State Transportation Improvement Program (STIP)

Procedures Manual

AUGUST 2020

U.S. Department of Transportation

Federal Highway Administration

New Mexico Division 4001 Office Ct. Dr., Ste. 801 Santa Fe, NM 87507

In Reply Refer To:

PPM-NM

TRAP-22

August 11, 2020

Mr. Michael Sandoval, Cabinet Secretary New Mexico Department of Transportation PO Box 1149 Santa Fe, New Mexico 87504

SUBJECT: 2020 Statewide Transportation Improvement Program (STIP) Procedures Manual Update

Dear Secretary Sandoval:

FHW A New Mexico Division and FT A Region VI received the 2020 State Transportation Improvement Program Update. As indicated in your correspondence dated July 20, 2020, this has been a coordinated and cooperative effort between NMDOT and MPOs offices. Upon our review, we found that the submitted document meets the transportation planning and programing requirements under 23 U.S.C. 134 and 135, and other associated Federal and State Laws.

This letter constitutes the FHWA-NM Division and FTA Region VI concurrence with the 2020 NMDOT STIP Procedures Manual update. We recognized the continuous effort by your staff in enhancing the consistency, transparency, and the accountability necessary for an effective and efficient STIP development process. We commend the NMDOT and its transportation partners for bringing innovation to the process while introducing internal controls and updating policies and directives aimed at reducing risk in the delivery of the Federal-aid Highway Program (FAHP).

Should you have any questions, please feel free to call Rodolfo Monge-Oviedo at 505-820-2037 or Tony Ogboli at 817-978-0566.

Donald R. Koski Director of Planning & Program Development Federal Transit Administration

cc: Tony Ogboli, FTA Justin Reese, NMDOT Jerry P, Valdez, NMDOT Rebecca Maes, NMDOT

FQ, J. Don rtinez :,J Divi on Administrator

Federal Highway Administration

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Table of Contents Introduction .......................................................................................................................................................... 4

Communication Protocol ...................................................................................................................................... 6

Conflict Resolution ................................................................................................................................................ 6

Consequences of Non-Conformance by an MPO ................................................................................................. 7

Federal Transportation Legislation ....................................................................................................................... 8

Statewide Transportation Improvement Program (STIP) & Transportation Improvement Program (TIP) ........ 10

Fiscal Constraint .............................................................................................................................................. 11

STIP Project Requirements ............................................................................................................................. 12

Non-Federal Contributions to STIP Projects ................................................................................................... 13

Corridor and/or Segmented Projects .............................................................................................................. 13

Baseline ........................................................................................................................................................... 14

Revision Procedures........................................................................................................................................ 14

Formal Amendments ...................................................................................................................................... 14

Amendment Schedule..................................................................................................................................... 15

Administrative Amendments/Modifications .................................................................................................. 15

Out-of-Cycle Amendments ............................................................................................................................. 16

Amending or Modifying an Awarded Project ................................................................................................. 17

STIP Update Cycle ........................................................................................................................................... 17

Quality Assurance/ Quality Control ................................................................................................................ 18

Process for Transfer of Funds ......................................................................................................................... 18

Advance Construction Process........................................................................................................................ 18

Conformity Determinations for STIP ............................................................................................................... 18

Conditional or Partial Approval of TIP/STIP Amendments ............................................................................. 19

Corrective Actions ........................................................................................................................................... 19

Federal Planning Finding ................................................................................................................................. 20

End-of-Year Close-out Procedures .................................................................................................................. 20

Appendix A .......................................................................................................................................................... 21

Glossary of Terms ........................................................................................................................................... 21

Appendix B .......................................................................................................................................................... 25

Acronyms ........................................................................................................................................................ 25

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Appendix C-1 ....................................................................................................................................................... 28

Fiscal Constraint .............................................................................................................................................. 28

Appendix C-2 ....................................................................................................................................................... 29

Clarifying Fiscal Constraint Guidance.............................................................................................................. 29

Appendix D .......................................................................................................................................................... 31

Project Identification and Control Number Format ........................................................................................ 31

Appendix E .......................................................................................................................................................... 34

STIP Baseline ................................................................................................................................................... 34

Appendix F .......................................................................................................................................................... 35

Amendment Numbering Sequence ................................................................................................................ 35

Administrative Sequence Numbering ............................................................................................................. 35

Appendix G .......................................................................................................................................................... 37

Quality Assurance/Quality Control (QA/QC) .................................................................................................. 37

New Projects Entering STIP ............................................................................................................................. 37

Existing Projects in the STIP ............................................................................................................................ 38

Appendix H .......................................................................................................................................................... 39

Process for Transfer of Funds ......................................................................................................................... 39

FTA Transfers .................................................................................................................................................. 39

State to FHWA Transfers/State to State Transfers ......................................................................................... 39

Transfers between Apportioned Programs .................................................................................................... 40

Transfers from a State to a Federal agency other than FHWA or FTA ............................................................ 40

Contact List: .................................................................................................................................................... 41

Appendix I-1 ........................................................................................................................................................ 42

NMDOT Advance Construction Process .......................................................................................................... 42

AC Process for NMDOT Lead projects ............................................................................................................. 42

AC Process for Tribal/Local Agency Projects (T/LPA) ...................................................................................... 42

AC Process for Planning Work Program (PWP) Projects ................................................................................. 43

Appendix I-2 ........................................................................................................................................................ 44

Process for showing Advance Construction Projects in the e-STIP................................................................. 44

Appendix I-3 ........................................................................................................................................................ 45

AC Process Debt Service Projects.................................................................................................................... 45

Figure A ............................................................................................................................................................... 46

Program Codes for Apportioned Programs .................................................................................................... 46

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Figure B ............................................................................................................................................................... 47

Order of Obligation ......................................................................................................................................... 47

Figure C ............................................................................................................................................................... 48

FMIS Improvement Type Codes ...................................................................................................................... 48

Figure D ............................................................................................................................................................... 52

Repair Categories, Definitions & Pavement Treatments ................................................................................ 52

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Introduction The purpose of the State Transportation Improvement Program (STIP) Manual is to outline the procedures and timelines the New Mexico Department of Transportation (NMDOT) follows to develop the STIP and the responsibilities of the Metropolitan Planning Organizations (MPOs) in developing the Transportation Improvement Programs (TIPs) for inclusion in the STIP. Agencies involved in this process include the MPOs, the Regional Transportation Planning Organizations (RTPOs), the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA) and the NMDOT. Each agency partner has a role in the regional transportation planning and metropolitan planning processes. New Mexico consists of five MPOs: Mid-Region MPO (MRMPO), Santa Fe MPO (SFMPO), Farmington MPO (FMPO), Mesilla Valley MPO (MVMPO), and El Paso MPO (EPMPO); and seven RTPOs: Northwest RTPO (NWRTPO), Mid-Region RTPO (MRRTPO), Northern Pueblos RTPO (NPRTPO), Northeast RTPO (NERTPO), Southeast RTPO (SERTPO), South Central RTPO (SCRTPO) and Southwest RTPO (SWRTPO). The MPOs are federally designated forums for cooperative transportation decision making in metropolitan areas with a population over 50,000. Two of the five MPOs- MRMPO and EPMPO- are designated Transportation Management Areas (TMAs). A TMA is defined as having a population greater than 200,000. While all MPOs are required to work cooperatively with the NMDOT on funding, the two TMAs receive federal Surface Transportation Block Grant Program-Urban (STPL & TAPL) and if the TMA is out of compliance with certain aspects of Clean Air Act, mandatory Congestion Mitigation & Air Quality Improvement Program (CMAQ) funding allocated by formula. (EPMPO is currently designated as non-attainment for Particulate Matter (PM) 10) and a portion of the EPMPO is designated as non-attainment for ozone (O3). The Environmental Protection Agency (EPA) issued official designation of O3 non-attainment (per the 2015 Ozone National Ambient Air Quality Standards) for Southern Dona Ana County in November of 2017).Portions of MRMPO are currently very close to non-attainment for ozone but are not designated as such at this time. Also pending official release by the EPA are the new air quality regulations. They will affect conformity designations for several counties in New Mexico but as of this writing the release date is undetermined (once determined it will be included by modification). The three smaller MPOs do not receive direct federal fund allocation and rely solely on the 3C’s process with the NMDOT to obtain federal funding for projects in their metropolitan planning areas. Each state, including New Mexico, receives annual allocation of MPO planning (PL) funds apportioned by formula from the FHWA and FTA. NMDOT then distributes the funds by a statewide formula developed cooperatively between the MPOs and the NMDOT. The NMDOT is required to monitor MPO activities to ensure that the federal planning requirements are met. Planning funds are used by MPOs to carry out the metropolitan planning functions under 23 United States Code (USC) Section 134 and 49 USC 5305 et. seq. There are three main products of the metropolitan planning process: the Unified Planning Work Program (UPWP), the Metropolitan Transportation Plan (MTP), and the Transportation Improvement Program (TIP). Please reference the Multimodal Planning & Programs Bureau’s Planning Procedures Manual (PPM) for detailed information on the MPO process and work products in New Mexico. As in most states, the Secretary of the NMDOT is authorized to act on the Governor’s behalf on matters related to federal transportation regulations as documented in the designee letter on the next page. This allows the NMDOT Secretary to approve the MPO TIPs and self-certification letters on behalf of the Governor, prior to sending amendments and adoptions to the federal partners. * Acronyms are listed in Appendix B

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Communication Protocol The NMDOT STIP Unit maintains liaison staff assignments with all of the MPOs and Districts in the State. MPO TIP Coordinators should contact the assigned STIP liaison with questions or concerns and for additional information. This informal contact can be in person or via telephone, email, or letter as appropriate. Communication should happen at the lowest staff level possible and should be advanced up the ladder only if the STIP liaison is out of the office or the issue has not been resolved in a timely manner. Additionally, the STIP Staff Manager can be contacted at any time by phone or email. The NMDOT assumes certain responsibilities of the New Mexico Division of the Federal Highway Administration (FHWA-NM) for administering the Federal-Aid Highway Program (FAHP) under a Stewardship and Oversight Agreement.1 Therefore, MPO staff should direct requests for general information and/or federal code interpretations to their respective STIP liaison. The liaison will coordinate a response on behalf of the NMDOT. As needed, the NMDOT will seek guidance from FHWA-NM and/or FTA Region VI.

