion. If the FHWA decides that the Keeper needs to be consulted they will provide the LPA with a list of the required documentation. This process can be lengthy (up to six months), so it should be avoided if possible.

::2. If the Keeper finds that the resource is not eligible, the LPA no longer needs to consider the project’s effects to that specific resource.

'''Step 2c. Determination of Effect'''

'''If historically significant cultural resources are present, the LPA, FHWA/MoDOT, and SHPO will determine the effect of the project on each National Register eligible property (called “historic property”). '''

The effect of a project on a historic property should be determined through consultation among the LPA, SHPO, and FHWA/MoDOT, using the criteria of adverse effects found at 36CFR800.4(1) and the examples of adverse effects found at 36CFR800.4(2). There will be a determination of either “no historic properties affected,” “no adverse effect” or “adverse effect.” The LPA will provide its opinion regarding effect along with its evaluation of eligibility to the SHPO for their concurrence. If the SHPO concurs with the LPA, this finding will be transmitted to the FHWA. If there is a disagreement among the LPA and SHPO, FHWA and MoDOT may be brought into the discussions to help facilitate an agreement.

:a. No Adverse Effect – If the finding is that the project effect is not adverse upon the historic property(ies), the Section 106 process is complete.

:b. Adverse Effect – If the project effect is adverse to the historic property(ies) (i.e., adversely affecting the characteristics that make it eligible for listing on the National Register), the LPA will consult with the SHPO on avoidance or mitigation of the adverse effect. It may be possible to redesign portions of the project to avoid adverse impacts to the historic property. The LPA will explore avoidance options, continued use, or rehabilitation of the historic property (not necessary for most archaeological sites). In addition, the public (interested parties, holders of permits, owners of affected lands, and private individuals) may be allowed to review and comment on the project, and participate in the decision-making process.

If the SHPO concurs with the results of the Section 106 Survey submittal being “no historic properties affected” or “no adverse effect to a historic property,” Section 106 compliance is completed. The date of the SHPO letter would be used as the Section 106 compliance date. If the result of the survey is “adverse effect to a historic property” the LPA precedes with Steps 3 and 4.

If the project changes after receipt of the SHPO letter with a “no historic properties affected” or “no adverse effect to a historic property” concurrence, the project must be resubmitted to the SHPO with the changes to the project identified. '''A change in the scope of the project may change the effects of the project on historic properties.'''

In instances where a project has an adverse effect, prior to continuing to the next step, the Advisory Council on Historic Preservation (Council) must be notified of the adverse effect and be invited to participate in consultation for the development of a Memorandum of Agreement (MOA). The [[media:136.6.16 2018.pdf|LPA Project Checklist for Adverse Effects]] for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) summarizes the steps the LPA must complete and which agencies will be involved in reviewing information. The LPA should complete the e106 form following the Directions, except leave Section 4 blank (see [[media:136.6.15.docx|Fig. 136.6.15, the example e106 form]]). The form should be e-mailed, along with supporting documentation to MoDOT for review. Once the form meets MoDOT approval, it will be forwarded to FHWA to be submitted to the Council, which has two weeks to respond.

The Council will become involved in consultation if the project has:

:1. Substantial impacts on historic properties, meaning that nationally significant properties or unusual properties are present or there are a large number of properties being affected by the project, including multiple properties within a historic district;

:2. They may become involved if the project presents questions about Section 106 policy or how the Section 106 regulations are interpreted;

:3. The project has the potential for presenting procedural problems. Procedural problems could include substantial public controversy, disputes among the consulting parties, likely litigation, or requests for Council involvement by consulting parties; or

:4. The project presents issues of concern to Indian tribes.

If an adverse effect cannot be avoided for certain kinds of historic properties, FHWA may determine that a Section 4(f) evaluation must be completed. Cultural resources requiring Section 4(f) evaluation are typically architectural or bridge resources, or archaeological sites that warrant preservation in place (usually mortuary sites). [http://environment.fhwa.dot.gov/4f/index.asp Section 4(f) of the Department of Transportation Act of 1966] states that a transportation project requiring the use of publicly owned land of a public park, recreation area, wildlife and waterfowl refuge, or a historic site (i.e., a “historic property” as defined by Section 106) may be approved only if:

:1) There is no prudent and feasible alternative to using that land; and

:2) The project includes all possible planning to minimize harm to the park, recreation area, wildlife and waterfowl refuge, or historic site resulting from the use.

Section 4(f) is unique to Department of Transportation projects and is a process that can take up to 12 months. The LPA should make sure it works closely with MoDOT and FHWA if there is a possibility of a need for a Section 4(f) Evaluation. Information on the Section 4(f) Evaluation process is provided elsewhere in EPG 136, however if the project is a bridge replacement and the only Section 4(f) issue is the bridge, MoDOT Historic Preservation will complete the Programmatic Section 4(f) evaluation documentation for FHWA review, using information provided by the LPA.

[[image:136.6.4.1.3.jpg|center|750px|thumb|<center>'''Portal View of the Historic Big Creek Bridge</center>''']]

===136.6.4.1.3 Step 3, Preparation of the Memorandum of Agreement===

'''If historic properties will be adversely affected by the project, the LPA will coordinate with the MoDOT Historic Preservation staff, SHPO and FHWA in preparation of a Memorandum of Agreement (MOA). Section 106 is not complete until an MOA is executed and the stipulations are completed.'''

The steps involved in developing an MOA and providing the information necessary for a Programmatic Section 4(f) Evaluation (if the adverse effect is to a historic bridge) are also detailed in the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f).

If adverse effects to a historic property cannot be avoided, a MOA will be prepared through consultation with LPA, FHWA, MoDOT, the SHPO, and other appropriate consulting parties. The MOA will document the stipulations to be carried out to mitigate the adverse effect upon the historic property(ies), including the appropriate level of documentation for the resource. If the resource is a bridge, the ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effect'' (Bridge Documentation Standards) should be referenced including the level at which the bridge will be documented. It is a legally binding agreement document that is signed by the signatory parties (usually the FHWA, SHPO and the LPA). [[media:136.6.7 2017.docx|Fig. 136.6.7]] provides an example of a MoDOT bridge MOA and the [[media:136.6.15.docx|e106 form]]. In addition, the Council provides a “model MOA” for archaeological data recovery on its website.

'''If the adverse effect is to a Native American archaeological site, the FHWA must consult with the Indian tribes with a historical interest in the project area and provide them an opportunity to participate in the consultation process.'''

:a. The MOA process is started by the LPA’s preparation and submittal of a draft MOA and the e106 form updated to include consultation that may have occurred on the project since the Council notification occurred, and an Alternatives Analysis (for bridge projects). The documents are forwarded to MoDOT Historic Preservation for review and comment.

:b. The Alternatives Analysis must include the following information (for additional information on the alternatives that must be considered, consult the [https://www.environment.fhwa.dot.gov/4f/4fbridge.asp FHWA Programmatic Section 4(f) Web-page]):

::1. A description of the purpose and need for the project;
::2. A description of the current condition of the bridge;
::3. A discussion of the do nothing alternative
::4. A discussion of the rehabilitation option for the bridge;
::5. A discussion of an alternative that would save the bridge by realigning the road to avoid the bridge;
::6. A discussion of an alternative that would relocate the bridge to another location to save it (can include discussion of the advertising efforts and their results)
::7. Rough cost estimates for the alternatives, including construction and right of way.

:c. When the MOA is satisfactory, MoDOT will inform the LPA, SHPO and FHWA that it is satisfactory. If the Council has responded, the LPA can begin the process of signing the MOA. The LPA should prepare a copy of the MOA for each signatory.

:d. If the adverse effects are to a Native American archaeological site, FHWA will provide a copy of the draft MOA and accompanying information to Indian tribes with historical interest in the project area or attach religious and cultural significance to the site to provide them the opportunity to participate in the consultation process.

:e. The LPA will send the signed MOA to the SHPO, using text similar to the [[media:136.6.17.docx|sample letter]] and copy MoDOT and FHWA on the transmittal letter. The SHPO will sign the MOA and forward it to the FHWA for execution, copying MoDOT and the LPA on the transmittal letter. The MOA is considered to be executed upon FHWA signature, who is the last party to sign the document (general signatory order is LPA, any other invited signatories, SHPO and then FHWA).

:f. Once the MOA is executed, MoDOT will prepare the Programmatic Section 4(f) evaluation for bridge projects and submit it to FHWA (see the LPA Project Process Checklist for Addressing Adverse Effects under Section 106 and “use” under Section 4(f) for further details of how Section 4(f) fits into the Section 106 process).

If Steps 3 and 4 are required, the date the MOA is executed can be used as the Section 106 compliance date when requesting authorization to proceed from MoDOT and FHWA.

===136.6.4.1.4 Step 4, Mitigation of Adverse Effect===

'''The LPA will implement and fulfill the stipulations of the MOA. Ultimately, the SHPO must concur that the stipulations of the MOA have been satisfied. '''

Following the execution of the MOA, the LPA will implement stipulations of the MOA to mitigate the adverse effects upon the historic property(ies). The following mitigation measures have been used on various projects:

'''Bridges and Architectural Resources'''

The LPA and FHWA consult with the SHPO to determine the level and kind of documentation required for the historic property during the development of the MOA: Historic American Engineering Record (HAER) documentation, Historic American Building Survey (HABS) standards, or state-level documentation, as identified in the [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf ''Levels of Bridge Documentation (State Level) for Section 106 Mitigation of Adverse Effects (Bridge Documentation Standards)'']. For most of these historic properties the state-level documentation is selected as the preferred method for recordation.

Bridges are advertised (in compliance with MAP-21) for availability and offered to interested parties for reuse in place or at an alternate location, but will be demolished if no one expresses a reasonable interest. The bridge should be advertised on MoDOT’s [http://www.modot.org/freebridges/ Free Bridges webpage] for a minimum of 60 days, which can be done in coordination with MoDOT Historic Preservation staff, as well as direct marketed to local governments, historical or preservation societies and trail groups in the area. The SHPO should be consulted regarding the agencies the bridge will be direct marketed to (this can be done as part of the MOA consultation). The transfer of ownership or demolition of the bridge occurs after the archival photographs, or the selection of photographs, has been accepted by the SHPO as adequate for the resource.

The specific HABS/HAER guidelines can be found at the [http://www.nps.gov/history/hdp/standards/guidelines.htm National Park Service’s Heritage Documentation Programs website], but the basic documentation usually includes:

::1. Copies of original plans or drawings. If copies of the original plans are not available, measured drawings may be produced at a precise scale from actual dimensions recorded in the field. Drawings may be produced either by hand or with computer-aided drafting.

::2. Large-format photographs are produced as contact prints from 4x5 and 5x7 black-and-white negatives and color transparencies. The formats allow maximum enlargement with minimal loss of detail and clarity, and the black-and-white processing allows for archival stability.

::3. Written histories place the site or structure within the appropriate context, addressing both the historical and the architectural or engineering aspects of its significance.

Bridges should be documented to the Bridge Documentation Standard designated in the MOA. Guidance for researching, describing and photographing a historic bridge can be found in [[media:136.6 How to Document a Historic Bridge for Mitigation.pdf|How to Document a Historic Bridge for Mitigation]].

:If the SHPO recommends that the historic property be documented to the state level of documentation, the following information should be provided:

::1. 8 in. X 10 in. high-resolution black-and-white digital images (>600 dpi) to fully document overall views and details of the historic property. Photographs should be taken and processed according to [http://www.nps.gov/nr/publications/bulletins/photopolicy/index.htm standards for photographs] accompanying National Register documentation, including the appropriate considerations for paper and ink. It is a good idea to identify the paper and ink used, if possible. Digital, archival standard, compact discs with all views will be provided.

::2. A historic narrative and technical descriptions for the historic property.

::3. Plans or drawings for the historic property; specifically, floor plans for the historic building if it is architecturally significant and/or a copy of the original engineering construction plans for the historic bridge.

::4. The final documentation shall be provided to the SHPO along with archival digital discs containing the TIFF images and report PDF. Additional copies shall be provided to appropriate local historical groups, and retained by the LPA. Bound copies and/or CDs of the final documentation also will be available to others upon request.

