1. MEMORANDUM OF UNDERSTANDING PROCEDURES FOR REVISIONS STATEWIDE AND LOCAL TRANSPORTATION IMPROVEMENT PROGRAMS (STIP & TIP) 2016-2019 State of Alabama Department of Transportation (ALDOT) U.S. Department of Transportation Federal Highway Administration (FHWA) Alabama Division AND BETWEEN FOR

2. WHAT IS THE PURPOSE OF THIS DOCUMENT? This Memorandum of Understanding (MOU) establishes a set of procedures to be used in the State of Alabama for processing revisions to the 2016-2019 Statewide Transportation Improvement Program (STIP). The STIP is the aggregation of the Planning Partners' Transportation Improvement Programs (TIPs), including other statewide managed programs such as the National Freight and the National Highway Performance program (NHPP).

3. DEFINITIONS Revision - Any modification to the STIP/TIP that effects project scheduling or cost either by Amendment or Administrative.

4. DEFINITIONS Administrative Modification - a minor revision to a long range statewide or metropolitan plan, Transportation Improvement Program (TIP) or Statewide Transportation Improvement Program (STIP) that includes minor changes to project or project phase costs, funding sources of previously included projects, and initiation dates. An Administrative Modification is a revision that does not require public review and comment, re- demonstration of fiscal constraint, or a conformity determination in nonattainment and maintenance areas.

5. DEFINITIONS Amendment means a revision to a long range statewide or metropolitan plan, Transportation Improvement Program (TIP) or Statewide Transportation Improvement Program (STIP) that involves a major change to a project included in a metropolitan plan, TIP, or STIP, including the addition or deletion of a project or a major change in project cost, project or phase initiation dates, or a major change in design concept or design scope (e.g. change project termini or the number of through traffic lanes). An Amendment is a revision that does requires public review and comment, re-demonstration of fiscal constraint, or a conformity determination for metropolitan transportation plans and TIPs involving non-exempt projects in nonattainment and maintenance areas. All amendments require an MPO resolution and approval.

6. DEFINITIONS Change in Scope is a substantial alteration to the original intent or function of a programmed project. (E.g. change project termini or the number of through traffic lanes). Cooperating Parties include ALDOT, Metropolitan Planning Organizations (MPOs) and Rural Planning Organizations (RPOs), Federal Highway Administration (FHWA), Federal Transit Administration (FTA), and transit agencies. Fiscal Constraint Chart is a spreadsheet or chart that is generated by the ALDOT’s Comprehensive Project Management System (CPMS) that depicts the usage of federal funds

7. DEFINITIONS Level of Effort (LVOE) represent grouped projects not considered of appropriated scale to be identified individually. Projects may be grouped by function, work type, and/or geographical area using the applicable classifications under 23 CFR 771.117 (c) and (d) and/or 40 CFR part 93. In nonattainment and maintenance areas, project classifications must be consistent with the “exempt project” classifications contained in the EPA transportation conformity regulations (40 CFR part 93). These projects are placed in the STIP/TIP according to selected funding programs with their anticipated apportionments for each fiscal year within the plan.

8. WHAT IS A STATEWIDE TRANSPORTATION IMPROVEMENT PROGRAM (STIP)? The STIP constitutes a statewide prioritized listing or program of transportation projects to be implemented over a four-year period that is consistent with the long range statewide transportation plan, metropolitan plans, and metropolitan TIPs. It is comprised of Metropolitan Planning Organization MPO TIPs developed by the Planning Partners and Statewide Programs developed by ALDOT. The STIP is the official transportation improvement program document that is mandated by Federal statute and recognized by FHWA and FTA. The State's Five Year Program incorporates the TIPs and STIP and is required by state law.

9. STIP/TIP Administration FHWA and FTA will only authorize projects and approve grants for projects that are programmed in the current approved STIP. If a Planning Partner, Transit Agency, or ALDOT wishes to proceed with a project not programmed on the STIP, a revision must be made.

10. STIP/TIP Administration All revisions must maintain year-to-year fiscal constraint for each of the four years of the STIP/TIP. All revisions shall account for year of expenditure. Year of expenditure is incorporated into the ALDOT STIP funding at a 1 percent per year inflation rate.

11. STIP/TIP Revisions – AMENDMENTS

12. Is the addition or deletion of a project or project phase, a major change in project cost or design concept (e.g. change project termini or the number of through traffic lanes). Approval by the MPO (and consultation with the RPO) is required for Amendments. Amendments to the STIP will be posted on the ALDOT website and will be open for public comment for 7 days.

13. STIP/TIP Revisions – AMENDMENTS What are the determining factors for projects that require Amendments?

14. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item.

15. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item. $5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs.

16. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item. $5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs. The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds.

17. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item. $5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs. The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project.

18. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item. $5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs. The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project. Level of Effort (LVOE) planned budget changes for the county Highway and Bridge Program totaling $750,000

19. STIP/TIP Revisions – AMENDMENTS Adding or deleting a project or project phase to a STIP or TIP, that utilizes federal funds from a statewide line item. $5 million or 10%, whichever is greater, for other federally-funded statewide Programs and TMAs. The lesser amount of $1 million or 50%, of project cost for non-TMA MPOs attributable funds. Results in a Change in the Scope of Work on any federally-funded project that is significant enough to essentially constitute a New Project. Level of Effort (LVOE) planned budget changes for the county Highway and Bridge Program totaling $750,000 Level of Effort (LVOE) planned budget changes for resurfacing, exceeding 20% of original amount per region.

20. STIP/TIP Revisions – ADMINISTRATIVE

21. Minor changes to project or project phase costs, funding sources of previously included projects, and initiation dates. This is a revision that DOES NOT require public review and comment, re-demonstration of fiscal constraint, or a conformity determination (in nonattainment and maintenance areas. They do not require Federal approval MPO’s are notified of ALL revisions by auto generated emails from the ALDOT CPMS. The MPO’s then make the determination if the adjustments can be considered Administrative for the TIP.

22. EMAIL NOTIFICATION EXAMPLE ALDOT CPMS has made an adjustment to a project that resides in your MPO urban / planning area. Listed below is the detail of this project change, please review and determine if change will require a TIP amendment or if it can be treated as an administrative modification. After reviewing the paragraph listed above, no further changes may be required by the MPO. For further information please contact your local ALDOT Region Office or the ALDOT Transportation Planning Office at 334-242-6097 The target start date or project engineers estimated amount has changed for the following : Project: 100049354 ( CN ) Federal aid number: IMF I059 (356) County: TUSCALOOSA Project Description: RESURFACE I-59 FROM GREENE COUNTY LINE TO N. OF CR-10 (HOLLY SPRINGS LN) Old Engineers Estimate: $11,304,523.00 New Engineers Estimate: $11,885,784.00

23. STIP/TIP Revisions – ADMINISTRATIVE What are the determining factors for Administrative Modifications?

24. STIP/TIP Revisions – ADMINISTRATIVE Projects that do not exceed the threshold criteria that is required for Amendments Projects that are advanced because of additional obligation authority as a result of august redistribution, letting adjustments etc. Project utilizing Emergency relief funding Utility Phase where the CN project was originally on the STIP or TIP and had utility relocation costs included

25. LEVEL OF EFFORT FUNDING CATEGORIES Level of Effort LVOE holds funds that are not dedicated to a specific project(s) and may be used to cover cost increases or add a new project or project phase(s). LVOE shall not exceed the thresholds or meet any other items that require an amendment. ALDOT provides a detailed project listing and a financial summary of current LVOE projects on the ALDOT STIP website administrative revisions are sent via email to MPO offices.

26. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

27. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

28. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

29. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

30. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

31. LEVEL OF EFFORT FUNDING CATEGORIES Statewide Transportation Alternatives Program (TAP) Statewide Safety Program Statewide County Highway and Bridge Program ALDOT Region Based Federal Aid Resurfacing Program Statewide FTA Sections 5311(Non Urban) 5310 (Elderly and Disabilities) 5339 (Buses and Bus Facilities)

32. FINANCIAL REPORTING At the end of each quarter, ALDOT will provide each MPO or Planning Partner a financial report of actual federal obligations in the respective metro planning area and at the end of each fiscal year a similar financial report will be provided at the federal level.

33. FINANCIAL REPORTING At the end of each quarter, ALDOT will provide each MPO or Planning Partner a financial report of actual federal obligations in the respective metro planning area and at the end of each fiscal year a similar financial report will be provided at the federal level. REPORTING FOR THIS REQUIRMENT IS CURRENTLY UNDER DEVELOPMENT

34. FINANCIAL CONSTRAINT Demonstration of STIP/TIP financial constraint to FHWA and FTA takes place through a summary of Administrative Modifications and proposed Amendments. Real time versions of the STIP/TIP are available to FHWA and FTA through ALDOT’s CPMS via the ALDOT Internet website.

35. http://cpmsapps.dot.state.al.us/OfficeEngineer/Plan/Sti pMain

41. TIP REVISION PROCEDURES Each Planning Partner's TIP’s are adopted, including their respective MOU with the TIP documentation. The MOU will clarify how the Planning Partner will address all TIP revisions. In all cases, individual Planning Partner revision procedures are developed under the guidance umbrella of the ALDOT/FHWA MOU document. If a Planning Partner elected to set more stringent procedures, FHWA and FTA will adhere to those more restrictive procedures. The ALDOT/FHWA MOU document will serve as the basis for ALDOT when addressing Federally-funded Statewide Program TIP revisions.

42. CONTACT INFORMATION Clint Andrews 334-274-6346 clint.andrews@dot.gov Jim Doolin 334-242-6097 doolinj@dot.state.al.us Jimmy Carroll 334-242-6423 carrollj@dot.state.al.us