Conflict Resolution The NMDOT, FHWA-NM, FTA Region 6, and MPOs, agree to resolve disagreements regarding the interpretation and implementation of this STIP Procedures Manual at the lowest possible level. The Conflict Resolution process is initiated by an email from the MPO TIP Manger to the STIP liaison and Staff Manager, or vice versa. If a disagreement cannot be resolved at the lowest level, then the Conflict Resolution process listed below in Table 1 will be followed. The rows represent equivalent levels within the organizations. Any equivalent level-position within a row may participate in the discussion at their level. If Level Five is reached, at which FHWA-NM and FTA Region 6 become involved, the appropriate FHWA-NM/FTA Region 6 staff shall be identified by their organizations. When both parties at the lowest organizational level of the agencies have agreed to escalate, a meeting date will be established within 5 working days involving Level Two staff. If an agreement cannot be reached, then the issue will be escalated to the next level and a meeting date established within 3 working days, and so on according to Table 1. MPOs should note that FHWA/FTA do not become involved unless and until Level Five is reached. The goal is to achieve resolution at the lowest possible level. Mediation and facilitation may be used at any level to help expedite resolution. Mediation will occur with NMDOT concurrence up to and including Level Four. At Level Five, the FHWA-NM/FTA and NMDOT executive staff must concur that mediation is needed. The STIP liaison will provide documentation of all disagreements and resolutions to all involved agencies and include the documents in the agency’s file at NMDOT. The FHWA-NM supports NMDOT in spending FAHP funds appropriately within the bounds of regulatory flexibility and will provide an explanation of the rationale and decision making process when flexibility does NOT exist.

1 Refer to NMDOT website for current Stewardship and Oversight Agreement with FHWA-NM

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Table 1 Conflict Resolution Process

NMDOT/FHWA-NM/FTA MPOs Days to Respond or Move to Next Level

Level One

STIP Liaison MPO TIP Coordinator 5 working days

District Staff*

Level Two

STIP Staff Manager

MPO Officer/Executive Director or Designee 3 working days

(STIP Manager**)

District Staff

(District Engineer**)

Level Three

Chief Engineer/Deputy Secretary COG Executive Director*** 2 working days

Level Four

Cabinet Secretary COG Executive Director*** 2 working days

Level Five

Cabinet Secretary COG Executive Director***

2 working days FHWA-NM/FTA Region 6 MPO Policy Board/Committee

Chair

Notes:

* District Staff indicates the person at the District responsible for STIP related duties

** inclusion of STIP Manager & District Engineer is at the discretion of the STIP Staff Manager/District Staff

*** MPOs not housed in COGs should follow applicable reporting procedures

Consequences of Non-Conformance by an MPO The following section outlines the procedure for addressing non-conformance by an MPO/RTPO. Examples of non-conformance include, but are not limited to, the following: Not meeting deadlines as outlined in this Manual, Continuously submitting incorrect or incomplete information; and Failing to adhere to the procedures outlined in this Manual.

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Specific instances of non-conformance tracked by STIP liaisons are: Failing to promptly respond to requests from NMDOT Staff for processing of administrative

amendments, Failing to adhere to new federal requirements and timelines and, Failing to open and close monthly administrative amendments and quarterly formal amendments.

STIP liaisons will work with Staff from the Planning Division and the Government-to-Government Unit on issues of non-conformance. Non-conformance will be documented by STIP liaisons and corrective actions will follow the procedures outlined in the Planning Procedures Manual.

Federal Transportation Legislation When U.S. Congress adopted the Moving Ahead for Progress in the 21st Century Act (MAP-21) in 2012, the Federal Aid Highway Program (FAHP) became performance based, meaning that every project funded through the FAHP (as included in the STIP) must assist with achieving performance measures and the associated targets. The performance-based approach was affirmed and continued in 2015 via the Fixing America’s Surface Transportation (FAST) Act, the current federal highway bill. The NMDOT must use its FAHP allocations to fund projects that help the state meet its goals and targets for these federally mandated performance measures:

Pavement condition on the interstate system and on remainder of the National Highway System (NHS); Performance of the interstate system and the remainder of the NHS; Bridge condition on the NHS; Fatalities and serious injuries—both number and rate per vehicle mile traveled—on all public roads; Traffic congestion; On-road mobile source emissions; and Freight movement on the interstate system.

States are required to establish targets that reflect the measures established by the United States Department of Transportation (USDOT) under 23 United States Code USC 150(c), where applicable. To ensure consistency, States must to the maximum extent practicable, coordinate with the relevant MPO, RTPO or with providers of public transportation in an urbanized area not represented by an MPO. The State must establish these targets within one year after the USDOT final rule on performance measures (23 USC 135 &150) May 27, 2018. The performance measures and targets established shall be considered by a State when developing policies, programs, and investment priorities reflected in the long-range statewide transportation plan and STIP. Through numerous planning documents, NMDOT set the targets for each performance measure, which specify measurable goals. The NMDOT plans which formally adopt the performance measures, goals and targets are: New Mexico 2040 Plan (NMDOT’s long-range statewide transportation plan) Strategic Highway Safety Plan (SHSP) Transportation Asset Management Plan Transportation Asset Management Plan (TAMP) New Mexico Freight Plan

MPOs are required to establish targets for each measure established in 23 USC 150(c) and in accordance with the Performance Based Planning and Programming chapter of the PPM. Where applicable, MPOs are required to establish targets in coordination with the relevant State(s) and to the maximum extent practicable, with providers of public transportation no later than 180 days after the date on which the relevant State or the provider of public transportation establishes their performance targets. The MPO Metropolitan Transportation

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Plans (MTPs) outline the MPO performance measures, goals and targets. All projects in MPO TIPs must be consistent with the MTP (23 CFR 450.326(i)) and must help the MPO achieve its performance measures, goals and targets, which are consistent with NMDOT’s performance measures, goals and targets. Any plans, performance measures and targets developed under Chapter 53 of Title 49 by providers of public transportation shall also be incorporated into MTPs.

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Statewide Transportation Improvement Program (STIP) & Transportation Improvement Program (TIP)

The STIP is the State’s transportation capital improvement program. The New Mexico STIP is a six-year plan that includes specific funding amounts by year for project implementation. The first four years are fiscally constrained (project costs do not exceed estimated revenues) and years five and six are considered the Planning Years thus are not fiscally constrained. Projects must also be consistent with the Statewide Long-Range Transportation Plan (currently the New Mexico 2040 Plan), a policy document that is not fiscally constrained, but includes the vision, performance goals and measures. FHWA and FTA approve the STIP every two years and amendments on a quarterly basis, or as needed. The TIP is a formally adopted list of federally funded and regionally significant transportation projects in the MPO area. Per 23 CFR 450.324-328, MPOs develop TIPs that define which federal transportation funds are allocated to specific transportation projects in the MPO regions. TIPs include all surface transportation projects funded with federal funding and all regionally significant projects even if funded by state or local dollars. Federal rules require TIPs: to cover a period of not less than four years ( New Mexico TIPs generally cover six years); include project funding levels and funding sources by year; and describe project work scopes. All projects in the TIP must be included in and/or consistent with the MTP, in order to be eligible for funding under Title 23 USC and Title 49 USC Chapter 53. A project that is not regionally significant or specifically identified in the MTP must only be consistent with the MTP. TIPs are fiscally constrained to assure project costs do not exceed available estimated revenues. MPOs provide reasonable opportunity for public comment and review during TIP development and subsequent TIP amendment processes as outlined in their Public Participation Plans (PPP). Once approved by the MPO Board, the TIP is included in the STIP without modification; however, the NMDOT Secretary and/or FHWA/FTA can make the determination that the TIP requires a corrective action(s). FHWA/FTA can apply partial approvals of the STIP/TIP depending on the severity of the corrective action and the time it takes to address the issue(s). MPOs are responsible for management of their TIPs from project entry to approval and are required to self-certify to the NMDOT with each new TIP adoption and each amendment. The self-certification is not required to address performance targets for each project individually; rather, it must demonstrate how the program of projects helps the MPO and State meet established performance measures and targets. It should also describe how the program of projects supports other federally mandated plans, such as the MTP, 2040 Plan, and the NMDOT Asset Management Plan. Additional guidance on this can be found in the Performance Based Planning and Programming chapter of the NMDOT Planning Procedures Manual (PPM). The NMDOT also self-certifies the STIP with every new adoption and amendment using the same guidelines for addressing performance measures and targets at the statewide level. All self-certification must comply with CFR §450.334 (1-10).

In this STIP Manual, any reference to “STIP” pertains to the MPO TIPs where applicable.