{| style="margin: 1em auto 1em auto"
|-
|[[image:136.6.4.1.4 depot.jpg|400px|thumb|<center>'''Historic Marthasville Depot'''</center>]] ||[[image:136.6.4.1.4 restored depot.jpg|400px|thumb|<center>'''Restored Historic Marthasville Depot'''</center>]]
|}

The guidelines for [http://sharepoint/sites/de/epg/Lists/EPGResponse/Attachments/243/Bridge%20Documentation%20Standards_28_May_2015.pdf State Level Bridge Documentation Standards] are available. The general standards are described below. For all state level documentation photographs taken to NRHP standards are required.

:1. Level I documentation is for major rivers and their tributaries and includes in depth documentation of the history of the bridge, including describing its planning process, how it influenced social history, commerce, and other broad patterns of history. 8X10 inch photographs, bridge plans, and a bridge description are required.

:2. Level II documentation is a moderate level of documentation for small rivers and major creeks, with no significant association with historical events. It is anticipated that most bridges will be documented at this level. Historical documentation should document the engineering and transportation significance of the bridge including the planning for the bridge. 8X10 inch photograph, bridge plans and a brief description are required.

:3. Level III documentation consists of a well-documented inventory form with citations, and will be used for bridges over small streams away from populated areas, lettered routes in rural areas, and for bridges that may contribute to a historic district but not be individually eligible. The documentation includes 8X10 inch photographs, bridge plans and a bridge description.

:4. Level IV documentation is for bridges over small streams, creeks, highways or railroad crossings, that are not individually eligible but contribute to a larger historic property, and which have a low level of integrity; it is anticipated that few bridges will qualify for this level of documentation. This documentation consists of a documented inventory form, bridge plans and 5X7 inch photographs.

'''Archaeological Sites'''

If the adverse impacts to a National Register eligible archaeological site cannot be avoided (e.g., changes in roadway alignment, fencing, and burial under roadway fill) the usual mitigation measure is data recovery (i.e. site excavation). Excavation activities are typically limited to within the project limits. The guidance outlined in the Council’s publication, [http://www.achp.gov/archguide.html ''Recommended Approach for Consultation on the Recovery of Significant Information from Archaeological Sites''], should be followed in developing an archaeological data recovery plan. If a site is excavated, a qualified archaeologist must conduct the field investigations, analyze the remains, and prepare a Phase III data recovery report. Artifacts from excavations are the property of the LPA and must be curated at an archaeological curation facility. If human remains are encountered during the excavation, SHPO must be contacted and the state burial law ([https://revisor.mo.gov/main/OneSection.aspx?section=194 RSMO 194]) will need to be followed. Notification of the human remains should also be provided to FHWA and may need to be provided to consulting Indian tribes.

In addition to the documentation materials for the SHPO and FHWA, and the National Park Service's Heritage Documentation Program for HAER and HABS, additional copies may be needed for distribution to local repositories (historical society or local library) and interested parties.

If Steps 3 and 4 are required, then the date that FHWA signed the MOA is used as the Section 106 compliance date.

==136.6.4.2 Section 4(f) of the U.S. Department of Transportation Act of 1966 and Section 6(f) of the Land and Water Conservation Fund Act (LWCFA) Properties==

Section 4(f) of the U.S. Department of Transportation Act of 1966 requires that special consideration be given to publicly owned lands, or those held under a long-term lease, that are intended for use as public parks, recreation areas, or wildlife and waterfowl refuges as well as to publicly and privately owned historic sites listed or eligible for listing on the National Register of Historic Places. Codified at 49 U.S.C. 303, Section 4(f) applies to projects that receive funding from or require approval by a Department of Transportation (DOT) agency such as [http://www.fhwa.dot.gov/ FHWA].

It is the LPA’s responsibility to establish whether the project will require the use of or impact any Section 4(f) resources. The LPA will evaluate possible use of Section 4(f) resources early in the development of a project, when various alternatives for the proposed project are being considered. Ultimately, FHWA makes all decisions regarding Section 4(f) compliance for highway projects: whether Section 4(f) applies to a property, whether a use will occur, whether a de minimis impact determination (discussed below) is made, assessment of each alternative’s impacts to Section 4(f) properties, and (after consulting with the appropriate officials who have jurisdiction) whether the law allows selection of a particular alternative.

Before FHWA approves a project that uses Section 4(f) property, either the use must be determined to be de minimis or a Section 4(f) Evaluation must be completed. If the Section 4(f) Evaluation identifies a feasible and prudent alternative that completely avoids Section 4(f) properties, that alternative must be selected. If there is no feasible and prudent alternative that avoids all Section 4(f) properties, FHWA has some discretion in selecting the alternative that causes the least overall harm. FHWA may approve the use of land (permanent or temporary) from a Section 4(f) resource '''only if''':

:1. There is no feasible and prudent avoidance alternative to the use of land from the property and

:2. The action includes all possible planning to minimize harm to the property resulting from such use.

===136.6.4.2.1 Section 4(f) for Historic Properties===

To determine the applicability of Section 4(f) to historic sites, the LPA will consult with the FHWA (through the MoDOT district and MoDOT Historic Preservation staff), SHPO, and appropriate local officials to identify all properties listed on or eligible for the NRHP. The Section 4(f) requirements apply only to NRHP-listed or eligible properties that will be adversely affected, including archaeological sites chiefly significant for preservation in place, not data recovery.

===136.6.4.2.2 Section 4(f) for Public Lands===

If the federal, state, or local officials having jurisdiction over a park, recreation area, or refuge determine that the entire site is not significant, consideration under Section 4(f) is not required. The Section 4(f) land is presumed significant without such a determination and FHWA will decide whether Section 4(f) applies. The LPA must complete the Local Public Agency Section 4(f) compliance worksheet (for parks/refuges only) found in [[media:136.6.8 2013.doc|Fig. 136.6.8]].

For federal or other public land holdings (e.g., state forests) that are managed for multiple uses under statutes permitting such management, Section 4(f) applies only to those portions of such lands that function for or are designated in the plans of the administering agency as being for significant park, recreation, or wildlife and waterfowl refuge purposes. The officials having jurisdiction over the lands determine which lands so function or are so designated, and the significance of those lands. FHWA reviews this determination to assure it is reasonable. The determination of significance applies to the entire area used for such park, recreation, or wildlife and waterfowl refuge purposes.

===136.6.4.2.3 ''De Minimis'' Determination===

A ''de minimis'' finding means that a transportation use of a Section 4(f) property will cause minimal impact to the resource after considering impact avoidance, minimization, and mitigation or enhancement measures. If FHWA determines that the use of Section 4(f) land will have no adverse effect on the protected resource and obtains written agreement to such determination from the responsible official(s) with jurisdiction over the resource, an analysis of avoidance alternatives is not required and Section 4(f) is complete. Although a ''de minimis'' impact determination does not require evaluating whether avoidance alternatives are feasible and prudent, FHWA does consider any impact avoidance, minimization, and mitigation or enhancement measures that are included in the project to address the impacts and adverse effects on the Section 4(f) resource. The purpose of taking such measures into account is to encourage incorporating Section 4(f) protective measures as part of the project. ''De minimis'' impact findings are expressly conditioned upon implementation of any measures that were used to reduce the impact to a ''de minimis'' level. The LPA is responsible for ensuring such measures are implemented.

The ''de minimis'' impact criteria for historic sites are different from those for parks, recreation areas, and wildlife and waterfowl refuges. ''De minimis'' impacts on historic sites are defined as either a “no adverse effect” determination or “no historic properties affected” in compliance with Section 106 of the NHPA. ''De minimis'' impacts relative to publicly owned parks, recreation areas, and wildlife and waterfowl refuges are those that do not adversely affect the activities, features, or attributes of the resource.

In making a ''de minimis'' impact finding, FHWA must consider the facts supporting a ''de minimis'' impact determination, the record of coordination that precedes the'' de minimis'' finding, and the concurrence of the official(s) with jurisdiction. FHWA has the ultimate responsibility of ensuring that ''de minimis'' impact findings and required concurrences are reasonable. If FHWA makes a ''de minimis'' determination, the MoDOT district contact will notify the LPA, who will need to assemble the documentation required to support the finding. [http://www.fhwa.dot.gov/hep/qasdeminimus.htm Documentation requirements] are available. The public must also be afforded an opportunity to review and comment on the effects of the project on the protected activities, features, or attributes of the Section 4(f) property see [[:Category:129 Public Involvement# 129.8 Section 4(f) Lands|EPG 129.8 Section 4(f) Lands]]”).

===136.6.4.2.4 Programmatic Section 4(f) ===

FHWA has approved five nationwide programmatic Section 4(f) evaluations. One covers federal-aid highway projects that use minor amounts of land from publicly owned public parks, recreation areas, or wildlife and waterfowl refuges. A second covers highway projects that use minor amounts of land from historic resources either listed on or eligible for the National Register of Historic Places (NRHP). The third programmatic Section 4(f) covers the use of historic bridges. The fourth is for independent bikeway or walkway construction that requires the use of recreation areas or parkland. The fifth is the net benefit programmatic Section 4(f) evaluation for projects that will use land from a Section 4(f) park, recreation area, wildlife or waterfowl refuge, or historic property and will result, in the view of FHWA and the official(s) with jurisdiction over the Section 4(f) property, in a net benefit to the 4(f) property.

The programmatic Section 4(f) documentation must demonstrate that the project meets applicability criteria for a programmatic evaluation, that avoidance alternatives have been evaluated, that no feasible and prudent alternatives exist, and that appropriate mitigation measures have been included. It must also include correspondence demonstrating that the official(s) with jurisdiction over the Section 4(f) resource agrees with the assessment of impacts and with the proposed mitigation measures. The documentation should be self-contained and self-explanatory since it will be available to the public upon request. With the exception of the programmatic Section 4(f) for historic bridges, a programmatic 4(f) evaluation cannot be used on projects requiring preparation of an EIS.

Using the nationwide programmatic evaluations can streamline the Section 4 (f) process for qualifying projects by eliminating some of the project-by-project internal review and interagency coordination. The [http://www.environment.fhwa.dot.gov/4f/4fnationwideevals.asp applicability criteria for the programmatic Section 4(f) evaluations] are available. For projects meeting the criteria, the programmatic Section 4(f) evaluation satisfies the requirements of Section 4(f) and no individual Section 4(f) evaluations need be prepared. The FHWA division office is responsible for reviewing each individual project to determine whether it meets the criteria and procedures of the programmatic Section 4(f).

===136.6.4.2.5 Section 4(f) Evaluation Process===

When adequate support exists for a Section 4(f) determination and the use of the property does not qualify for a de minimis determination or one of the nationwide programmatic Section 4(f) evaluations, the LPA will complete a Section 4(f) Evaluation. The evaluation must specifically explain why the alternatives to avoid the Section 4(f) property are not feasible and prudent and describe all measures that will be taken to minimize harm to the Section 4(f) property. Supporting information should demonstrate that there are unique problems or unusual factors involved in the use of alternatives that avoid the properties or that the cost, social, economic, environmental impacts, or community disruption resulting from such alternatives reach extraordinary magnitudes.

FHWA will review the final Section 4(f) evaluation for legal sufficiency before issuing an approval. LPAs will not proceed with any project requiring the use of Section 4(f) property and determined to be classified as a CE until notified by FHWA of Section 4(f) approval. For projects classified as EA or EIS, Section 4(f) approval is documented on a separate signature page concurrently with FHWA’s approval of the Finding of No Significant Impact (FONSI) or the final EIS. For EIS projects, the LPA should briefly summarize the Section 4(f) impacts and mitigation measures in the Record of Decision (ROD).

Circulation of a separate Section 4(f) evaluation is required when:

1. A proposed modification to the alignment or design after approval of the CE, EA, FONSI, draft EIS, final EIS, or ROD would require the use of Section 4(f) property;

2. FHWA determines that Section 4(f) applies to a property after approving the CE, EA, FONSI, draft EIS, final EIS, or ROD; or

3. A proposed modification to the alignment, design, or measures to minimize harm after the original Section 4(f) approval would result in a substantial increase in the amount of Section 4(f) land use, a substantial increase in the adverse impacts to Section 4(f) land, or a substantial reduction in mitigation measures.

If FHWA determines that Section 4(f) is applicable after approval of the CE, EA, FONSI, final EIS, or ROD, the decision to prepare and circulate a Section 4(f) evaluation will not necessarily require the preparation of a new or supplementary environmental document. Where a separate circulated Section 4(f) evaluation is prepared, such evaluation does not necessarily:

1. Prevent the issuance of new approvals,

2. Require the withdrawal of previous approvals, or

3. Require the suspension of project activities for any activity not affected by the Section 4(f) evaluation.

Detailed information on preparing a Section 4(f) Evaluation is provided in [[media:136.6.9.doc|Fig. 136.6.9]].

===136.6.4.2.6 Section 6(f) of the Land and Water Conservation Fund (LWCF) Act and Similar Grant Programs===

The Land and Water Conservation Fund (LWCF) Act provides funds for the acquisition and development of public outdoor recreation facilities. These could include community, county, and state parks, trails, fairgrounds, conservation areas, boat ramps, shooting ranges, etc. Section 6(f) of the LWCF Act places restrictions on public recreation facilities funded with LWCF monies— LWCF-assisted facilities must be maintained for outdoor recreation in perpetuity. Therefore, use of such property for a transportation project will require mitigation that includes replacement land of at least equal value and recreational utility. Section 6(f) documents are lengthy, frequently taking one to two years to process, and also require a signed Section 4(f) document to be completed.

Section 4(f) ''de minimis'' impact findings do not satisfy the requirements of Section 6(f) of the LWCF Act or other U.S. Department of Interior (DOI) grants-in-aid programs. Projects that propose the use of land from a property or site purchased or improved with funds under the LWCF Act, the Federal Aid in Sport Fish Restoration Act (Dingell-Johnson Act), the Federal Aid in Wildlife Restoration Act (Pittman-Robertson Act), or other similar law, or lands otherwise encumbered with a federal interest will require the LPA to coordinate with the appropriate federal agency regarding the agency's position on the land conversion or transfer. Other federal requirements that may apply to the Section 4(f) land should be determined through consultation with the officials with jurisdiction or appropriate DOI or other federal official. These federal agencies may have regulatory or other requirements for converting land to a different use. These requirements are independent of a ''de minimis'' impact finding and must be satisfied.

The Urban Park and Recreation Recovery (UPARR) program has provided funds toward the renovation and rehabilitation of numerous urban parks and recreation facilities. Although the UPARR funds may have been used in only a portion of a site or facility or were only a small percentage of the funds needed to renovate or rehabilitate a property, no property improved or developed with UPARR assistance can be converted to other than public recreation uses without the advance approval of the National Park Service. To be approved, a formal request for the conversion must be made by the grant recipient (urban city or county). The request must document that all alternatives to the conversion have been evaluated and rejected on a sound basis, required replacement land being offered as a substitute is of reasonably equivalent location and recreational usefulness, and the property for substitution meets the eligibility requirements for UPARR assistance.

Conversions of land funded by any of the aforementioned grant programs are tightly restricted by terms of the grant agreement and generally require lengthy coordination to meet the requirements for conversion.

==136.6.4.3 Section 404 Permits for Wetlands and Streams==

Projects that involve stream crossing(s) and/or impacts to wetlands under the jurisdiction of the U.S. Army Corps of Engineers (COE) require a Section 404 Permit or written confirmation that impacts will not trigger submittal of a Section 404 permit application. A Section 404 permit may be required for fill in any water body (waters of the U.S.)—lakes, ponds, streams, rivers, and wetlands. The COE will make a final determination as to the extent of its jurisdiction and the appropriate permit(s) for all regulated activities. If the proposed action impacts a wetland, a determination must be made that there is no practicable alternative to the wetland impact or floodplain encroachment.

The following information is required to satisfy NEPA reporting requirements as they pertain to impacts related to Section 404:

:1. A description of impacts to all streams, wetlands, and other water bodies.
:2. All coordination efforts with regulatory and resource agencies to avoid, minimize, and mitigate for impacts.
:3. Impacts of alternatives to the proposed action.
:4. Commitments and other mitigation measures for the project.

Stream and/or wetland impacts exceeding 0.5 acre or channelization beyond the minimum necessary to construct or protect the linear transportation project may require an individual permit. If the COE issues an individual Section 404 permit for project activities, the LPA must obtain an individual Section 401 Water Quality Certification from the Department of Natural Resources (DNR). For a nationwide permit (NWP), the LPA is obligated to follow the conditions specific to the appropriate NWP within DNR’s conditional 401 certifications. Most NWPs will not require an individual request for DNR’s Section 401 Water Quality Certification, because the agency has granted conditional certification for the majority of commonly used NWPs. The LPA must include the appropriate 401 certification conditions for their respective NWP(s) in the construction contract (see Item no. 3, below, for link to conditions).

The LPA should send duplicate permit applications concurrently to the COE and DNR for individual Section 404 permits/401 certifications. The COE application must be accompanied by copies of applicable permits, concurrence/clearance letters, or correspondence from resource agencies (particularly U.S. Fish & Wildlife Service for federally listed threatened or endangered species concerns under Section 7 Endangered Species Act (ESA) and the Missouri Department of Natural Resources’ State Historic Preservation Office (SHPO) for Section 106 compliance) verifying any regulatory requirements for the project. '''Section 404 permit issuance is dependent upon demonstrating compliance with other agencies’ regulatory requirements.''' This applies to both individual permits and NWPs requiring pre-construction notification. Therefore, Section 7 ESA consultation with the USFWS and Section 106 consultation with the SHPO must be complete before the COE will issue a permit or verify NWP coverage (please see EPG 136.6.4.1 and EPG 136.6.4.5 for detailed information on MoDOT’s role in ensuring ESA and Section 106 compliance on behalf of FHWA). Once the COE is ready to issue the individual permit, it will request 401 certification issuance from DNR. The LPA must include in the construction contract both the 404 and 401 permits and the conditions covered therein. A [https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/Obtain-a-Permit/ 404 permit application form] is available.
<div id="On linear transportation projects"></div>
On linear transportation projects where permanent fills impacting waters of the U.S. (not including wetlands) do not exceed 0.1 acre, there is no legal obligation to submit an application to the COE, unless one of the pre-construction notification requirements applies (see NWP descriptions and notification requirements, pages 1983-1998 of the [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf Federal Register]). If a project meets the “no pre-construction notification” condition, the LPA must provide a written statement to MoDOT verifying that permanent project impacts will not exceed 0.1 acre and upload that determination to the RER as documentation of such. If either temporary or permanent impacts to wetlands will result from project construction, then a permit submittal is required.

For impacts that exceed the nationwide permit pre-construction notification thresholds, the LPA must obtain a permit from the COE and provide it to MoDOT. In either the no pre-construction notification or the permit application submittal scenario, if NWP(s) apply, then the LPA is required to abide by all of the following conditions and include them in all contract proposals to validate the NWP(s):

1. The 32 Nationwide Permit General Conditions. The [https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-31355.pdf 2017 Nationwide Permit Conditions] define the general conditions on pages 1998-2004 (under ''C. Nationwide Permit General Conditions'').

2. The Regional Special Conditions for NWPs. The Nationwide Permit (NWP) [http://www.mvs.usace.army.mil/Portals/54/docs/regulatory/permits/2017NWP_MORegCon.pdf Regional Conditions] are available.

3. The State of Missouri Section 401 Water Quality Certification General & Specific Conditions. The [https://dnr.mo.gov/pubs/pub2815.htm State of Missouri 401 Water Quality Certification] conditions for Nationwide Permits are available.

==136.6.4.4 Channel Modification==

Channel changes alter the conditions of the natural waterway and may increase velocity of the flowing water, sometimes enough to damage the highway embankment near the stream or cause excessive scour around footings of structures. Because channel modifications may result in such outcomes, alterations should be avoided to the fullest extent practical. Where channel alterations are unavoidable, the environmental, hydraulic, legal, and geomorphic aspects involved must be evaluated. The effect on peak flow downstream and the affected flow area should be determined. Relative to Section 404 permitting, any channelization should be kept to an absolute minimum and should only be undertaken to facilitate or protect a construction project. The LPA must include justification for any channel changes in the Section 404 permit application.

1. The new channel should duplicate the existing stream and floodplain characteristics as nearly as possible, including stream width, depth, slope, flow regime, sinuosity, bank cover, side slopes, and flow and velocity distribution.

2. Channel modification may be constructed if the average channel velocity would not be increased beyond the scour velocity of the predominant soil type at the project site.

3. The COE will require individual permit authorization for projects with channel modification beyond the minimum needed to construct or protect the linear transportation project. Such modifications must be in the immediate vicinity of the project and the LPA will be required to do stream mitigation to compensate for the channel loss. This can drastically add to the cost of a project; it may require a monetary contribution to an approved stream mitigation bank/in lieu fee program or the acquisition/restoration and/or, in very limited circumstances, protection of a previously impacted stream resource.

==136.6.4.5 Threatened and Endangered Species and Migratory Birds==
{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="460px" align="right"
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|'''Threatened and Endangered Species Program Guidance Videos'''
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|[https://youtu.be/Kg3bqv3meJk Chap. 1, Overview and Background Information]
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|[https://youtu.be/jGbwlNbP5-k Chap. 2, Common Field Assessments: Bats and Birds]
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|[https://youtu.be/ZRtRSpUHNTc MDC Tutorial: Natural Heritage Review]
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|'''Threatened and Endangered Species Assessments'''
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|[[media:Fig. 136.6.18.pdf|Fig. 136.6.18, Threatened and Endangered Species Federal Aid Transportation Submittal Checklist]]
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|[[media:Fig. 136.6.19.pdf|Fig. 136.6.19, August 2018 MoDOT USFWS Threatened and Endangered Species Habitats]]
|}
Threatened and endangered (T&E) species considerations for FHWA funded projects include potential impacts to rare plants, animals, critical habitat, and natural communities (e.g., caves, prairies, karst). FHWA must document compliance with federal and state laws governing potential impacts to listed species. Project sponsors receiving federal aid are required to thoroughly investigate any impacts their projects might have on federally listed T&E species and any federally designated critical habitats.

The state of Missouri also tracks the status of over 1,100 plant and animal species that are considered rare in the state. Of these, 70 are listed as state endangered (current as of the 2019 Missouri Species and Communities of Conservation Concern publication). The state Endangered Species Law and the Missouri Wildlife Code protect state listed species. All FHWA funded projects in Missouri must also address potential impacts to state listed species.

===136.6.4.5.1 Laws and Regulations===

* The [http://www.fws.gov/endangered/laws-policies/index.html Endangered Species Act of 1973] (ESA) requires FHWA to consult with the U.S. Fish and Wildlife Service (FWS) regarding their projects and measures that can be implemented to minimize or eliminate project impacts to federally protected species and critical habitats. FHWA has designated MoDOT as the only non-federal agency that can conduct ESA Section 7 consultation on their behalf. Project sponsors must provide MoDOT with all the necessary information to document effect determinations for all federally protected species that could occur in the project area. If necessary, MoDOT will complete Section 7 consultation directly with FWS for all projects which May Affect (positively or negatively) federally listed species.

* The National Environmental Policy Act ([https://www.environment.fhwa.dot.gov/projdev/index.asp NEPA]) of 1969 (as amended) requires consideration of the physical environment for any project that uses federal funding or requires federal permits.

* The Missouri Revised Statute, Title XXXVIII, Chapter 569 (formerly CH 578, Missouri Cave Resources Act), defines prohibited actions for caves regarding trespass, vandalism, contamination, and destruction.

* The Missouri Revised Statute, Title XVI, Chapter 252, which defines the Missouri Endangered Species Law, and the Missouri Code of State Regulations, Title 3, Division 10, Chapter 4 (Wildlife Code: General Provisions) extend special protections to species that are listed as endangered in the state. The Missouri Department of Conservation (MDC) administers the Wildlife Code which pertains to permissible and prohibited actions for Missouri fish, wildlife, and plants. MDC also tracks locations of federally protected and state endangered species and species and communities of conservation concern in Missouri.

===136.6.4.5.2 Process===

The ESA requires federal agencies to evaluate every project and determine whether it could have a negative impact on any federally listed T&E species or their critical habitat. Sponsors must provide this evaluation to MoDOT for their federally funded projects and give sufficient data to justify their impact assessment for each species that could occur in the project area. T&E information should be made available to MoDOT Design Environmental Section at least 6 months ahead of Plan Submittal and Estimates (PS&E) date. Please refer to the [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]] for examples of how to assess species impacts from your federally funded project.
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|'''Additional Info'''
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|[[media:136.6.4.5.2.pdf|FHWA Feb 2015 non-fed designation letter]]
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Under the ESA, no action can be taken that will jeopardize the continued existence of any federally listed threatened or endangered species or result in the destruction or adverse modification of critical habitat for such species. If an action May Affect a federally listed species or critical habitat, FHWA and MoDOT must consult with the FWS to determine how to eliminate or minimize those impacts.