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Fiscal Constraint The first four years of the STIP and MPO TIPs must be fiscally constrained, which means that funding allocated to the program of projects must not exceed revenue. Years five and six of the STIP and TIPs are not required to be fiscally constrained and are used for planning purposes until a project is ready to move to the first four fiscally constrained years. Fiscal constraint of the STIP shall be demonstrated and maintained by year and shall include sufficient financial information to indicate which projects are to be implemented using current and or reasonably available revenues. In the case of proposed funding sources, strategies for ensuring their availability shall be identified in the financial plan. The MTP and TIP must also include sufficient financial information to demonstrate that projects can be implemented within budget and on time. The project-specific section of all federally funded projects listed in the STIP must identify the source(s) of federal and non-federal funding by year [see 23 CFR 450.218(i) (3) and 23 CFR 450.326 (g) (3), respectively]. Per 23 CFR § 450.326 (k), the STIP shall include a project, or an identified phase of a project (i.e. design, right of way, construction, or utilities), ONLY if full funding can reasonably be anticipated to be available for the project within the time period contemplated for completion.. In non-attainment and maintenance areas, projects included in the first two years of the STIP shall be limited to those for which funds are available or committed (El Paso MPO area only) per 23 CFR § 450.218(m) and § 450.326(k) . The STIP shall include financial information containing system-level estimates of costs and revenue sources that are reasonably expected to be available to adequately operate and maintain federal-aid highways and public transportation. The Federal funding reflected in the STIP, and in the supporting financial plan, for projects/project phases will be based on obligation authority limitation for each year. The NMDOT will utilize the obligation authority limitation to establish the value of reasonably available funds for the federal aid program and. will inform each MPO of the obligation rate, annually, once a Distribution of Federal-aid Highway Program Obligation Limitation has been received from FHWA. Until this has been received, the obligation rate will remain the same as previous federal fiscal years (FFYs) and that number should be used for fiscal constraint for the first four years of the TIPs and STIP. The NMDOT will notify MPOs of any changes to the obligation rate that deviate from the current rate by 1% or more, upon receiving updated information from FHWA. The cumulative total of the state and federal funds in the TIPs and STIP should not exceed, on an annual basis, the total state and federal funds reasonably available to the State. Demonstration of fiscal constraint is required on any Tribal/ Local Agency Projects (T/LPA) and/or privately developed Regionally Significant Project (as defined in Appendix A). Examples of demonstration of fiscal constraint are: the project is included in a governing body’s approved fiscal budget, the project and funding source are specifically identified in a resolution passed by the applicable

governing body, and/or the applicable governing body provides a bond certification.

Fiscal constraint for a privately developed project is demonstrated when the owner of the facility enters into an agreement with the developer, specifying all terms and conditions. If the facility is DOT owned, the DOT must enter into an agreement with the entity. It is the responsibility of each MPO to verify fiscal constraint of all projects in their TIP as part of the self-certification process. Failure to comply with fiscal constraint may result in a corrective action that may include a conditional or partial approval of the MPO TIP and the NMDOT STIP.

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The NMDOT will demonstrate to FHWA-NM that there are sufficient revenues to meet the matching requirements for the federal aid program with the budget authorization at the beginning of each State Fiscal Year. Appendix C-1, C-2

STIP Project Requirements The following projects are required to be included in the STIP:

All capital and non-capital transportation projects other than FTA-funded planning projects (including

Central Federal Lands Highways projects, trails projects, sidewalks, pedestrian and bicycle transportation facilities), or identified phases of transportation projects, proposed for funding under Title 23 and the Federal Transit Act, 23 CFR 450.218(h) and,

All regionally significant transportation projects requiring an action by the FHWA or the FTA whether or not the projects are to be funded with title 23 U.S.C. or Federal Transit Act funds. (23 CFR 450.216(h)).

The following projects are NOT required to be included in the STIP: 23 USC 402 and 49 USC 31102 Safety Projects; Metropolitan Planning (PL) projects funded under 23 USC 104(f), 49 USC 5305(d), and 49 USC 5339; State planning and research (SPR) projects funded under 23 USC 505 and 49 USC 5305(e) Emergency relief (ER) projects (except those involving substantial functional, locational or capacity

changes); National planning and research projects funded under 49 USC 5314; Project management oversight projects funded under 49 USC 5327; and State/locally funded projects that are not regionally significant.

Per 23 CFR 450.326, the following information is required for every project entered into the STIP Project Title – A unique identifier for the project. This should not duplicate information included in the Project Description or the location information. The Title should be descriptive but brief. Project Scope/Description- Sufficient descriptive material) to identify the project or phase. An example of an acceptable project description: “Rehabilitate and widen from 4 to6 lanes, including bicycle lanes, ADA compliant curbs and sidewalk, and median and shoulder landscaping”. For local lead projects, “T/LPA” must be added to the beginning of the Project Description for identification in FMIS. Primary Project Type/Work Type – The category of work the project falls under, from the list included in Figure C. There may be more than one work type per project. An example would be for a roadway reconstruction that also included bridge rehabilitation. The primary project type is chosen based on the amount and extent of the work, so roadway reconstruction is the larger project type, with bridge rehabilitation being a minor cost in comparison. All work types should be entered for each project with the associated cost estimate. Project Location - Route and associated mileposts or road names to include total project length. Secondary routes and termini must also be included if work on the project will extend to those routes. Termini listed should sufficiently cover the full project extents to include areas where traffic control will be set up. Bridges must be identified in the project by structure number, route, and termini and entered in as locations in the

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system. The eSTIP system also requires that each project be mapped on the “MAP” tab and this is displayed on the public site to make project locations easily identifiable to the public. Projects that do not require maps are trails, programmatic projects, new roads or facilities, and those with various locations. Additional project location requirements are county, NMDOT district, and RTPO (where applicable). Project Lead Agency - Identification of the agency responsible for carrying out the project or phase. If the project lead agency is a Tribal or Local Public Agency, “T/LPA” MUST be added to the front of the Project Description so that it can be identified in the FMIS system (23 CFR 630.108 (b)).

Project Funding - The total amount of funding proposed for obligation during each program year. For the first year, the proposed category of federal funds and all source(s) of non-federal funds, to include donations and local funding sources (see below section for more information). For the second, third and fourth years, the likely category or possible categories of federal funds and sources of non-federal funds. Project Cost - Estimated total cost, or a project cost range, which may extend beyond the four years of the STIP.

Project Phase – Preliminary Engineering (planning, design, etc.), Right of Way (ROW), Utilities, Construction and/or Construction Management must all be entered in the eSTIP with the associated funding amount per phase. Non-Federal Contributions to STIP Projects All fund contributions must be identified at the time of authorization by inclusion in the STIP and in FMIS. Per 23 CFR 630.106(h), donations of cash, land, material, or services may be credited to the state’s non-federal match of participating work; however, it may not exceed the total costs incurred by the state on the project. To accurately determine the full cost of the project, all elements of the project cost must be accounted for in the STIP regardless of the source. This includes all project phases (PE, ROW, utilities, construction, and construction management) and all funding sources (local funds, bonds, and private funds). Project donations that are not identified at the time of authorization because they were unknown or had not yet been contributed to the project, must be identified in FHWA’s FMIS within 90 days of NMDOT personnel becoming aware of the donation. Corridor and/or Segmented Projects A corridor project is a large project split into separate construction segments based upon funding availability. NMDOT and MPOs shall follow the process outlined below when incorporating corridor and or/segmented projects, into the STIP:

1. The initial Control Number (CN) for example 3100500 is considered the “parent project” and should be programmed for design (including preliminary and final design) and environmental of the whole corridor. ROW and utilities may be programmed under this parent project CN, if the ROW acquisition and utility relocations will be done for the entire corridor at one time.

2. Segment I is the split project and would have a CN 3100501. This segment is for the construction and must be fully funded. This phase may include ROW and utilities if they will be completed as part of the segment.

3. Segment II is for the next phase of construction and would have a CN 3100502. This segment must also be fully funded. This phase may include ROW and utilities if they will be completed as part of the segment.

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4. Any phase after Segment II, if not fully funded, should be programmed in the Planning Years of the

STIP. Appendix D

Baseline The first year of the STIP constitutes the “agreed to list” of projects and is considered the STIP baseline. The inclusion of a project in the first year of the approved STIP shows a firm commitment to advance this project during the program year, unless unforeseen issues arise. The regulations provide an opportunity to revisit project selection if actual financial resources, including the highway obligation limitation and transit appropriations, are significantly less than the initially expected or authorized amounts. In such cases, a MPO, the state or a transit operator, can request an amendment to projects in the first year of the STIP. Baseline is Set – October 1st of each federal fiscal year

Appendix E

Revision Procedures Project or project phase amounts are programmed in the STIP in a federal fiscal year according to the project cost estimate. This cost estimate is based on the resources necessary to complete the project or phase within a period that allows all project requirements to be met. Project costs may increase or decrease based on factors outside the project sponsor’s control and projects may not be completed in the period originally estimated. For these and other reasons, project lead agencies may find it necessary to request revisions to the adopted STIP. According to federal regulation 23 CFR § 450.104 STIP/TIP Revisions are changes made to a STIP; and are classified into two categories:

1. Formal Amendments are major revisions that require public review, demonstration of fiscal constraint, and if applicable, a conformity determination. Formal approval by the MPO’s Policy Board for projects that fall within a MPO is also required. Amendments are submitted to the NMDOT Secretary for approval, and subsequently FHWA and FTA.

2. Administrative Amendments/Modifications are minor revisions, outlined below, that can be made by STIP Personnel and MPO staff.

Formal Amendments The opportunity for public review and comment is provided for all STIP amendments in accordance with Public Involvement Procedures outlined in 23 CFR § 450.210 and 23 CFR § 450.316 and the NMDOT Public Participation Plan. NMDOT has an established process and schedule for amending the STIP on a quarterly basis. This schedule allows for a 30-day period for the public to review and comment on projects in proposed STIP amendments. In order to meet the NMDOT schedule, MPOs develop their own schedules to process TIP amendments through their committees and provide a public comment period according to their Public Participation Plans. T/LPAs with projects listed in the TIP should consult with the applicable MPO for amendment submittal deadlines. STIP amendments are available for public comment, online at the NMDOT public eSTIP site. After approval by the MPO Policy Board and NMDOT Secretary, the amendment is forwarded to FHWA and FTA for final approval (23 CFR 450.220(b)).