====136.6.4.5.2.1 Sponsor Responsibilities====
The sponsor must submit via the Request for Environmental Review (RER) database the completed T&E assessment package in timely manner to allow a reasonable amount of time to obtain clearance for T&E requirements and consultation, which in some case could take up to 6-8 months. Please refer to [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]], to find the appropriate information to be submitted. NOTE: Threatened and Endangered Species clearance is now required by Missouri FHWA prior receiving NEPA classification approval. (See [[LPA:136.8 Local Public Agency Land Acquisition|EPG 136.8 Local Public Agency Land Acquisition]]).

[[image:127.7.2.jpg|center|800px|thumb|<center>'''Missouri is home to 14 species of bats. Three of these species are federally protected and call Missouri caves and forests home. Occasionally, they also call our infrastructure “home”, at least temporarily. Bats can form colonies on or in bridges or use them as temporary day or night roosts, sleeping during the day, or stopping over at bridges to rest at night while feeding. Only one of these photos shows bats in a “natural” habitat; the top left photo is of Indiana bats clustering in a cave, which would be during winter hibernation. The rest are all photos of bats, even federally protected species, taking advantage of the cracks and crevices in our bridge structures. Take care to check bridges for signs of bat use prior to bridge rehabilitation or replacement projects. If you do ever see bats utilizing bridges, please do not disturb them and report the occurrence to the Environmental Staff at MoDOT. </center>''']]

It is up to the sponsor to produce a written evaluation of their project's impacts on each listed species. The sponsor must demonstrate a basic understanding of the habitat requirements for each species from the FWS official project species list and assess if the same habitat exists in the project area. MoDOT has provided example habitat descriptions for the sponsor to use in evaluating project impacts ([[media:Fig. 136.6.19.pdf|Fig 136.6.19]]). If there is suitable habitat in the project limits, then the project May Affect listed species. The sponsor or their consultant should submit the full project limits, easements, right-of-way, utilities, staging, storage, temporary crossing, and access and ground disturbance information along with aerial photos, plans (if available) and diagrams of the full project impacts.

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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.2.1.jpg|center|720px]]
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The sponsor may be asked to provide additional detailed information about the project which may include contracting for additional species and habitat surveys. The sponsor and/or the consultant may need to work with MoDOT environmental staff to determine measures that could be implemented to minimize the project’s impacts on T&E species. It is important that the sponsor, and not just the consultant, be involved in this process to ensure that suggested changes to the project are feasible and will be implemented. Any measures to minimize or eliminate impacts to T&E species must become contract commitments (i.e., job special provisions, design modifications, plan notes, etc.).

====136.6.4.5.2.2 Environmental Section Responsibilities====
Upon receiving a completed T&E submittal from the LPA sponsor or their consultant (refer to steps in the [[media:Fig. 136.6.18.pdf|T&E Checklist]]), MoDOT environmental staff will review the project details and impact evaluations from the sponsor and provide a written determination of effect for all listed species. This documentation may be in agreement with or in addition to the sponsor’s evaluation. Official effect determinations must be documented in the permanent NEPA record. MoDOT environmental staff will also specify what actions need to occur to address any environmental issues and who needs to perform those actions (the sponsor or MoDOT). MoDOT will handle all coordination with the FWS to obtain any necessary clearances.

If the sponsor determines and MoDOT agrees that there will be No Effect on listed species or their suitable habitat, then the ESA requires no further coordination at that time. In the RER, MoDOT will document that the project is clear of any T&E species constraints. If any measures or modifications are necessary to achieve a No Effect determination, these will become commitments during the NEPA decision making process and require follow-through for compliance.

If it is determined that a federally listed T&E species, suitable habitat, critical habitat, or other federally protected resource is present or is likely to occur within the project limits and the action may affect a listed species or federally designated critical habitat, FHWA and MoDOT are required to complete ESA consultation with the FWS. The ESA describes two types of consultation, formal and informal. Formal consultation is required when there will be an Adverse Effect on a listed species or Adverse Modification of federally designated critical its habitat. It is rarely necessary, and therefore it is not covered in detail here. Should formal consultation become necessary, FHWA, MoDOT, and the sponsor would work through the process together.

=====136.6.4.5.2.2.1 Informal Consultation=====
Informal consultation is conducted when a T&E species, suitable habitat, or critical habitat is present or likely to occur in the proposed project area and MoDOT on behalf of FHWA has determined that the project “may affect, but is not likely to adversely affect” (NLAA) the species. Informal consultation can only be completed if FHWA and MoDOT can provide data to show that they have removed all potential for the project to have an adverse effect on the species or its critical habitat. As the designated non-federal representative of FHWA, MoDOT environmental staff submits project details, species assessments, and effect determinations to FWS justifying that the project is not likely to adversely affect the species and request written concurrence. The justification for this submittal is taken from the sponsor’s evaluation of the project impacts. It may be necessary for the sponsor to conduct additional surveys, commit to seasonal restrictions, or modify the design of the project to avoid or minimize impacts to listed species. Commitments made during consultation must be followed to be in compliance with federal laws. All T&E commitments must be included in the NEPA documentation and attached to the RER. Once the documentation is submitted to the FWS, they usually respond within 30 days. If they concur with the NLAA determination, and the sponsor has committed to conservation measures which will be implemented for the project, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance. If FWS does not concur with that determination, then either additional clarification and protection measures may be needed or formal consultation is necessary. Informal consultation with the FWS should begin three to six months prior to Plans, Specs, and Estimates (PS&E) to allow time to complete the process and avoid project delays.

=====136.6.4.5.2.2.2 Range-wide Programmatic Informal Consultation for Indiana Bat and Northern Long-eared Bat Only=====
Your project may qualify for consultation under a programmatic agreement for summer bat habitat impacts if certain conditions can be met. The FWS and FHWA entered into an agreement for streamlining consultation for projects that are NLAA Indiana and northern long-eared bats. [http://www.fws.gov/midwest/endangered/section7/fhwa/index.html More information about this programmatic consultation agreement] is available.

Generally, if suitable summer bat habitat is present in the project limits, trees to be removed for the project are entirely within 100 ft. of the existing road, and the sponsor commits to seasonal tree clearing (i.e. clearing suitable bat habitat only between November 1 and March 31) then the project likely qualifies for programmatic consultation. The justification for this assessment is taken from the sponsor’s evaluation of the project impacts. It will be necessary for the sponsor to commit to seasonal tree clearing restrictions. MODOT environmental staff will submit documentation to FWS describing project details and verifying the project meets the programmatic consultation criteria. Once submitted to the FWS, they have 14 days to ask for additional information. If there is no comment during that time, the project has automatic concurrence for Indiana and northern long-eared bat impacts. If “No Effect” determinations are made for all other species, then Section 7 ESA consultation is complete and MoDOT will notify the sponsor with environmental clearance.

===136.6.4.5.3 Migratory Birds===

Sponsors could encounter the nests of bird species protected by the [https://www.fws.gov/laws/lawsdigest/migtrea.html Migratory Bird Treaty Act of 1918] (MBTA) while conducting bridge repairs and replacements. Several bird species protected by the Act commonly construct their nests on the underside of bridge decks and on the substructure. These most often include cliff swallows, barn swallows, Eastern phoebes, and American robins. Cliff swallows build their gourd-shaped mud nests in colonies, sometimes containing hundreds of nests. Often, these nests are found on bridges over water but they can also occur on bridges over major highways and railroads, particularly if the bridge is in a floodplain or near permanent water. Barn swallows also build mud nests, but they are cup-shaped and not enclosed like cliff swallows. They will also nest in colonies, but usually these are much smaller than those of cliff swallows.

[[image:136.6.4.5.3.jpg|center|700px|thumb|<center>'''Cliff swallows under a concrete bridge over a stream. This species generally nests in colonies of several birds, building their own nests in a matter of days from mud pellets. Once eggs are laid in a nest, it would be a violation of the Migratory Bird Treaty Act to destroy the nest and its eggs, young birds, or adults without a permit. The general breeding dates for this species in Missouri is April 1 through July 31, however, they could nest before and after those dates. Cliff swallows can brood multiple clutches (groups of eggs) during a single breeding season.'''</center>]]

Eastern phoebe and American robin nests are frequently found on smaller bridges over small rivers. Usually they are on the top of substructure steel components and near the abutments. They are not colony nesters but sometimes 3 or 4 nests can be found on a single bridge. Other MBTA-protected species can also be found nesting on bridges, but they are not common. Several bird species that are not protected by the MBTA are often seen nesting on bridges. These include pigeons (rock doves), European starlings, and house sparrows. These species are all non-native introductions to the US and therefore, they are not protected by the MBTA.

====136.6.4.5.3.1 Laws and Regulations====
The Migratory Bird Treaty Act of 1918 makes it illegal for anyone to take, possess, import, export, transport, sell, purchase, barter, or offer for sale, purchase or barter any migratory bird, or the parts, nests or eggs of such a bird except under the terms of a valid permit issued pursuant to Federal regulations. The migratory bird species protected by the act are listed in [https://www.fws.gov/migratorybirds/pdf/policies-and-regulations/MBTAListofBirdsFinalRule.pdf 50 CFR 10.13]. "Take" refers to killing adults, eggs or young of the bird species protected by the act.

====136.6.4.5.3.2 Process====
All projects that involve impacts to the underside of bridge decks, the substructure, or concrete box culverts should be checked for the presence of nesting birds. For LPA projects, the project sponsor or their consultant is expected to perform the inspection and report it on the Request for Environmental Review (RER) and [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]].

Inspections should take place within a year of the anticipated letting date. The checklist notes additional requirements for documenting bridge inspections. If no nests are noted, the project will be cleared and nothing further is required. If nests are noted, a Job Special Provision will need to be placed in the contract that provides guidance on how to avoid violating the MBTA. Often, removal of the old, inactive nests (those without eggs or young) before the project starts, and maintenance of the bridge in a nest-free condition until construction, is necessary. Nest removal should be done in the non-breeding season. Generally speaking, the assumed active breeding season for the majority of the birds that would use bridge and culvert structures as habitat is between April 1 and July 31. However, these are just general dates and no active bird nests should be disturbed without a permit, even outside of these dates.

[[image:136.6.4.5.3.2.jpg|center|475px]]

=====136.6.4.5.3.2.1 Sponsor Responsibilities=====
The Sponsor is responsible for reporting any nests known to be present on the structure when submitting the RER and on the LPA Environmental T&E Checklist (see excerpt below). If nests are present, a JSP for avoidance will be used and must be followed.

{|style="padding: 0.3em; margin-left:7px; border:2px solid #a9a9a9; text-align:center; font-size: 95%; background:#f5f5f5" width="800px" align="center"
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|'''Excerpt from [[media:Fig. 136.6.18.pdf|Fig. 136.6.18 LPA Environmental T&E Checklist]]'''
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|For supplemental instructions, see [[#136.6.4.5 Threatened and Endangered Species and Migratory Birds|MoDOT T&E Program Guidance videos]].
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|[[image:136.6.4.5.3.2.1.jpg|center|720px]]
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=====136.6.4.5.3.2.2 Environmental Section Responsibilities=====

During RER reviews, the MoDOT Environmental Specialist will review the project description, plans, photos, and written assessments and determine if the project has the potential to harm protected species. MoDOT will confirm with the sponsor the JSP will be used prior to clearing the Migratory Bird review on the RER. If a project is already under construction, and nests are noted on the bridge, MoDOT will assist in determining if the nests are active, if they belong to an MBTA-protected species, and to provide the sponsor with options to avoid violations of the MBTA.

==136.6.4.6 Base Floodplain and Regulatory Floodway==

Floodplains provide a number of important functions in the natural environment—creating wildlife habitat, providing temporary storage of floodwater, preventing heavy erosion caused by fast-moving water, recharging and protecting groundwater, providing a vegetative buffer to filter contaminants, and accommodating the natural movement of streams. Executive Order 11988—Floodplain Management, Federal Highway Administration (FHWA) policy and procedures in 23 CFR 650, and other federal floodplain management guidelines direct agencies to evaluate floodplain impacts for proposed actions.