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Formal Amendments are required for:

Additions or deletions of any project (except as noted in the Administrative Amendments/Modifications section below);

Substantial changes to the scope of a project (e.g. changing the number of through traffic lanes or changing the type of project such as from rehabilitation to reconstruction);

Substantial changes of the project termini without an approved environmental document; Changes to any project that would affect air quality conformity; Changes in the availability (adding or deleting funds by Congressional action) of earmarked (special

appropriation) funds; Moving a project into or out of the first four federal fiscal years of a STIP; Changes in a project’s total programmed amount greater than 20% or an amount greater than

$2,000,000 for projects under $25M; Changes in a project’s total programmed amount greater than 20% or an amount greater than

$5,000,000 for projects over $25M; Projects with adjustments less than 20% or less than $2,000,000 that are not scheduled for production

before the next quarterly STIP amendment; Changes in a project’s fund source(s) from non-federal to federal; Changes in the termini of a capacity project beyond limits presented to the public during the public

involvement process; and/or Secondary routes added to a project.

Amendment Schedule Amendment NMDOT Public Comment Ends (30 Days)/

MPO Submission Deadline FHWA Approval

One (1) Mid-November Mid-December January Two (2) Mid-February Mid-March April Three (3) Mid-May Mid-June July Four (4) Mid-August Mid-September October

Amendment and Administrative cycle numbering sequence see Appendix F

Administrative Amendments/Modifications Administrative Modifications are required for any revisions that do not meet the Formal amendment criteria listed above. Administrative Modifications to Tribal/Local Public Agency (T/LPA) projects must follow the NMDOT T/LPA Handbook. The following qualify as Administrative Modifications: For projects under $25M – a change to the amount for a project phase of less than 20% of the total

project amount. The change cannot exceed $2,000,000 and only ONE adjustment per project in an active STIP is allowed (the adjustment should only be used as part of the federal authorization process to increase the programmed amount if the final estimate exceeds the current programmed amount);

For projects over $25M – a change to the amount for a project phase of less than 20% of the total project amount. The change cannot exceed $5,000,000 and only ONE adjustment per project in an active STIP is allowed (the adjustment should only be used as part of the federal authorization process to increase the programmed amount if the final estimate exceeds the current programmed amount;

Minor changes to the scope (project description) of a project that do not require recertification;

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Minor changes to the termini (up to a 1/2 mile on each side) of a non-capacity or capacity project which falls within the termini approved on the environmental document and do not extend beyond the limits of what was presented to the public during the public involvement process;

Adding or deleting a development phase of a project (preliminary engineering, ROW, construction, construction management or utilities) without major changes to the project scope/description or to the total project cost;

Moving projects within any of the first four years of the STIP/TIP, provided that fiscal constraint is maintained (23 CFR § 450.218(n));

Minor changes to funding sources of a project in the STIP/TIP (including switching federal funding categories) with no change to the project total;

Changes in a project fund source(s) from federal to non-federal with no changes to the project scope and only if funds have not been obligated (the disposition of the “freed-up” federal funds remain under the authority of the applicable District/MPO and are subject to STIP Revision requirements as appropriate);

Changing a project lead agency when agreed upon by the two agencies affected; Changes made to the non-federal funding amount on a non-federal project as long as the project is

NOT regionally significant; Adding a project that is 100% state or locally funded that is not regionally significant for tracking in

eSTIP And FMIS; Adding a project to the Planning Years (5th and/ or 6th year) of the STIP; Changes made to an existing project’s programmed FTA funds, Federal Lands Highway Program funds

(FH), Federal Lands Access Program (FLAP), Tribal Transportation (TTP), Emergency Relief, (ER) and/or Federal Recreational Trail funds (RTP), in order to reflect the actual amount awarded by the federal agency and the corresponding required amount of matching funds;

Adding, combining, removing, or revising an existing project to the STIP/TIP which is split from a “parent project” provided the cumulative, total amount of federal funding in each funding category in the parent and split projects remains intact and the overall scope of work intended to be accomplished does not change or affect NEPA; and/or

Adding a project to the STIP that utilizes ONLY one of the following type of funds : FTA funds, Federal Lands Highway Program funds (FLAP or FL), Tribal Transportation (TTP), Emergency Relief (ER), Federal Recreational Trail funds (RTP), TIGER Grant funds (TGER), funds issued through a FHWA memorandum and meets the following criteria: is programmed in the current STIP, has a total project amount of $2,000,000 or less, is consistent with the MTP (if within an MPO area), and minor impact on the overall metropolitan transportation system and will not add or reduce

through-travel lanes on any roadway functionally classified as an urban collector or rural major collector or higher.

Out-of-Cycle Amendments STIP amendments are sent to FHWA and FTA for approval in March, June, September, and December. Due to unforeseen circumstances that require amendments outside of the quarterly cycle, NMDOT has an out-of-cycle amendment process. The following steps must be followed:

1. For projects within an MPO area, the lead agency sends a formal request addressed to the chairperson of the MPO for an out-of-cycle amendment, per the MPO’s established procedure. For projects outside

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an MPO the project lead agency sends the formal request to the applicable NMDOT district. The request must include the reason(s) for the amendment and why it cannot be addressed within the quarterly cycle; The letter should include signature lines, including one for the chairperson of the MPO’s policy board, and one for the NMDOT Secretary;

2. If approved by the MPO’s policy board, the MPO forwards the request to the NMDOT Secretary; and

3. If approved by the Secretary, the out-of-cycle amendment request continues through the STIP approval process and is sent to FHWA and FTA for final approval.

Amending or Modifying an Awarded Project Any requested changes to a project awarded though the Multimodal Planning & Programs Bureau (MPPB), such as changes to scope; termini, funding, and/or phasing require review and approval by the applicable NMDOT Program Coordinator. The process for requesting changes is as follows and more details are found in the T/LPA Handbook:

1. The T/LPA Responsible Charge submits proposed changes via email to the respective Region Coordinator. The Region Coordinator contacts the appropriate NMDOT Program Coordinator to discuss the changes.

2. The NMDOT Program Coordinator reviews the proposed changes to determine eligibility and feasibility. If the request is approved, the Program Coordinator issues an Award Change Form via email to the T/LPA Responsible Charge. If the request is not approved, the NMDOT Program Coordinator responds accordingly to the T/LPA Responsible Charge.

3. The T/LPA Responsible Charge reviews, signs and returns the Award Change Form to the NMDOT Program Coordinator.

4. The NMDOT Program Coordinator emails the approved Award Change Form to all of the identified parties on the form, including the T/LPA Responsible Charge, the Region Coordinator, the STIP Coordinator and if applicable, the MPO TIP Coordinator. This initiates the TIP/STIP amendment process (see the NMDOT STIP Manual for more information on this process).

5. The Region Coordinator notifies the T/LPA Responsible Charge when the amendment is approved which indicates final approval of the requested project changes.

6. The T/LPA Responsible Charge follows the agreement process in the NMDOT T/LPA Handbook.

STIP Update Cycle Every two years, in the third quarter, the process begins for the STIP update to modify the six-year plan. During this process, fourth quarter amendments to the current STIP are not allowed as the new STIP is under development. June 30th – All projects shall be entered into eSTIP June 30th to August 15th – Any revisions to the new TIP are taken to the MPO Policy Board and can

be processed within this time frame

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Last week of August – All new TIPs are approved and the entire TIP/STIP package is submitted to FHWA/FTA for joint approval

FHWA/FTA approval- 30 days from the day of submittal

No administrative modifications of any type should be processed on the new STIP, until approval is received from FHWA/FTA. However; if an administrative amendment is made to the current approved STIP, then the project in the new STIP (under development) will need to match the change.

Quality Assurance/ Quality Control The NMDOT has implemented a Quality Assurance/ Quality Control (QA/QC) and Cost Estimation process For NMDOT lead projects. The QA/QC is intended to maintain fiscal constraint, ensure sufficient financial information is provided, and maintain a stable letting schedule. The purpose of the cost estimation form is to provide a consistent and reliable method for calculating the initial project estimate, which is the critical first step to the overall success of a NMDOT construction project, and is used to program the project in the STIP. Projects in the STIP should demonstrate committed funding (year 1 & 2), available or reasonably available funding revenue sources (year 3 & 4), with reasonable assurance that the federally supported transportation system is adequately operated and maintained. For T/LPA projects, the Project Feasibility Form (PFF) and feasibility meeting are used in lieu of the NMDOT QA/QC and Cost Estimation processes. For more information on the PFF and feasibility meeting, please see Chapter 1 (Planning) of the T/LPA Handbook. Appendix G

Process for Transfer of Funds There are situations where highway and/or transit funds are transferred between FHWA and FTA, between apportioned programs and/or between the state and federal agencies. The NMDOT process for the transfer of funds is included in the Appendix. Appendix H

Advance Construction Process Advance construction (AC) is a Federal-aid fund management tool designed to provide DOTs with greater flexibility in managing federal-aid highway funds. The primary benefit of AC is that it allows acceleration of transportation projects using non-federal funds while maintaining eligibility for reimbursement with federal funds later. FHWA does not consider advance construction as an obligation of federal funds or reimbursement. If federal funds fail to become available, the NMDOT or T/LPA must either use non-federal funds to complete the project or suspend work on the project. The NMDOT AC process is included in the Appendix. Appendix I-1, I-2, I-3

Conformity Determinations for STIP For any portion of the state in a nonattainment or maintenance area, the STIP is subject to a conformity determination and/or regional emissions analysis in accordance with 23 CFR § 450.218(b) and 23 CFR § 450.326(a). The STIP shall, in nonattainment and maintenance areas, give priority to eligible Transportation Control Measures (TCMs) identified in the approved Transportation Conformity State implementation Plan in accordance with Environmental Protection Agency (EPA) transportation conformity regulation and shall

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provide for their timely implementation 23 CFR § 450.326(k). In NM, southern Dona Ana County and the City of Sunland Park are in nonattainment. The Conformity Determination is managed by EPMPO in cooperation with NMDOT, New Mexico Environment Department, FHWA-TX & NM Divisions, and EPA.

Conditional or Partial Approval of TIP/STIP Amendments Although TIPs are included in the STIP without modification, the NMDOT Secretary can approve the TIP subject to certain corrective actions; or under special circumstances, approve a partial TIP covering only a portion of the MPO. FHWA/FTA can make the same determination for the STIP. NMDOT, FHWA and FTA shall review the STIP, and make a joint finding on the extent to which the STIP is based on a statewide transportation planning process that meets or substantially meets the requirements of 23 USC § 134 and 135, 49 USC § 5303 and 5304, and subparts A, B, and C of 23 CFR § 450. Approval, conditional approval, and partial approval shall be issued in accordance with 23 CFR § 450.220(b) and in accordance with 23 CFR § 450.330 and 23 CFR § 450.336(a) for MPO TIPs. Special circumstances that may result in a partial STIP Approval: The rural portion of STIP or the metropolitan TIP could not meet the set STIP schedule, and other STIP

portions were ready to for advancement for approval. The State/NMDOT requested partial approval for the advanced portion only.

The metropolitan TIPs did not have the conformity determination analysis completed yet, but the rural portion of the STIP was completed. The State/NMDOT requested FHWA/FTA’s approval of STIP containing only the rural projects.

The State/NMDOT did not have adequate public involvement procedures, which resulted in delaying

the rural portion of the STIP. The MPO’s TIPs had adequate public involvement, and met all the TIP requirements. The State/NMDOT was facing a lapsed STIP, and decided to forward the TIPs for partial STIP approval.

The TIP does not meet fiscal constraint requirements.

Federal Lands Highway projects could not meet the set STIP schedule. In the case FHWA/FTA jointly determined that the STIP does not substantially meet the requirements of 23 USC 135 and 23 CFR 450.220 for any identified categories of projects, they will not approve the STIP [23 CFR 450.220(b)] and will provide prompt communication to the STIP Manager. Congressionally earmarked projects may be conditionally approved subject to meeting all applicable planning and environmental requirements.

Corrective Actions Corrective actions are used when a project or projects in the STIP do not meet all applicable STIP requirements and further action by the State, MPO(s), or project sponsor is necessary to meet or complete the requirements. Corrective actions can include the following situations: Projects with inadequate or no fiscal information may not be approved and included in the STIP until

funding is assured and fiscal constraint determined by NMDOT. If funding is not assured for a specific phase of a project and/or the proposed innovative financing

package is incomplete, the project cannot be included in the STIP. Projects can be amended into the STIP per the amendment procedure outlined in this Manual.

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If the funding estimate and source are not identified in the TIP, the TIP will not be approved and included in the STIP until these items are identified.

If projects in the STIP are not consistent with or are not in the applicable long-range transportation plan, the plan must be amended to include the project.

Federal Planning Finding The Federal Planning Finding is a key oversight mechanism to ensure the STIP and TIPs are developed according to statewide and metropolitan transportation planning processes, consistent with required federal statutory and regulatory transportation planning and related provisions. FHWA Division Offices can use the Federal Planning Finding process to identify areas of risk within the transportation planning programs in their statewide and metropolitan planning processes. This process review focuses on the self-certifications submitted by NMDOT and the MPOs during STIP adoptions and amendments. The finding also considers other formal FHWA and FTA reviews and approvals including TMA certification, conformity determinations, State Planning and Research Program approvals, and routine FHWA and FTA involvement in the statewide and metropolitan planning processes (e.g., review, concurrence, approval, of various planning documents, or participation in various meetings and processes). The Federal Planning Finding also considers best practices from around the country that will enhance and improve overall transparency of the State and MPO Planning processes and improvements that support streamlined federal review and approvals of required documents including the STIP. FHWA-NM and NMDOT work together to identify best practices, recommendations, and corrective actions in each FHWA/FTA action on the STIP (i.e., update and amendment). This approach provides flexibility and early opportunities to act on areas of concern. In addition, oversight responsibilities are enhanced through frequent communication and regular quarterly meetings between FHWA, NMDOT Statewide MPPB, and the STIP Unit. This approach has proven to be effective and efficient. End-of-Year Close-out Procedures Situations may arise that require adjustments be made to the STIP at the end of the FFY. An End of Year close-out may require that the NMDOT and MPOs work together outside the normal amendment calendar to make sure projects are obligated. The following steps must be followed:

1. The NMDOT Districts send a formal request to the MPO requesting an administrative modification to accelerate a project in accordance with the above procedures. The process of accelerating a project for closeout will follow the 23 CFR § 450.218 and 23 CFR § 450.326.

2. Projects submitted can be considered for close out if they have all certifications complete and can be obligated prior to the end of the first week of September in the respective federal fiscal year. These projects must be programmed in the current first four years of the STIP.

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Appendix A Glossary of Terms

Administrative Modification: A minor revision to a long range statewide or metropolitan transportation plan, Transportation Improvement Program (TIP), or Statewide Transportation Improvement program (STIP) that includes minor changes to project/ project phase costs, minor changes to funding sources of previously included projects, and minor changes to project/project phase 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).

Advance Construction:

A technique which allows a State to initiate a project using non- federal funds while preserving eligibility for future Federal-aid funds. Eligibility means that FHWA has determined that the project technically qualifies for Federal-aid; however, no present or future Federal funds are committed to the project. After an advance construction project is authorized, the State may convert the project to regular Federal- aid funding provided Federal funds are made available for the project. This can be accomplished as one action, or the project may be partially converted over time.

Allocation: An administrative distribution of funds for programs that do not have statutory distribution formulas.

Amendment: A revision to a long range statewide or metropolitan transportation plan, Transportation Improvement Program (TIP), or Statewide Transportation Improvement Program (STIP)that involves a major change to a project included in a metropolitan transportation plan, TIP, or STIP, including the addition or deletion of a project or a major change in project cost, project/project phase initiation dates, or a major change in design concept or design scope (e.g., changing project termini or the number of through traffic lanes). Changes to projects that are included only for illustrative purposes do not require an amendment. An amendment is a revision that 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). In the context of a long-range statewide transportation plan, an amendment is a revision approved by the state in accordance with its public involvement process.

Apportionment: The distribution of funds as prescribed by a statutory formula provided in law.

Appropriations Act:

Action of a legislative body that makes funds available for expenditure with specific limitations as to amount, purpose, and duration. An appropriations act specifies amounts of funds that Congress will make available for the fiscal year to liquidate obligations.

Asset Management: A strategic and systematic process of operating, maintaining, and improving physical assets, with a focus on both engineering and economic analysis based upon quality information, to identify a structured sequence of maintenance, preservation, repair, rehabilitation, and replacement actions that will achieve and sustain a desired state of good repair over the lifecycle of the assets at minimum practicable cost.

Authorization: Upper limits of funding made available to a program.

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Available Funds:

Applies to the first two years of the TIP and STIP in air quality nonattainment and maintenance areas. Includes funds derived from an existing source of funds dedicated to or historically used for transportation purposes. For Federal funds, authorized and/or appropriated funds and the extrapolation of formula and discretionary funds at historic rates of increase are considered "available."

Committed Funds:

Applies to the first two years of the TIP and STIP in air quality nonattainment and maintenance areas. Includes funds that have been bound or obligated for transportation purposes. For State funds that are not dedicated to or historically used for transportation purposes, only those funds over which the Governor has control may be considered as "committed." In this case, approval of the TIP by the Governor is considered a commitment of the funds. For local or private sources not dedicated to or historically used for transportation purposes (including donations of property), a commitment in writing/letter of intent by the responsible official or body having control of the funds constitutes a "commitment."

Conformity:

A process to assess the consistency of any transportation plan, program or project with State air quality implementation plans. The transportation conformity process is defined by the Clean Air Act, and implemented by 40 CFR 51 and 93.

Cooperation:

The parties involved in carrying out the planning, programming and management systems processes work together to achieve a common goal or objective.

Coordination:

The comparison of the transportation plans, programs and schedules of one agency with related Plans, programs, and schedules for other agencies or entities with legal standing, and adjustment of plans, programs, and schedules to achieve general consistency.

Consultation:

One party confers with another identified party and, prior to taking action(s), considers that party’s views.

Contract Authority:

A form of budget authority that permits obligations to be made in advance of appropriations.

Cost Estimate:

A prediction of all costs and the value of any resources needed to complete the design, right-of-way activities, environmental studies, construction, project management, etc. as well as costs and re- sources paid to others for work related to a project such as utility adjustments, environmental mitigations, and railroad relocations.

Federal-aid Highway: A public highway eligible for assistance under 23 USC § 101 other than a highway functionally classified as a local road or rural minor collector.

Fiscal Constraint:

A demonstration of sufficient funds (Federal, State, local, and private) to implement proposed transportation system improvements, as well as to operate and maintain the entire system, through the comparison of revenues and costs.

Highway: This term includes (A) a road, street, and parkway; (B) a right-of-way, bridge, railroad-highway crossing, tunnel, drainage structure including public roads on dams, sign, guardrail, and protective structure, in connection with a highway; and (C) a portion of any interstate or international bridge or tunnel and the approaches thereto, the cost of which is assumed by a state transportation department, including such facilities as may be required by the U.S. Customs and Immigration Services in connection with the operation of an international bridge or tunnel.

Intelligent Transportation System (ITS):

Electronics, photonics, communications, or information processing used singly or in combination to improve the efficiency or safety of a surface transportation system.

Metropolitan Planning Area (MPA):

The geographic area determined by agreement between the metropolitan planning organization (MPO) for the area and the Governor, in which the metropolitan transportation planning process is carried out.

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Obligation Authority:

The total amount of funds that may be obligated in a given fiscal year. This is comprised of the obligation limitation amount plus the amounts for programs that are exempt from the obligation limitation.

Metropolitan Planning Organization (MPO):

The policy board of an organization created and designated to carry out the Metropolitan transportation planning process.

Metropolitan Transportation Plan:

The official multimodal transportation plan addressing no less than a 20-year planning horizon that is developed, adopted, and updated by the metropolitan planning organization (MPO) through the metropolitan transportation planning process.