Floodplains can be described by the frequency of flooding that occurs. With Executive Order 11988, the base, or one percent annual chance, flood was formally adopted as a standard for use by all federal agencies. The base flood is the flood that has a one percent chance of being equaled or exceeded each year. Thus, the base flood can occur more than once in a relatively short period of time. The base flood is commonly labeled the “one percent flood” and often inappropriately referred to as the “100-year” flood. Larger floods may, and often have, occurred but the one percent flood is the generally accepted regulatory standard.

The National Flood Insurance Program (NFIP) uses the base flood as the standard for floodplain management and to determine the need for flood insurance. When available, NFIP flood hazard boundary maps and flood insurance studies for the project area are used to determine the limits of the base (1%) floodplain and the extent of encroachment (an action within the limits of the base floodplain). The base floodplain is the area of one percent flood hazard within a county or community—that is, the area in which the flood has a one percent chance of being equaled or exceeded in any given year.

The regulatory floodway is the area of a stream or river channel plus any adjacent floodplain areas that must be kept open to convey floodwaters from the base flood without increasing the height of the flood more than a certain amount. Federal Emergency Management Agency (FEMA) restrictions do not allow projects to cause any rise in the regulatory floodway and no more than a one-foot cumulative rise may result from all projects in the base (1%) floodplain. [[media:136.6.10.doc|Fig. 136.6.10]] illustrates the various elements of a typical floodplain.

The LPA provides information on the LPA Request for Environmental Review (RER) form regarding community participation in the NFIP and whether the project is located in a Special Flood Hazard Area (SFHA). The SFHA is the land area covered by the floodwaters of the base flood on NFIP maps and where the NFIP's floodplain management regulations must be enforced. A current list of communities for which FEMA Flood Insurance Studies have been performed is available in the [http://www.fema.gov/national-flood-insurance-program/national-flood-insurance-program-community-status-book National Flood Insurance Program Community Status Book]. [http://www.fema.gov/cis/MO.pdf Missouri-only data] is also available. If the project is located in a community or county that has not been mapped, the LPA notes this. If the community has been mapped, the LPA identifies whether the project is located in the 100-year floodplain and/or regulatory floodway.

The MoDOT district contact will inform the LPA of the need to obtain a floodplain development permit ([http://sema.dps.mo.gov/programs/floodplain/documents/floodplain-develoment-permit.pdf Fig. 136.6.11 LPA Floodplain Development Permit Application]) from the local floodplain administrator or whether, for projects proposed within regulatory floodways, the LPA must obtain a “no-rise” certificate before a Floodplain Development Permit is issued. To find contact information for your local floodplain administrator, use the menu or map feature under Local Floodplain Administrator on the [http://www.sema.dps.mo.gov/programs/floodplain/ State Emergency Management Agency website]. [http://sema.dps.mo.gov/programs/floodplain/documents/no-rise-certification.pdf Fig. 136.6.12] contains the Engineering "No-Rise" Certification form and [[media:136.6.13.doc|Fig. 136.6.13]] describes Procedures for “No-Rise” Certification for Proposed Development in the Regulatory Floodway.

LPAs that participate in the NFIP must ensure that floodplain developments meet the NFIP regulations identified in [https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml Title 44, Code of Federal Regulations], Parts 59 through 78. (Parts 59 and 60 contain the most applicable information for a typical project.) The LPA, with assistance from the local floodplain administrator, is responsible for ensuring that FEMA NFIP requirements are met. The LPA is also responsible for obtaining all required certifications before construction begins. The LPA should note that if a project requires a Clean Water Act Section 404 permit, the floodplain development permit cannot be issued until the 404 permit is issued by the US Army Corps of Engineers ([https://www.govinfo.gov/content/pkg/CFR-2017-title44-vol1/xml/CFR-2017-title44-vol1-part60.xml 44CFR60.3a]). Issuance of the 404 permit is also dependent on other applicable clearances such as Section 106 of the National Historic Preservation Act and Section 7 of the Endangered Species Act. Additionally, because the NFIP requirements may control the hydraulic design of the project, the LPA is advised to investigate this in the early stages of the project.

For the convenience of LPAs and engineers, [http://msc.fema.gov/portal FEMA Flood Insurance Studies and flood maps] pertaining to a project site can be viewed by selecting “Flood Insurance, Flood Maps, and/or All Flood Information.” Hardcopies of the FEMA Flood Insurance Studies and Flood Maps can also be ordered through the same site.

==136.6.4.7 State Emergency Management Agency (SEMA)/Federal Emergency Management Agency (FEMA) Buyout Lands==

The Flood Disaster Protection Act of 1988 (The Stafford Act), under Section 404, identified the use of disaster relief funds for the Hazard Mitigation Grant Program (HMGP), including the acquisition and relocation of flood-damaged property. The Volkmer Bill further expanded the use of HMGP funds under Section 404 to “buy out” flood-damaged property that had been affected by the Great Flood of 1993.

These FEMA buyout properties have numerous restrictions. No structures or improvements may be erected on these properties unless the improvements are open on all sides. The site can be used only for open space purposes and must remain in public ownership. These conditions and restrictions (among others), along with the right to enforce same, are deemed to be covenants running with the land in perpetuity and are binding on subsequent successors, grantees, or assigns. Any project decision involving a FEMA buyout property should consider that it may take two to three years to obtain an exemption from FEMA to use this parcel, and if allowed, the exemption would likely be a permanent easement rather than a transfer of property.

==136.6.4.8 Stormwater and Erosion Control==

Provisions of the federal Clean Water Act (CWA) and related state rules and regulations require stormwater permits for construction activities that disturb areas of one acre or more. Prior to initiation of any federal-aid project, the LPA needs to determine the acreage that will be disturbed. If less than one acre is disturbed, the LPA is exempt from the requirements of the CWA National Pollutant Discharge Elimination System (NPDES) program permits and DNR permit applications. However, there may be other state or local ordinances that must be addressed and the LPA should inquire whether there are local rules and regulations that govern clean water guidelines. Even if a NPDES permit is not required and there are no local clean water guidelines, the LPA must still develop and adhere to a site specific erosion control plan for ANY ground disturbance. If more than one acre is planned to be disturbed, documentation shall be provided in the NEPA document for the project and a commitment to obtain and comply with pertinent NPDES permits shall be listed in the NEPA commitments.

'''Permit for Land Disturbance'''

Missouri Department of Natural Resources (DNR) is Missouri’s regulating agency for environmental compliance. DNR issues land disturbance permits for projects one acre and greater to ensure compliance with the CWA and Missouri’s Clean Water Law. LPA’s will be required to obtain a land disturbance permit from DNR for any applicable project, unless a general operating permit exists for the entity. A few cities (Kansas City, Columbia, and others) and counties have obtained their own land disturbance permits from DNR for generic land disturbance purposes. In these areas, the LPA (city or county government) has its own restrictions and erosion control guidelines to meet the intent of its program. If one acre or more will be disturbed, the LPA should determine whether its city or county is operating under a DNR-approved program. If so, the local government jurisdiction will impose appropriate erosion controls.

When a project will disturb one acre or more and the city or county does not have a DNR-approved stormwater program, the LPA must obtain a permit from DNR and provide documentation that this commitment was completed. The LPA must develop a Stormwater Pollution Prevention Plan (SWPPP) for the project and a site-specific erosion control plan. [http://cfpub.epa.gov/npdes/stormwater/swppp.cfm Some example SWPPPs] are available. The LPA will need to contact the DNR NPDES Water Pollution Control Program office (573-751-1300 or 800-361-4827) for further directions. The LPA is responsible for providing a temporary erosion control plan to be included with the final plan submittal if any amount of acreage is to be disturbed. The plans will detail the types of temporary erosion and sediment control best management practices (BMPs) to be used and where the items will be installed. Further information on design criteria can be found in [[:Category:806 Pollution, Erosion and Sediment Control|EPG 806 Pollution, Erosion and Sediment Control]].

For information on temporary stream crossing pipes and construction, see [[806.8 Storm Water Pollution Prevention Plan (SWPPP)|EPG 806.8 Storm Water Pollution Prevention Plan (SWPPP)]].

'''Individual State Operating Permit for TS4'''

MoDOT has an individual permit (from MDNR) that applies to stormwater (TS4 Permit MO-0137910). If you are inside the limits of a regulated MS4 area, you must adhere to the MS4 requirements as defined in the respective MS4 permit specific to that municipality. Additionally, if you are discharging to a watershed subject to an approved and effective Total Maximum Daily Load (TMDL) that MoDOT is assigned a Waste Load Allocation (WLA) or discharging to an Outstanding National or State Resource Water, directly or through MoDOT’s drainage system (e.g., ditches and stormwater conveyance systems), runoff must be treated for water quality and/or quantity before entering MoDOT’s drainage system. If the project’s land disturbance is 1 acre or more and entirely on MoDOT right of way, you must comply with [[127.29 Storm Water|MoDOT’s TS4 permit]].

==136.6.4.9 Borrow Sites and Other Land Disturbance Activities Outside Right of Way==

Borrow/spoil sites, staging areas, haul roads, and/or burn pits may be located outside the project footprint and therefore were not previously addressed by the NEPA document and other environmental approvals for the project. The LPA is responsible for ensuring that the contractor obtains all necessary environmental clearances for borrow sites and other land disturbance areas—including off-site locations used to deposit excess material or for haul roads. To eliminate possible delays, the LPA should specify in the engineering services contract that a proposed borrow site be investigated. The LPA will provide clearance documentation to the MoDOT district contact. Procedures for environmental clearance of borrow sites and other land disturbance activities outside right of way is available at [[127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations|EPG 127.27 Guidelines for Obtaining Environmental Clearance for Project Specific Locations]].” This information is also available through the MoDOT district contact.

The requirements of [[#136.6.4.1 Section 106 (Cultural Resource) Compliance |Section 106 of the National Historic Preservation Act]] apply to all areas of land disturbance. The LPA must complete the [http://www.dnr.mo.gov/forms/780-1027-f.pdf State Historic Preservation Office's Section 106 Project Information Form] and submit it to DNR. The LPA will provide written certification to the MoDOT district contact that the proposed site of land disturbance has been cleared of environmental concerns under all applicable federal and state laws and regulations. These include but are not limited to the Clean Water Act; Section 4(f) of the Department of Transportation Act; the Endangered Species Act; the National Historic Preservation Act; the Farmland Protection Act; Resource Conservation and Recovery Act; Comprehensive Environmental Response, Compensation, and Liability Act; and RSMo Chapter 194, Section 194.400, Unmarked Human Burial Sites. Certification must include all clearance letters and other evidence of coordination with the appropriate regulatory agencies.

==136.6.4.10 Hazardous Waste==

A number of laws and regulations deal with hazardous waste and both underground and aboveground storage tanks. Properties containing hazardous and non-hazardous solid wastes are frequently encountered in new right-of-way acquisitions. Some properties with extensive contamination and legal liabilities may warrant avoidance. For most sites, however, early identification and planning will allow selection of feasible alternatives with incidental costs. In addressing hazardous and solid wastes, the goals are to avoid unacceptable cleanup cost and legal liability and comply with federal and state laws and regulations regarding cleanup. The most common type of hazardous waste site encountered is a petroleum underground storage tank (UST) site. LPAs shall evaluate proposed corridors for hazardous and solid waste sites by conducting a thorough database search and a field check (if necessary). Possible sources include:

:* [http://cfpub.epa.gov/supercpad/cursites/srchsites.cfm Federal Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)]

:* [http://www.dnr.mo.gov/env/hwp/registry-log.pdf DNR Confirmed Abandoned or Uncontrolled Hazardous Waste Disposal Sites in Missouri]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Generators List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/index.htm DNR Missouri Hazardous Waste Treatment, Storage, and Disposal Facilities List], select Missouri Commercial Hazardous Waste Facilities, List--PUB968

:* [http://www.dnr.mo.gov/env/swmp/facilities/sanlist.htm DNR Solid Waste Facilities List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Registered Underground Petroleum Storage Tank List]

:* [http://www.dnr.mo.gov/env/hwp/downloads/hwpet.htm DNR Leaking Underground Storage Tank List]

:* [http://www.pstif.org/ Petroleum Storage Tank Insurance Fund], select Tank Sites tab

:* [http://www.nrc.uscg.mil/nrchp.html National Response Center Hotline], select Services, then query/download and select Standard Reports to run query

:* [http://www.epa.gov/enviro/ EPA Envirofacts], under Other Sites of Interest select Enviromapper

:* Other lists as appropriate.

Coordination with the Environmental Protection Agency (EPA) and DNR will help to determine liability, regulatory requirements, and potential cleanup costs. The potential to encounter unknown wastes from sites not identified through database and/or site reviews by the LPA should always be a consideration. Any unknown sites that are found during project construction shall be handled in accordance with federal and state laws and regulations. Any agency coordination, known hazardous waste site boundaries, and any measures taken to avoid, minimize or mitigate impacts to those areas must be included in the NEPA document. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate.

===136.6.4.10.1 Renovation and Demolition of Structures===

All structures, including bridges, that will be renovated or demolished must be inspected for asbestos. The reports from these hazardous waste inspections MUST be included in the bid proposal. Demolition or renovation is a three-step process under the asbestos regulations. All structures that meet the criteria as described above must be inspected by an Asbestos Building Inspector. Following the inspection, regardless of whether asbestos is present or not, an Asbestos Demolition Notification shall be made to DNR no fewer than 10 working days prior to beginning the project. If regulated amounts of asbestos are present, an Asbestos Project Notification must also be submitted and an Asbestos Post-Notification must be filed after the work is completed. If abatement is necessary, a certified Contractor Supervisor must be present and a licensed asbestos abatement contractor must do the abatement. Useful links for information on asbestos regulations include:

:* The [http://www.dnr.mo.gov/env/apcp/asbestos.htm main Asbestos Information page]
:* [http://www.dnr.mo.gov/pubs/pub2157.pdf Asbestos Requirements for Demolition and Renovation Projects tech bulletin]
:* [http://www.dnr.mo.gov/forms/780-1226-f.pdf Asbestos Project Notification]
:* [http://www.dnr.mo.gov/forms/780-1923-f.pdf Asbestos Demolition Notification]
:* [http://www.dnr.mo.gov/forms/780-1225-f.pdf Asbestos Post-Notification]
:* [http://www.dnr.mo.gov/ MO DNR] contact: Senora Cressman, Environmental Specialist, office (573) 522-9936, cell (636) 432-8083, fax (573) 751-2706.

===136.6.4.10.2 Painting Bridges and Demolition of Painted Structures===

Painted surfaces of bridges and structures often contain heavy metals such as lead, chromium or barium that are regulated as hazardous waste under federal and state law. MoDOT has entered into a Memorandum of Understanding (MOU) with the Department of Health and Senior Services (DHSS) that stipulates certain requirements for lead abatement contractors. The contractor requirements involve any testing or identifying of lead-based paint on the surface of structures, determining whether a painted structure is a lead-hazard because of deteriorated paint, and performance of lead abatement activities. Specific requirements for LPA projects include:

:1) All contractors and subcontractors performing lead abatement activities must be licensed as Missouri lead abatement contractors. Additionally, employees of the contractors performing lead abatement activities are required to be licensed as Missouri lead abatement supervisor(s) and/or workers,
:2) the project sponsor shall provide notification to DHSS through the submittal of a ''lead abatement project funding agency notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects, and
:3) the contractor shall also provide notification to DHSS through the submittal of a ''lead abatement project notification form'' that is required to be submitted 10 days prior to the onset of lead abatement projects.

Both the [http://www.modot.mo.gov/business/contractor_resources/LeadPaintActivities.htm MOU and contractor information for lead work activities] are available. [http://www.health.mo.gov/safety/leadlicensing/ Application forms, licensing information and training schedules] are also available.

Painted structures shall be tested prior to painting and demolition to determine proper disposal for the waste generated during the project. The inspection reports MUST be included in the bid proposal. The test results for heavy metal analysis shall be included in the NEPA document, along with the identification of the need to handle and dispose of the material as a hazardous waste. Any work not completed during the NEPA stage must be carried forward as a commitment for construction as appropriate. Note that the information provided herein is not inclusive and LPAs must follow all applicable federal and state laws for these activities.

'''Bridge Painting '''

Wash water and wipes used to clean bridge surfaces prior to painting must be collected and tested to determine whether they are regulated as hazardous waste. If it fails, it must be handled in accordance with federal and state law. Wash water that is not hazardous waste must still be collected and disposed at a Publicly Owned Treatment Works or a National Pollutant Discharge Elimination System (NPDES) permit must be obtained for discharge.

Blast residue must be collected and tested to determine whether it is regulated as a hazardous waste. Bridges with lead-, chromium-, or barium-based paint (or other regulated metals), must be handled as a hazardous waste and transported by a licensed hazardous waste transporter to a permitted Treatment Storage and Disposal (TSD) facility. Hazardous Waste Summary reports must be submitted to the Department of Natural Resources (DNR) for assessment of fees and taxes.

'''Painted Block and Brick in Structures to be Demolished '''

When a building or structure (including bridges) that is to be demolished contains block and brick that is painted, the painted surfaces should be tested for regulated heavy-metal-based paint to determine whether the material can be used for clean fill. As previously described above in the first paragraph of EPG 136.6.4.10.2, for any lead testing activity the contractor must be licensed as a lead abatement contractor and the contractor must provide the proper notification(s) to DHSS. All other demolition debris must be disposed in a demolition landfill. If a demolition landfill is not available, a permitted solid waste landfill can accept it. The levels of certain metals that are acceptable for use as clean fill are listed in the [http://www.dnr.mo.gov/env/swmp/docs/cleanfill09.pdf DNR Tech Bulletin on Painted Block and Brick].

Also refer to ''Missouri Standard Specifications For Highway Construction'' [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 1081] on bridge painting and [http://www.modot.org/business/standards_and_specs/SpecbookEPG.pdf#page=14 Sec 202] on demolition.

==136.6.4.11 Farmland Protection Policy Act==

The Farmland Protection Policy Act (FPPA) mandates that agencies identify and take into account the adverse effects of federal projects on farmland. The act requires all federally funded projects to be assessed for the potential conversion of farmland to non-farming purposes. LPAs shall assess the impact of their projects in cooperation with the local Natural Resources Conservation Service (NRCS) office.

If the project requires no additional right of way, farmland assessment is not necessary. When additional right of way is needed, if it is located within city limits and the affected land is entirely developed for uses other than agriculture (e.g., within city limits), the LPA may document this in their files and no further action is required. If it is outside of established city limits, the LPA must complete a [[Media:127.11 Form AD 1006.DOC|Form AD-1006 Farmland Conversion Impact Rating]] (or for corridor type projects [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] and forward it along with the preliminary layouts to the NRCS for agency review.

Forms can also be obtained from the NRCS and may be reproduced. The LPA completes Parts I and III, showing the acreage of new right-of-way and borrow areas, and submits three copies to NRCS. The submittal should request NRCS to fill out Parts II, IV, and V. NRCS assistance in filling out Part VI can also be requested, if desired. The LPA shall also ask NRCS to advise whether any land considered to be farmland is subject to any state or local government policy or programs to protect farmland.

The LPA must complete the form after NCRS returns it. If the total rating exceeds 160 points, the FPPA mandates further consideration of protection. Using the bottom portion of Form AD-1006 labeled “Reason for Selection,” the LPA will document why this site was selected over the other alternative sites and submit one copy of the form along with the preliminary layout. This completes the processing. Under present directives, the LPA will have satisfied the requirements by considering the impact of converting any farmland to non-agricultural use and submitting the completed form. If the project is classified as other than a categorical exclusion, the completed form must be included in the EIS or EA.

==136.6.4.12 Community Impact Assessment (Social/Economic/Environmental Justice)==

[http://www.fhwa.dot.gov/environment/environmental_justice/overview/ Title VI of the Civil Rights Act of 1964 and Executive Order (EO) 12898 on Environmental Justice] apply to all programs and activities of federal-aid recipients, subrecipients, and contractors whether the programs and activities are federally funded or not. Environmental justice should be considered in all project development decisions regardless of the NEPA classification.

Compliance with Title VI and EO 12898 during the NEPA process includes fully identifying social, economic and environmental effects; considering alternatives; coordinating with agencies; involving the public; and utilizing a systematic interdisciplinary approach. Potential impacts to the human environment should drive the transportation decision-making process as much as potential impacts to the natural environment and comparable consideration is to be given to both impacts to the natural and human environment. The final decisions on any proposed project on any federal-aid system are to be made in the best overall public interest, taking into consideration the need for fast, safe and efficient transportation, public services, and the costs of eliminating or minimizing possible adverse economic, social, and environmental effects. Compliance with EO 13166 on Limited English Proficiency should also be considered.

Community impact assessment is key to avoiding the potential for discrimination or disproportionately high and adverse impacts. The LPA will provide a brief description of impacts, if any, to minorities, low-income populations, and the community in general. Most projects will be small and will have minimal to no impacts. If there are any commercial or residential displacements, the following text must be included in the NEPA documentation:

:The acquisition and relocation of affected residential and commercial properties will be conducted in accordance with the relocation procedures established in the Uniform Relocation Assistance and Real Property Acquisition Policies Act (referred to as the Uniform Act) of 1970, as amended. The Uniform Act and Missouri state laws require that just compensation be paid to the owner(s) of private property taken for public use. The Uniform Act is carried out without discrimination and in compliance with Title VI (the Civil Rights Act of 1964), the President’s Executive Order on Environmental Justice, and the Americans with Disabilities Act.

The LPA must provide relocation services to all impacted households without discrimination under guidance of the Uniform Act. Additional information concerning [http://www.fhwa.dot.gov/environment/environmental_justice/ej_at_dot/ environmental justice] and [http://www.fhwa.dot.gov/environment/community_impact_assessment/index.cfm community impact assessment] is available.

Guidelines regarding public involvement can be found in [[:Category:129 Public Involvement|EPG 129 Public Involvement]]. These guidelines are not to be viewed as all-inclusive. Instead, they outline the minimum level of expectations for public involvement, with each individual effort matching the specific needs of the project and the community involved. Public involvement efforts based on environmental document type can be found in [[:Category:129 Public Involvement#129.4 Public Involvement Based on Environmental Document Type|EPG 129.4 Public Involvement Based on Environmental Document Type]]. Documentation is key and any outreach must be documented in the project files and the Request for Environmental Review (RER).

==136.6.4.13 Noise Standards and Noise Abatement==

Federal legislation in 1970 authorized the use of federal-aid highway funds for measures to abate and control highway traffic noise. MoDOT has a federally approved [[127.13 Noise|traffic noise policy]] to define and conform to the requirements of [http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=ae7cf57d9d28b534abe1c23c25349e64;rgn=div5;view=text;node=23%3A1.0.1.8.44;idno=23;cc=ecfr Article 772, Code of Federal Regulations (23 CFR 772)] and the noise-related requirements of NEPA. The guidelines in the MoDOT Noise Policy are used to determine the need, feasibility, and reasonableness of noise abatement measures and provide the basis for statewide uniformity in traffic noise analysis. The LPA must use MoDOT’s FHWA-approved noise policy. Refer to [[127.13 Noise|EPG 127.13 Noise]].

==136.6.4.14 Air Quality Requirements==

The Clean Air Act defines requirements for transportation project air quality analysis. In Missouri, requirements are met through conformity demonstrations with established emission budgets contained in the State Implementation Plan (SIP). This process involves projects meeting the definition of "regionally significant" as described in 23 CFR 450.104. At a minimum, this includes all principal arterial highways and all fixed guideway transit facilities that offer a significant alternative to regional highway travel and would normally be included in the modeling of a metropolitan area’s transportation network. Generally, LPA projects will not meet the definition of "regionally significant" and the appropriate response for TIP Number on the Request for Environmental Review (RER) form is “N.A.” In the event a local project is determined to be regionally significant, conformity will be demonstrated through an established process for inclusion in a metropolitan Transportation Improvement Program (TIP).