Obligated Projects: Strategies and projects funded under Title 23 USC and 49 USC Chapter 53 for which the supporting federal funds were authorized and committed by the state or designated recipient in the preceding program year, and authorized by the FHWA or awarded as a grant by the FTA.

Obligation Limitation:

An annual Congressional restriction or ceiling on the amount of Federal assistance that may be obligated during a specific period of time. This is a statutory budgetary contract that does not affect the apportionment or allocation of funds. Rather, it controls the rate at which these funds may be used.

Over Programming:

A term associated with the STIP in which the cumulative total of the programmed projects/ project phases, by year, exceed the estimated revenues that are "reasonably expected to be available" to implement the TIP and/or STIP (including funding that is "available or committed" in the first two years of the TIP and STIP in nonattainment and maintenance areas).

Production: A commitment that the project is ready to be advertised at the PMTM is the assurance a project will be submitted in accordance with production deadline. The production deadline is the 4th Monday of each month.

Project: Any transportation undertaking eligible for assistance under Title 23 USC.

Project cost:

Total allowable costs incurred under a Federal award and all required cost sharing and voluntary committed cost sharing, including third-party contributions.

Project Selection: The procedures followed by metropolitan planning organizations (MPOs), states, and public Transportation operators to advance projects from the first four years of an approved TIP and/or STIP to implementation, in accordance with agreed upon procedures.

Regionally Significant:

Regionally Significant Project means a transportation project (other than an exempt project) that is on a facility which serves regional transportation needs (such as access to and from the area outside of the region, major activity centers in the region, major planned developments such as new retail malls, sports complexes, etc., or transportation terminals as well as most terminals themselves) and would normally be included in the modeling of a metropolitan area's transportation network, including at a minimum all principal arterial highways and all fixed guide way transit facilities that offer an alternative to regional highway travel.

Routine Project: A Routine Project is defined as any project that is not anticipated to cause sustained work zone impacts. These projects are typically rural in nature and are located on low to medium volume roads. The level of service (LOS) for these types of roads would not be significantly impacted if a lane is closed during normal work operations.

Rural Areas: All areas of a state not included in urban areas.

Safety Improvement Project: A strategy, activity, or project on a public road that is consistent with the state strategic highway safety plan and corrects or improves a roadway feature that constitutes a hazard to road users or addresses a highway safety problem.

Strategic Highway Safety Plan:

A plan developed by the state department of transportation in accordance with the requirements of 23 USC § 148(a)(6).

Significant Project: A Significant Project is defined as all interstate system projects within the boundaries of designated TMA that occupy a location for more than three days with either intermittent or

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continuous lane closures. A TMA is an area designated by the United States Secretary of Transportation as having an urbanized population of over 200,0001. A Significant Project may also be any project that alone or in combination with other concurrent projects nearby is anticipated to cause sustained work zone impacts that are greater than what is considered tolerable based on NMDOT policy and or engineering judgement.

Transportation Improvement Program (TIP):

A prioritized listing/program of transportation projects covering a period of 4 years that is developed and formally adopted by a metropolitan planning organization (MPO) as part of the metropolitan transportation planning process, consistent with the metropolitan transportation plan, and required for projects to be eligible for funding under Title 23 USC and Title 49 USC Chapter 53.

Transportation Management Area (TMA):

An urbanized area with a population over 200,000, as defined by the U.S. Census and designated by the Secretary of Transportation, or any additional area where TMA designation is requested by the Governor and the metropolitan planning organization (MPO) and designated by the Secretary of Transportation.

Unobligated balance:

The amount of funds under a Federal award that the non-Federal entity has not obligated. The amount is computed by subtracting the cumulative amount of the non-Federal entity's unliquidated obligations and expenditures of funds under the Federal award from the cumulative amount of the funds that the Federal awarding agency or pass-through entity authorized the non-Federal entity to obligate.

Urban Area: An urbanized area or, in the case of an urbanized area encompassing more than one state, that part of the urbanized area in each such state, or urban place as designated by the U.S. Census having a population of 5,000 or more and not within any urbanized area, within boundaries to be fixed by responsible state and local officials in cooperation with each other, subject to approval by the Secretary. Such boundaries shall encompass, at a minimum, the entire urban place designated by the U.S. Census, except in the case of cities in Maine and New Hampshire.

Urbanized Area: An area with a population of 50,000 or more designated by the U.S. Census, within boundaries to be fixed by responsible state and local officials in cooperation with each other, subject to approval by the Secretary. Such boundaries shall encompass, at a minimum, the entire urbanized area within a state as designated by the U.S. Census.

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Appendix B Acronyms

ADT Annual Average Daily Traffic

AC Advanced Construction

ADA Americans with Disabilities Act of 1990

ADT Average Daily Traffic

BPE Bicycle-Equestrian-Pedestrian

CFR Code of Federal Regulations

CMAQ Congestion Mitigation And Air Quality

CMP Congestion Management Plan

CMP Congestion Mitigation Plan

COG Council of Governments

DOT Department of Transportation

EA Environmental Assessment

EPMPO El Paso Metropolitan Planning Organization

e-STIP Electronic State Transportation Improvement Program

FAHP Federal-Aid Highway Program

FARS Fatality Analysis Reporting System

FC Fiscal Constraint

FLTP Federal Lands Transportation Program

FMIS Fiscal Management Information System

FMPO Farmington Metropolitan Planning Organization

FHWA Federal Highway Administration

FLH Federal Land Highway

FTA Federal Transit Administration

FY Fiscal Year

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GTG Government to Government

HPMS Highway Performance Monitoring System

HSIP Highway Safety Improvement Program

HTF Highway Trust Fund

IT/ITS Intelligent Transportation/Intelligent Transportations Systems

LCMPO Las Cruces Metropolitan Planning Organization

LRTP Long Range Transportation Plan

MPA Metropolitan Planning Area

MPO Metropolitan Planning Organization

MRCOG Mid-Region Council of Governments

MRMPO Mid-Region Metropolitan Planning Organization

MRRTPO Mid-Region Rural Transportation Planning Organization

MTP Metropolitan Transportation Plan

MVMPO Mesilla Valley Metropolitan Planning Organization

NEPA National Environmental Policy Act

NERTPO North East Regional Transportation Planning Organization

NHPP National Highway Performance Program

NHS National Highway System

NHTSA National Highway Traffic Safety Administration

NMDOT New Mexico Department of Transportation

NMTP New Mexico Transportation Plan

NPRTPO Northern Pueblos Regional Transportation Planning Organization

NTP Notice to Proceed

NWRTPO Northwest Regional Transportation Planning Organization

PMTM Project Management Team Meeting

PS&E Plans, specifications, and estimate

RFP Request for proposals

ROW Right-of-Way

RTA Regional Transit Authority

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RTD Regional Transportation District

RTO Regional Transportation Authority

RTP Recreation Trails Program

RTP Regional Transportation Plan

RTPO Regional Transportation Planning Organization

SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users

SCRTPO South Central Regional Transportation Planning Organization

SERTPO South East Regional Transportation Planning Organization

SFMPO Santa Fe Metropolitan Planning Organization

SHRP2 Future Strategic Highway Safety Plan

SHSP Strategic Highway Safety Plan

SRTS Safe Routes to School

STIP Statewide Transportation Improvement Plan

STP Surface Transportation Block Grant Program

SWRTPO South West Regional Transportation Planning Organization

TAP Transportation Alternatives Program

TIP Transportation Improvement Program

T/LPA Tribal/Local Public Agency

TMA Transportation Management Area

TRB Transportation Research Board

UA Urbanized Area

VE Value Engineering

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Appendix C-1 Fiscal Constraint

EXAMPLE:

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Appendix C-2 Clarifying Fiscal Constraint Guidance

This document clarifies the fiscal constraint requirements for States and Metropolitan Planning Organizations (MPOs) and encourages the use of fiscal constraint flexibilities. 1. What is fiscal constraint?

Since 1991, fiscal constraint has been a key component of the statewide and metropolitan transportation planning processes. Fiscal constraint means that a Metropolitan Transportation Plan (MTP), Transportation Improvement Program (TIP) and Statewide Transportation Improvement Program (STIP) include sufficient financial information to demonstrate that the projects in the MTP, TIP, and STIP can be implemented using committed, available, or reasonably available Federal, State, local, and private revenues, with the assurance that the federally supported transportation system is being adequately operated and maintained. Some examples of reasonable funding assumptions are discussed in the table below:

EXAMPLES OF "REASONABLY AVAILABLE" ASSUMPTIONS New Tolls

A new toll or other user fee dedicated to a particular project or program may be reasonable if there is clear evidence of support by the Governor, legislature, and/or other appropriate local/regional decision-makers.

New Taxes

A new tax for transportation purposes requiring local and/or State legislation and/or support from the Governor is reasonable if there is clear evidence of sufficient support (both governmental and public) to enact the new tax and a strategy exists for securing those approvals within the time period for implementing the affected projects.

Increase in Existing Taxes

If a State or local jurisdiction has past historical success in incrementally increasing gas taxes for transportation purposes, it is reasonable to assume that this trend (and the historic rate of increase) over a comparable period of time will continue.

New Bonds or Innovative Finance Mechanisms

A new bond or other financing mechanisms issued for a particular project or program may be reasonable if there is clear evidence or a history of support by the legislature, Governor, and/or other appropriate decision-makers and a strategy exists with milestones for securing those approvals within the time period for implementing the affected projects or program.

Increased Transit Fares

If a transit operator has past historical success in incrementally increasing transit fares, it is reasonable to assume that this trend (and the historic frequency of increase) over a comparable period of time will continue.

Future Authorizations

When the horizon year for a project in the STIP/TIP or MTP extends beyond the current authorization period for Federal program funds, available funds may include an extrapolation based on historic authorizations of Federal funds that are distributed by formula.

2. What is the relationship between NEPA and fiscal constraint?

The NMDOT may start the environmental review process for a project without demonstrating fiscal constraint; however, funding for a subsequent phase of the project (e.g., final design, right-of-way (ROW) acquisition, or construction) must be shown in the STIP/TIP before FHWA can sign a Record of Decision (ROD), Finding of No Significant Impact (FONSI), or approve the Categorical Exclusion (CE). The STIP should include all sources of revenue for a project and can only include projects for which full funding can reasonably be anticipated to be available. For projects in metropolitan planning areas, estimated full project costs need to be shown in the

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MTP. For illustrative purposes, the STIP can include additional projects that would be included in the adopted STIP if reasonable additional resources beyond those identified in the financial plan were to become available. Fiscal constraint allows the planning process to advance only those projects that a State, MPO, or local agency can afford to implement and are environmentally and/or financially feasible. Planning and Environmental Linkages studies can be used to evaluate project feasibility and costs before launching into NEPA reviews. Examples of planning and environmental linkages (PEL) include a Tier I Environmental Impact Statement (EIS), corridor study, or feasibility study. These studies can be conducted without demonstrating fiscal constraint in the MTP. PEL studies allow a State or MPO to do advanced planning that can be used in the NEPA process. If a Tier I EIS includes a decision that could result in a federally-funded implementation action (such as the purchase of ROW), the project must be listed in the MTP and STIP/TIP, with one subsequent phase listed in the existing STIP/TIP. Further, full funding must be reasonably be anticipated to be available for the project within the time period expected to complete the project before the Tier I ROD can be signed. The subsequent phase (Tier II) will be the continuation of the NEPA process. A Tier I project cost estimation may be broader (e.g., use of banding) than for the regular projects. 3. What are the implications of fiscal constraint for non-attainment and maintenance areas?

In air quality nonattainment and maintenance areas, projects included in the first two years of the TIP and STIP require funds to be "available" or "committed". Available funds are funds derived from an existing source historically used for transportation purposes, such as Federal authorized and/or appropriated funds. Committed funds are funds that have been dedicated or obligated for transportation purposes. In addition, in nonattainment and maintenance areas, fiscal constraint must be demonstrated on Plan and TIP before transportation conformity can be determined.

United States. Federal Highway Administration. “Clarifying Fiscal Constraint Guidance”. FHWA.gov./planning Federal Highway Administration, n.d. Web. 22 May 2018.

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Appendix D Project Identification and Control Number Format

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Appendix E STIP Baseline

This report shows all of the federally funded projects programmed for the entire fiscal year with the amount to be obligated for those projects. STIP Staff updates this report quarterly to show the progress made in the number of original projects programmed, how many were moved to different quarters, and the associated funding for all obligated projects.

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Appendix F Amendment Numbering Sequence

Formal amendment cycle numbering example for two-year STIP 2020 – 2021

Amendment Number 1: 20-01 December 2019

Amendment Number 2: 20-02 March 2020

Amendment Number 3: 20-03 June 2020

Amendment Number 4: 20-04 September 2020

Amendment Number 5: 20-05 December 2020

Amendment Number 6: 20-06 March 2021

Amendment Number 7: 20-07 June 2021

When a new two-year STIP is under development the formal amendment numbering will be as follows:

Amendment Number 0: 20-00 thru 20-07

Amendment Number 0: 22-00 thru 22-07

Note: if an out of cycle amendment occurs, then the numbering sequence will increase by 1 (e.g. -09 instead of -08)

Administrative Sequence Numbering

Administrative amendment cycle numbering example for two-year STIP 2020-2021

Administrative Mod: 20-00.1 October 2019

Administrative Mod: 20-01.1 November 2019

Administrative Mod: 20-02.1 December 2019

Administrative Mod: 20-03.1 January 2020

Administrative Mod: 20-04.1 February 2020

Administrative Mod: 20-05.1 March 2020

Administrative Mod: 20-06.1 April 2020

Administrative Mod: 20-07.1 May 2020

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Administrative Mod: 20-08.1 June 2020

Administrative Mod: 20-09.1 July 2020

Administrative Mod: 20-10.1 August 2020

Administrative Mod: 20-11.1 September 2020

Administrative Mod: 20-12.1 October 2020

Administrative Mod: 20-13.1 November 2020

Administrative Mod: 20-14.1 December 2020

Administrative Mod: 20-15.1 January 2021

Administrative Mod: 20-16.1 February 2021

Administrative Mod: 20-17.1 March 2021

Administrative Mod: 20-18.1 April 2021

Administrative Mod: 20-19.1 May 2021

Administrative Mod: 20-20.1 June 2021

Administrative Mod: 20-21.1 July 2021

Administrative Mod: 20-22.1 August 2021

When a new two-year STIP is under development the administrative amendment numbering will be as follows:

Administrative Mod: 20-00.1 thru 20-22.1

Administrative Mod: 22-00.1 thru 22-22.1

Note: if an administrative amendment must be closed out prior to the month ending and another administrative amendment must be processed, the month number will remain the same with a 1, 2, 3 etc., after it (e.g. 20-01.2 or 20-01.3). The next

month would continue with the normal sequence numbering as listed above.

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Appendix G Quality Assurance/Quality Control (QA/QC)

The NMDOT is committed to assuring all projects along with the phases (design, ROW, utilities, etc.) of projects are fiscally constrained. The QA/QC is intended to maintain fiscal constraint, ensure sufficient financial information is provided, and maintain a stable letting schedule. Projects in the STIP should demonstrate committed funding (year 1 & 2), available or reasonably available funding revenue sources (year 3 & 4), with reasonable assurance that the federally supported transportation system is adequately operated and maintained. The QA/QC element will reduce the risk of projects programmed in fiscal years that do not match the development timeline, which could result in delays in project approval or STIP approval. It will also provide an early opportunity for the STIP personnel to work with all project sponsors in addressing pending issues early in the project development process. In order to assure that the QA/QC is implemented and followed to FHWA- NMDOT standards the following will need to take place: Project information is complete and meets the established requirements of the NMDOT STIP

Procedures Manual and federal law;

STIP projects can be implemented using committed, available, or reasonable available revenues;

Projects are programmed in accordance to project readiness, funding availability, documentation (i.e., scoping report, study(s) or analysis), and realistic schedules;

Projects are phased logically (i.e., design, right of way, construction, or utilities) and per the Order of Obligation flowchart shown in Figure 2;

Projects are programmed in accordance with the corresponding long-range plans, asset management plan, and prioritization processes.

New Projects Entering STIP The QA/QC for new projects programmed will take place prior to the project entering the STIP through a formal amendment. It will provide an early opportunity for the STIP personnel to work with all project sponsors in addressing pending issues early in the process. The Assistant District Engineering Support Area will need to assure the following required criterion has been met in order for the project to enter the STIP:

Scoping Report

Cost Estimation Districts/Regions to complete http://dot.state.nm.us/content/dam/nmdot/Plans_Specs_Estimates/Design_Directives/IDD-2018-

09_Establishing_Initial_Project_Estimates.pdf

Timeline- percent complete design readiness (see following table)

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FFY 2020-2023 Year 1- 90-100% Design Year 2- 60-89% Design Year 3- 30-59% Design Year 4- 0-29% Design Year 5 & 6- Planning

The FFY’s coincide with the STIP every two-year cycle. The IDD for the 30, 60 & 90 can be found at http://dot.state.nm.us/content/dam/nmdot/Plans_Specs_Estimates/Design_Directives/IDD-2018-27_Plan_Inspection_and_Plan_Footprint_Minimum_Plan_Information_Requirements.pdf.

Existing Projects in the STIP Projects already in the STIP will have a QA/QC review at the NMDOT’s monthly PMTM meeting. STIP Personnel along with the Districts and Regions will work together to ensure the projects are demonstrating QA/QC based on the STIP Procedures. The following required criteria is required for a project to proceed through the STIP: Cost Estimate – project is not within 30%, it will need to be added to the next STIP amendment to

make the project whole; http://dot.state.nm.us/content/dam/nmdot/Estimator/EstimatorUsersGuide.pdf

Timeline- percent complete design readiness & PMTM Schedule (see table below)

PMTM Schedule FFY 2020-2023

Green Year 1- 90-100% Design Green/Yellow Year 2- 60-90% Design Yellow/Red Year 3- 30-60% Design

Red Year 4- 0-30% Design Year 5 & 6- Planning

The FFY’s coincide with the STIP every two-year cycle. The IDD for the 30, 60 & 90 can be found at http://dot.state.nm.us/content/dam/nmdot/Plans_Specs_Estimates/Design_Directives/IDD-2018-27_Plan_Inspection_and_Plan_Footprint_Minimum_Plan_Information_Requirements.pdf.

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Appendix H Process for Transfer of Funds

The purpose of this document is to implement statutory provisions associated with the transfer of highway, transit funds, or funds among State to State or to the Federal Highway Administration (FHWA). The process will clarify various authorities and administrative procedures associated with transferring of funds to other agencies as referenced in order 4551.1 dated August 12, 2013.

FTA Transfers Transfers between the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) for Federal-Aid Highway Program (FAHP) funds is allowed and administered under chapter 53 of Title 49, per 23 U.S.C. 104(f)(1). Eligible transit and/or transportation planning projects may be transferred to and administered by FTA; however, the Federal share requirements of the original fund category apply. FHWA may accept transfers and administer FTA funds for highway projects or transportation planning per 23 U.S.C. 104(f)(2).

1. The MPO will remind agencies with potential FTA transfers about the deadline of November 1 for submittal of below documentation.

2. The requesting agency shall submit an MPO concurrence letter and TIP page to the NMDOT Transit

Bureau Chief by November 1st of the current federal fiscal year. If the deadline of November1st cannot be met, an extension will need to be requested through and approved by the Transit Bureau and STIP Unit. This will begin the transfer process.