=136.6.5 Environmental Assessment (EA)=

An EA is prepared when there is uncertainty about the significance of the impacts from a project. FHWA generally expects an EA for two-lane relocation projects and often for add-a-lane projects on new right of way; other types of projects may also require an EA. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EA sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion. An EA describes a project’s purpose and need, identifies the alternates that are being considered, and discusses the expected impacts. It should discuss all topics required by FHWA regulations and guidance but should discuss in detail only those where there is potential for a significant impact. The EA should be concise and should not contain long descriptions or include detailed information that may have been gathered or analyses that may have been conducted for the proposed action. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EA and the format. The LPA must contact the MoDOT district contact if a significant impact is identified at any time during the preparation of an EA. FHWA will determine whether an EIS needs to be prepared.

The LPA should begin consultation (through either early coordination or a scoping process) with interested regulatory agencies and others at the earliest appropriate time, to advise them of the scope of the project. This consultation will help determine those aspects of the proposed action with potential for social, economic, or environmental impact and will identify other environmental review and consultation requirements that are performed concurrently with the EA. Agencies with jurisdiction by law, such as the COE or the FWS, must be invited to become cooperating agencies. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating agencies and FHWA will send the letters. The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes. The EA must summarize the results of both agency consultation and public involvement. The LPA, or its consultant, will prepare a preliminary EA (pEA) that encompasses the following:

:* Finalize the location study with all alternates considered, including those discarded, depicted graphically.

:* Indicate the preferred alternate.

:* Evaluate all proposed reasonable alternates equally; the EA must include more than a single build alternative as well as the no build alternate. Reasonable alternates addressed in the EA are those that may be constructed in the event that the preferred alternate is not selected.

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification. Complete a Phase I archaeological survey for the preferred alternate. Identify all areas for which landowner access was denied or the survey was not conducted at the preliminary EA stage. Determine which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP). Submit all buildings, bridges, and culverts impacted by the preferred alignment, including those less than 50 years of age, to DNR’s State Historic Preservation Office (DNR-SHPO) for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pEA must include either a draft Memorandum of Agreement (MOA) or draft Programmatic Agreement (PA) identifying uncompleted or mitigation activities to be completed prior to project construction.

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for [http://www.modot.mo.gov/business/manuals/documents/FIG4-6R-2009usethisone.doc Section 4(f) protection], along with a statement as to the status of agency coordination on those impacts. The EA must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Identify any Section 6(f) resources the project will affect. Any Section 6(f)(3) Conversion Documentation required cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved FONSI signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams. Estimate the areas of wetlands in the project area for all alternatives using conventional mapping sources and windshield survey and document expected impacts.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either [[Media:127.11 Form AD 1006.DOC|Farmland Conversion Impact Rating, Form AD-1006]] for site projects or [[Media:127.11_Form_SCS_CPA_106.DOC|Form SCS-CPA-106]] for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy. The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pEA is provided to MoDOT for distribution to FHWA and any formal cooperating agencies (identified as such on the pEA cover sheet) for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pEA, the EA is ready for FHWA’s final review and approval, after which it is made available to the public as an FHWA document.

The EA must be made available for public inspection at the LPA’s office and at the appropriate FHWA field offices as described in the next two paragraphs of this section. Although it is not a federal requirement that the document be circulated for comment, the LPA is encouraged to provide the EA to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send notice of availability of the EA, briefly describing the project and its impacts, to the affected units of federal, state, and local government and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

MoDOT’s normal practice is to hold a location public hearing for all EAs. Although FHWA regulations do not require public hearings for EAs, the FHWA encourages them on most EAs. For specific EAs depending on the situation, the FHWA division office may require a public hearing after signing the EA and before signing the FONSI. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. When a public hearing is held as a part of the application for federal funds, the EA must be available at the public hearing and at the LPA’s office and at the appropriate FHWA field offices for a minimum of 15 days in advance of the public hearing. The notice of the public hearing in local newspapers must announce the availability of the EA and where it may be obtained to review. The notice will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the availability of the EA unless FHWA determines that a different period is warranted.

When a public hearing is not held, the LPA must place a notice similar to a public hearing notice and at a similar stage of project development in the local newspapers, advising the public of the EA’s availability at the LPA’s office and at the appropriate FHWA field offices and where to obtain information concerning the project. The notice must invite comments from all interested parties. It will include a statement advising that comments should be submitted in writing to the LPA within 30 days of the publication of the notice unless FHWA determines that a different period is warranted.

==136.6.5.1 Findings of No Significant Impact (FONSI)==

Once the 30-day public comment period has ended and all comments from the public and other agencies have been collected, the LPA or its consultant prepares a Finding of No Significant Impact (FONSI). The FONSI should summarize any public and/or agency coordination that occurred after the EA was signed. The FONSI must satisfactorily address all substantive comments on the EA provided during the 30-day comment period, including those from other agencies, the general public, and as a result of the public hearing. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the FONSI. The FONSI must describe any changes to the EA-designated preferred alternate and document any additional impact analyses performed for the final, selected alternate.

The FONSI must also document compliance with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met and briefly present why the action does not have a significant impact. If the proposed project will adversely impact any NRHP-eligible sites or historical structures, either an MOA or a PA executed by the DNR-SHPO, FHWA, Advisory Council on Historic Preservation (ACHP), and the LPA must accompany the letter. The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire. Accompanying documentation must also include the Final Section 4(f) Evaluation, when required, for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

When the FONSI is completed and the listed items are included, the documentation (with a signature page) is provided to MoDOT for distribution to FHWA (and to cooperating agencies for their review and comment if the selected alternate differs from the EA-designated preferred alternate).

If the FONSI is for a new controlled access freeway, a highway project of four or more lanes on a new location, or other action described in 23 CFR §771.115a, the letter to FHWA and accompanying documentation described above must also be made available for public review, including affected units of government, for a minimum of 30 days before FHWA issues a FONSI for the project. A notice similar to that for a public hearing must announce the availability of the documentation. If at any point in the EA process, FHWA determines that the action is likely to have a significant impact, the LPA will be required to prepare an EIS.

FHWA will review the FONSI, accompanying documentation, and any public hearing comments and other comments received regarding the EA. If FHWA determines after reviewing the documentation that there are no significant impacts associated with the project, the FONSI will be signed and a copy of the signed FONSI will be returned to the LPA.

After FHWA issues a FONSI, the LPA is encouraged to provide the FONSI to those federal, state, and local agencies likely to be affected by the action (those with regulatory or other responsibilities relating to the action). As a minimum, the LPA must send a notice of availability of the FONSI to the affected units of federal, state, and local government and the FONSI shall be available from the LPA and FHWA upon request by the public. Notice of availability is also sent to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372.

==136.6.5.2 Timeframes==

The project schedule should allow about two years for obtaining a FONSI.

=136.6.6 Environmental Impact Statement (EIS)=

==136.6.6.1 Draft Environmental Impact Statement==

An EIS is prepared for projects that have clearly identified and significant social, economic, or environmental impacts. FHWA indicates that an EIS is required for four-lane relocations as well as for major bridges or projects that are controversial. To avoid delays in project development, the LPA, or its consultant, should initiate preparation of the EIS sufficiently early to ensure that NEPA compliance can be achieved before 35% design completion.

An EIS describes a project’s purpose and need, identifies the alternates being considered, and discusses expected impacts in detail. To the extent possible, it also indicates compliance with other regulations. The EIS includes procedures to minimize harm and details mitigation measures and all other environmental commitments. [http://environment.fhwa.dot.gov/projdev/impTA6640.asp FHWA Technical Advisory T6640.8A “Guidance for Preparing and Processing Environmental and Section 4(f) Documents”] provides additional direction on the information contained in an EIS and the format.

When FHWA determines that an EIS is required, the LPA will prepare and FHWA will issue a Notice of Intent for publication in the ''Federal Register''. LPAs are encouraged to announce the intent to prepare an EIS by appropriate means at the local level.

After publication of the Notice of Intent, the LPA will begin a scoping process to aid in identifying the range of alternatives and impacts and the significant issues to be addressed in the EIS. Scoping is normally achieved through public and agency involvement procedures. If a scoping meeting is to be held, it will be announced in the FHWA’s Notice of Intent and by appropriate means at the local level. Agencies with jurisdiction by law must be requested to become cooperating agencies. Section 6002 (Efficient Environmental Reviews for Project Decision Making) of the Safe, Accountable, Flexible, and Efficient Transportation Equity Act of 2003 (SAFETEA-LU) updates the environmental review process by adding a new category of “participating agencies” for federal, state, and local agencies and tribal nations that have an interest in the project. The LPA will provide the MoDOT district contact with draft letters requesting the COE and other agencies to be cooperating and/or participating agencies as appropriate and FHWA will send the letters.

The LPA will also work with the FHWA to initiate consultation with federally recognized American Indian tribes determined to have an interest in the project area. Such consultation is conducted by FHWA on a government-to-government basis (FHWA determines which tribes and sends the letters); the consultation informs the tribes of the project, asks whether they have any specific concerns, and inquires whether they want to continue to consult on the project. The LPA or its consultant will prepare a draft letter for FHWA’s use but will not contact the tribes.

Section 6002 stipulates that both participating agencies and the public will be given the opportunity to comment on the purpose and need and range of alternatives for a project. Previously only cooperating agencies were offered such an opportunity. Section 6002 also mandates establishing a coordination plan for agency and public participation and comment. Further information on the SAFETEA-LU environmental review process can be found in FHWA’s [http://www.fhwa.dot.gov/hep/section6002/ SAFETEA-LU ENVIRONMENTAL REVIEW PROCESS FINAL GUIDANCE, Publication L 109-59, November 15, 2006].

The LPA or its consultant will prepare a preliminary Draft EIS (pDEIS) that evaluates all reasonable alternatives to the action and discusses the reasons why other alternatives that may have been considered were eliminated from detailed study. The pDEIS also summarizes the studies, reviews, consultation, and coordination required by environmental laws or Executive Orders to the extent appropriate at this stage in the environmental process. A pDEIS requires completing the following work:

:* Finalize the location study; all alternates considered, including those discarded, must be depicted graphically in the document.

:* Indicate a preferred alternate if one stands out.

:* Evaluate all proposed reasonable alternates equally. Reasonable alternates addressed in the EIS are those that may be constructed in the event that the preferred alternate is not selected. (Provisions of SAFETEA-LU allow FHWA to decide whether the preferred alternative may be developed to a higher level of design detail to facilitate either the development of mitigation measures or compliance with other environmental laws. See FHWA’s 2006 SAFETEA-LU FINAL GUIDANCE, as cited previously, for details.)

:* Identify all previously reported archaeological and historic sites located within the study corridor and all alternates being considered. FHWA will determine whether the location and current condition of previously reported resources require verification.

:* Identify all buildings and bridges 50 years old or older within all alternates being considered and provide an initial assessment of the resources’ potential eligibility to the National Register of Historic Places (NRHP).

:* Indicate impacts to parklands, wildlife refuges, or other publicly owned recreational use areas that may qualify for Section 4(f) protection, along with a statement as to the status of agency coordination on those impacts. The DEIS must include a Draft Section 4(f) Evaluation for impacts to these public lands, if applicable, or if the preferred alternate will cause adverse effects to certain kinds of cultural resources that require preservation in place, such as cultural resources that are NRHP-eligible for reasons other than the data associated with them (e.g., the location/setting is important, associated with significant historic events or people; distinctive characteristics of a type, period, or method of construction; involves human burial). Although prehistoric archaeological sites containing human remains will require Section 4(f) consideration, typically prehistoric sites not containing human remains will not require Section 4(f) consideration. A single Draft Section 4(f) Evaluation is prepared for all Section 4(f) resources, including both public lands and historic sites, potentially impacted by the project. This evaluation includes a consideration of all measures to minimize harm to the Section 4(f) resources.

:* Note the presence of any potential Section 6(f) resources. If Section 6(f)(3) Conversion Documentation is required, it cannot be completed until the NEPA process is concluded because the Section 6(f) document must include copies of the approved ROD signature page and/or signed Section 4(f) evaluation. However, elements of the Section 6(f) document may be assembled during preparation of the NEPA document.

:* Conduct a preliminary wetland and stream evaluation to identify potential jurisdictional wetland areas and streams and possible impacts to them.

:* Determine the presence or absence of threatened or endangered plant and/or animal species and/or habitats within the project limits.

:* Determine farmland impacts using either Form AD-1006 for site projects or Form SCS-CPA-106 for corridor projects.

:* If applicable, perform a noise analysis that identifies noise sensitive receptors based on the Noise Abatement Criteria. Determine whether receptors meet the criteria for the installation of a noise wall. If the LPA does not have a noise policy, it is suggested that they use MoDOT’s FHWA-approved noise policy.

:* Determine the number of displacements, the effect on pedestrian and bicycle traffic, the secondary and cumulative impacts, and other social and economic impacts of the project.

:* Conduct a records search to determine the presence of possible hazardous waste sites.

:* Demonstrate that the proposed project is in compliance with the Clean Air Act.

The pDEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pDEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pDEIS, the DEIS is ready for FHWA’s final review. The FHWA, when satisfied that the DEIS complies with NEPA requirements, will approve the DEIS for circulation by signing and dating the cover sheet.

The LPA is responsible for printing the DEIS in sufficient quantity to accommodate circulation to those entities listed in the document as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the DEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

Once FHWA signs the DEIS, public and agency comments must be requested. The LPA, on behalf of FHWA, circulates the approved DEIS to federal and state agencies, local entities, elected officials, and others as appropriate for their review and comment. Upon circulation of the approved DEIS to the Environmental Protection Agency (EPA), the EPA publishes a Notice of Availability (NOA) in the Federal Register. Copies of the approved DEIS are also provided for public viewing and copying in the LPA’s office and other public repositories such as libraries and city or county offices. The DEIS must be made available to the public and transmitted to agencies for comment no later than the time the document is filed with the Environmental Protection Agency. The DEIS shall be transmitted to:

:1. Public officials, interest groups and members of the public known to have an interest in the proposed action or the DEIS;

:2. Federal, state and local government agencies expected to have jurisdiction or responsibility over, or interest or expertise in, the action. Copies are provided directly to appropriate state and local agencies and to Missouri Federal Assistance Clearinghouse, the state intergovernmental review contact established under Executive Order 12372; and

:3. States and federal land management entities that may be significantly affected by the proposed action or any of the alternatives. These copies shall be accompanied by a request that such state or entity advise the FHWA in writing of any disagreement with the evaluation of impacts in the statement. FHWA will furnish the comments received to the LPA along with a written assessment of any disagreements for incorporation into the final EIS.

The ''Federal Register'' NOA initiates a period of no less than 45 days for the return of comments on the DEIS. The notice and the DEIS transmittal letter must identify to whom comments may be sent.

A location public hearing is generally held for all projects requiring an EIS. Detailed information on public hearings is located in [[136.7 Design#136.7.6 Public Hearings|EPG 136.7.6 Public Hearings]]. The DEIS shall be available at the public hearing and for a minimum of 15 days in advance of the hearing. The availability of the DEIS shall be mentioned and public comments requested in any public hearing notice and at any public hearing presentation. If a public hearing on an action proposed for FHWA funding is not held, a notice shall be placed in newspaper similar to a public hearing notice advising where the DEIS is available for review, how copies may be obtained, and where the comments will be sent.

==136.6.6.2 Final Environmental Impact Statement==

After circulation of a DEIS, when the 45-day comment period has ended and all comments from the public and other agencies have been collected, a preliminary Final EIS (pFEIS) is prepared. The FEIS identifies the preferred alternative and evaluates all reasonable alternatives considered. It should also discuss substantive comments received on the DEIS and responses thereto, summarize public involvement, and describe the mitigation measures that are to be incorporated into the proposed action. Mitigation measures presented as commitments in the FEIS must be implemented with the project. The following items of work are completed as part of the pFEIS:

:* All substantive comments gathered on the DEIS during the 45-day comment period, including those from other agencies, the general public, and as a result of the public hearing, must be satisfactorily addressed. To ensure this, the LPA will provide the MoDOT district contact with a copy of the public hearing transcript and/or any other comments received for transmission to the FHWA along with the pFEIS.

:* A preferred alternate must be declared.

:* A Phase I archaeological survey must be completed for the preferred alternate(s) and all areas for which landowner access was denied or the survey was not conducted should be identified. A determination should be made of which sites identified in the project area require Phase II archaeological testing or evaluation. If the Missouri Department of Natural Resources (DNR) determines any sites require further testing, Phase II archaeological testing must also be completed unless coordination with FHWA and the district determine such testing may be postponed to a later time.

:* All buildings, bridges, and culverts impacted by the preferred alignment that were not previously reviewed by the DNR’s State Historic Preservation Office (DNR-SHPO), including those less than 50 years of age, must be submitted to DNR for concurrence in a determination of eligibility to the NRHP.

:* If the proposed project will adversely impact any NRHP-eligible sites or historical structures, the pFEIS must include either a Memorandum of Agreement (MOA) or a Programmatic Agreement (PA) executed by the DNR-SHPO, FHWA, the LPA, and the Advisory Council on Historic Preservation (ACHP) (all PAs; MOAs if it chooses to participate). The MOA or PA will identify uncompleted or mitigation activities to be completed prior to project construction. If the project will impact prehistoric sites known or likely to contain human remains, the MOA or PA will also be provided to appropriate American Indian tribes with cultural interest in the region for review, comment, and signature if they desire.

:* A Final Section 4(f) Evaluation, when required, must be included in the pFEIS for any impacted historic structures and for parklands, wildlife refuges, or other public lands affected.

:* Identify any Section 6(f) resources the project will affect. Elements of the Section 6(f)(3) Conversion Documentation may be assembled during preparation of the NEPA document, even though the Section 6(f) document cannot be completed until the NEPA decision document has been issued.

:* A preliminary jurisdictional wetland and stream delineation is conducted in the project area for the preferred alternative and expected impacts are documented.

:* Identify whether any consultation with the U.S. Fish and Wildlife Service is required to address threatened or endangered plant and/or animal species within the project limits and any conservation measures resulting from the consultation.

:* The location of any necessary noise walls is proposed (this may change subject to subsequent detailed design and public involvement with the affected residents).

The FEIS will also document compliance, to the extent possible, with all applicable environmental laws and Executive Orders or provide reasonable assurance that their requirements can be met. Every reasonable effort shall be made to resolve interagency disagreements on actions before processing the FEIS. If significant issues remain unresolved, the FEIS must identify those issues and the consultations and other efforts made to resolve them. When the listed items are completed and included in a preliminary FEIS, the pFEIS is provided to MoDOT for distribution to FHWA and formal cooperating agencies (identified as such on the pFEIS cover sheet) and may be offered to participating agencies for their review and comment. The document is not to be distributed to anyone outside of these entities. When the LPA or its consultant has addressed the review comments on the pFEIS, the FEIS is ready for FHWA’s final review and approval. The FEIS will be reviewed for legal sufficiency prior to FHWA approval.

FHWA will indicate approval of the FEIS for an action by signing and dating the cover page. Approval of the FEIS does not commit the FHWA to approve any future request to fund the preferred alternative.

The LPA should print a sufficient quantity of the FEIS to accommodate circulation to the appropriate entities as well as requests for copies that can reasonably be expected from agencies, organizations, and individuals. Normally, copies will be furnished free of charge. However, with FHWA concurrence, the party requesting the FEIS may be charged a fee that is not more than the actual cost of reproducing the copy or may be directed to the nearest location where the statement may be reviewed.

When sufficient copies of the approved FEIS are transmitted to FHWA, FHWA circulates the document to the EPA along with an NOA to be published in the ''Federal Register''. Publication of the NOA initiates a 30-day comment period on the FEIS. The LPA circulates the approved FEIS for review and comment to any persons, organizations, or agencies that made substantive comments on the DEIS or requested a copy, no later than the time the document is filed with EPA. In the case of lengthy documents, the agency may provide alternative circulation processes. The LPA shall also publish a notice of availability in local newspapers and make the FEIS available through the mechanism established pursuant to DOT Order 4600.13 which implements Executive Order 12372. When the FEIS is filed with EPA, it must be available for public review at the LPA’s offices and at appropriate FHWA offices. A copy will also be made available for public review at institutions such as local government offices, libraries, and schools, as appropriate.

=136.6.7 Record of Decision (ROD)=

Substantive comments received on the FEIS are addressed in a Record of Decision (ROD) prepared by the LPA. The ROD also discusses the alternates that were considered for the project, identifies the selected alternate, and discusses why this alternate was selected. The ROD discusses commitments made in the document, including the measures that have been adopted to minimize harm, such as mitigation plans, and details any monitoring and enforcement program, if applicable. After comments are satisfactorily addressed, the ROD is presented to FHWA for approval. Once the ROD is signed by FHWA, the LPA can approve the location of the project and begin detailed design.

The timeframe for completing the EIS process varies. The timeline for completing consultant-prepared EISs is a negotiated item within the scope of work. A good rule of thumb is to allow at least 3 years to get to an approved ROD.

=136.6.8 Supplemental Environmental Impact Statements=

A DEIS, FEIS or supplemental EIS may be supplemented at any time. An EIS shall be supplemented whenever FHWA determines that:

:1. Changes to the proposed action would result in significant environmental impacts that were not evaluated in the EIS; or

:2. New information or circumstances relevant to environmental concerns and bearing on the proposed action or its impacts would result in significant environmental impacts not evaluated in the EIS.

Where FHWA is uncertain of the significance of the new impacts, the LPA will develop appropriate environmental studies or, if FHWA deems appropriate, an EA to assess the impacts of the changes, new information, or new circumstances. If based upon the studies, FHWA determines that a supplemental EIS is not necessary, FHWA shall so indicate in the project file.

A supplement is to be developed using the same process and format (i.e., draft EIS and final EIS as an original EIS except that scoping is not required.

In some cases a supplemental EIS may be required to address issues of limited scope, such as the extent of proposed mitigation or the evaluation of location of design variations for a limited portion of the overall project. Where this is the case, the preparation of a supplemental EIS shall not necessarily:

:1. Prevent the granting of new approvals;

:2. Require the withdrawal of previous approvals; or

:3. Require the suspension of project activities; for any activity not directly affected by the supplement. If the changes in question are of such magnitude to require a reassessment of the entire action, or more than a limited portion of the overall action, FHWA shall suspend any activities that would have an adverse environmental impact or limit the choice of reasonable alternatives, until the supplemental EIS is completed.

More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.130.pdf detailed discussion of supplemental NEPA documents] can be found on FHWA’s web site.

=136.6.9 Re-evaluations=

If an acceptable FEIS is not submitted to the Federal Highway Administration (FHWA) within 3 years from the date of the DEIS circulation, the LPA shall prepare a written reevaluation of the DEIS in cooperation with FHWA. This reevaluation is used to determine whether a supplement to the DEIS or a new DEIS is needed.

A written reevaluation of the FEIS may be required before further approvals are granted if major steps to advance the action (e.g., authority to undertake final design, authority to acquire a significant portion of the right-of-way, or approval of the plans, specifications, and estimates) have not occurred within three years after the approval of the FEIS, final EIS supplement, or the last major FHWA approval or grant.

Factors such as noteworthy changes in the scope and/or location of the project, whether the project is active or inactive, and changes in environmental laws or regulations can also require a NEPA document reevaluation. Once completed and approved, a NEPA document has a limited shelf life of three years, even when portions of the project are under construction or have already been constructed, as is often the case for lengthy corridor projects. After approval of the ROD, FONSI or CE designation and prior to requesting any major approvals or grants, the LPA shall consult with MoDOT to establish whether the approved environmental document or CE designation remains valid for the requested FHWA action. These consultations will be documented when determined necessary by FHWA.

Whenever the project scope or location changes, the LPA will submit to the MoDOT district contact a Request for Environmental Review (RER) form that describes and shows the changes. Based on that information, the project will be reexamined to determine whether the proposed changes require a reevaluation. When a reevaluation is needed, the LPA prepares the reevaluation documentation. In most cases, the reevaluation is submitted to the FHWA for review and approval. Documentation for reevaluations is based on the original NEPA document type. If the original NEPA document was an EA or EIS, the LPA prepares a letter documenting the reevaluation and submits it to MoDOT for FHWA’s review and approval. Some projects with original NEPA classifications as CEs may also require reevaluations in the form of a letter. FHWA does not routinely require reevaluations in the form of supplemental EAs or EISs. More [http://edocket.access.gpo.gov/cfr_2002/aprqtr/pdf/23cfr771.129.pdf detailed discussion of NEPA reevaluations] can be found on FHWA’s web site.

[[Category:136 Local Public Agency (LPA) Policy|136.06]]