3. NMDOT’s Transit Bureau will confirm the information, to include funding amount and eligibility, from

the receiving agency and prepare the letter to FHWA formally requesting the transfer.

4. The Transit Bureau will submit the complete package including, the MPO concurrence letter, TIP page and transfer request letter to the STIP Unit.

5. The STIP Unit will then submit the transfer request letter to the NMDOT Chief Engineer for signature

and prepare the FHWA excel form.

6. Once all forms are signed, validated and verified with the FMISW10A & FMISM58A reports, the STIP Unit will scan and send the complete package to FHWA’s Division Office Financial Specialist via email.

State to FHWA Transfers/State to State Transfers A State may transfer funds apportioned or allocated under Title 23 to another State or to FHWA, per 23 U.S.C. 104(f)(3), provided the receiving agency agrees to undertake a project eligible for those funds. In addition to facilitating funding transfer for pooled-fund planning or research studies, this provision permits transfer between States and, in unique circumstances to FHWA.

In accordance with 23 U.S.C. 104(f)(3)(C), funds apportioned to a State for the Surface Transportation Program (STP) and attributed to an urbanized area with a population of over 200,000 individuals in that State may be transferred to FHWA or to another State only if the metropolitan planning organization designated

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for the area concurs, in writing, and the acknowledgement is included within or attached to the transfer request form.

1. Staff from NMDOT Planning or Research Bureaus will submit pooled-fund planning or research study

transfers to the STIP Unit with a request letter addressed to FHWA, this will began the transfer process.

2. The STIP Unit will verify the information, including amounts and project description, then submit the letter to the Chief Engineer for signature and prepare the FHWA excel form.

3. Once all forms are signed, validated and verified with the FMISW10A & FMISM58A reports, the STIP

Unit will scan and send the complete package to FHWA’s Division Office Financial Specialist via email.

Transfers between Apportioned Programs Transferability of FAHP funds provides that an amount not to exceed 50%* of the amount apportioned under section 104(b) for the fiscal year may be transferred to another apportionment of the State. Consistent with prior implementation of section 126, transfer limitations are established on a fiscal year-by-fiscal year basis and the sum eligible to be transferred is limited to an amount not to exceed 50% of the amount apportioned to a program in each fiscal year. Transfers between the following programs are covered under provision; National Highway Performance Program (NHPP), Surface Transportation Grant Block Program (STP), Highway Safety Improvement Program (HSIP), Congestion Mitigation & Air Quality Improvement Program (CMAQ), and Transportation Alternatives Program (TAP).

1. The STIP Unit will prepare and submit a letter to the Chief Engineer for signature and prepare the FHWA excel form.

2. Once all forms have been signed, validated, and verified with the FMISW10A & FMISM58A reports, the STIP Unit will scan and send the package, via email, to the Financial Team at the FHWA Division office.

*NOTE- Only 50% of the specified funds made available in the specified original fiscal year by program code and fiscal year may be transferred to other apportionments of the State under any program apportioned under 23 U.S.C. 104 (b).

Transfers from a State to a Federal agency other than FHWA or FTA In unique circumstances, a State may request, from FHWA, a transfer of funds for the Federal share of a project directly to the Federal agency taking responsibility for the project, per 23 U.S.C. 132(a)(1). This requires that the State have the requisite legal authority and that an agreement is implemented between the State and the Federal agency prior to the transfer request.

When a State enters into an agreement with another Federal agency for a Federal-aid project to be “undertaken” by that Federal agency, “undertaken” means that the Federal agency must actually administer the project or carry out an activity necessary to the project, either with its own forces or through a contract

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with a contractor that provides goods or services to the Federal agency undertaking the project on behalf of the State.

Under 23 U.S.C. 132, a State should provide sufficient information to the FHWA Division Office to permit processing of the request. The State should provide a brief description of the project(s) to be funded with the transferred funds, the name of the receiving Federal agency (including a person in responsible charge), and a written confirmation that the receiving agency has agreed to undertake the project(s). Upon receipt of the FHWA transfer request form, prior to any concurrence, the Division Office must determine that the project(s) meets the applicable Title 23 requirements. These guidelines apply to funds transferred to Central Federal Lands.

1. The STIP Unit will prepare and submit a letter to the Chief Engineer for signature and prepare the FHWA excel form.

2. Once all forms have been signed, validated, and verified with the FMISW10A & FMISM58A reports, the STIP Unit will scan and send the package, via email, to the Financial Team at the FHWA Division office.

Transfer funds are not available until they are received and/or credited into the federal receiving agency system (showing the funds are available). The availability of funds is not an automatic just because there was a submittal request.

Contact List: Transit Bureau Chief, NMDOT 505-469-3595 STIP Manager, NMDOT 505-946-7323 Transportation Program Manager, Mid-Region MPO 505-724-3621 Senior Planner, Santa Fe MPO 505-955-6664 MPO Planner, Farmington MPO 505-599-1392 MPO Planner, Mesilla Valley MPO 575-528-3070 Transportation Coordinator, El Paso MPO 915-212-0258

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Appendix I-1 NMDOT Advance Construction Process

Advance Construction is one of several federal-aid fund management tools designed to provide DOTs with greater flexibility in managing federal funds and is authorized by 23 USC Section 115. The primary benefit of AC is that it allows acceleration of transportation projects using non-federal funds while maintaining eligibility for reimbursement with federal funds later. FHWA does not consider advance construction as an obligation of federal funds or reimbursement. If federal funds fail to become available, the NMDOT or T/LPA must either use non-federal funds to complete the project or suspend work on the project. It is essential for the NMDOT to assess risks before considering Advance Construction. Other statutory and regulatory requirements are 23 CFR Section 630.701-709, Subpart G – Advance Construction of Federal-Aid Projects; Advance Construction Final Rule; and 23 U.S.C. Section 135(g) – Statewide Transportation Improvement Program (STIP). Conversion of Advance Construction (AC) funds will occur no later than October 31 of the AC’d funds Federal Fiscal year the AC is programmed. (I.e. FY 2021 AC’d funds will be converted by October 31, 2020)

AC Process for NMDOT Lead projects State Identifies project(s) for Advance Construction (AC) designation

The project must be identified in the first or second year of the current STIP, in order to be eligible 23

USC 115 © specifies that an AC project application may be approved “only if the project is included in the transportation improvement program of the State developed under section 135(f).” Because AC does not constitute a commitment of Federal funds to a project, the financial plan and/or funding information for the STIP, needs to demonstrate sufficient non-Federal revenues to provide all funding for the costs of projects listed as “AC” in the STIP ( 23 U.S.C. 135(g)(4)E).

Projects can be AC’d based on the funding available in the first and second year of the project and when a Notice to Proceed will be issued to begin construction.

Projects can be AC’d in the STIP without AC/ACCP being identified in the current year if the State is on a Continuing Resolution (CR), and if the State has no remaining limitation. Conversions will be processed, as funds are available and within 30 days of the funds being available to the State.

State constructs projects following federal-aid requirements;

Obligation of federal share is based on the request of NMDOT, and may obligate all or a portion of the federal share per 23 U.S.C 115;

The NMDOT must be able to meet funding requirements to complete the project and follow all other federal requirements as the project advances.

AC Process for Tribal/Local Agency Projects (T/LPA) Local agency identifies project(s) and requests Advance Construction (AC) in a formal request to the

NMDOT (through Agreement Request Form (ARF)- See Chapter 2 of the T/LPA Handbook for more information about the ARF))

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The project must be identified in TIP/STIP, in order to be eligible 23 USC 115 © specifies that an AC project application may be approved “only if the project is included in the transportation improvement program of the State developed under section 135(f).”

AC’d amounts must be clearly identified in STIP assuring project total cost is not inflated. AC does not constitute a commitment of federal funds to a project, rather, the financial plan and/or funding information for the TIP and STIP, needs to demonstrate sufficient non-federal revenues to provide all funding for the costs of projects listed as “AC” in the STIP ( 23 U.S.C. 135(g)(4)E).

There is no guarantee pledged federal funding will be available. If federal funds are not available, the state will not convert the project to a federal-aid project and the entity is solely responsible for any project costs that have been incurred. The demonstration of sufficient non-federal revenue is critical in that the total amount of allowable AC in the TIP, STIP, or total federal program is limited by the requirement for a fiscally constrained STIP; know the current availability of Federal funds or obligation authority.

At the request of the NMDOT, an executed agreement will need to specify the funding sources inclusive of corresponding requested AC amounts in future years.

AC Process for Planning Work Program (PWP) Projects The Advance Construction (AC) process allows NMDOT to preserve eligibility of Metro-Planning (PL) and State Planning and Research (SPR) funds intended for Metropolitan Planning Organization (MPO) and Regional Transportation Planning Organization (RTPO) Work Programs (WPs), in order to ensure FHWA authorization for work to begin October 1 of each Federal Fiscal Year (FFY).

All MPO and RTPO Work Programs for which AC is requested must be included in the NMDOT Planning Work Program (PWP) and approved by FHWA.

AC’d amounts must be clearly identified in STIP assuring project total cost is not inflated. AC does not constitute a commitment of federal funds to a project, therefore the WP budget and/or funding information for the STIP must demonstrate sufficient non-federal revenue to provide all funding for the costs of projects listed as “AC” in the STIP per 23 USC 135(g)(4)E.

The NMDOT will continue to pay the MPOs/RTPOs until the funding is converted in the year of program (total cash on hand will need to be shown in the STIP with a funding source of AC).

There is no obligation or guarantee pledged federal funding will be available. If federal funds are not available, the state will not convert the project to a federal-aid project and the MPO/RTPO is solely responsible for any cost that have incurred.

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Appendix I-2 Process for showing Advance Construction Projects in the e-

STIP

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Appendix I-3 AC Process Debt Service Projects

“Eligible Debt” is a bond or other debt financing instrument, including a note, certificate, mortgage, or lease agreement, issued by a State or political subdivision of a State or a public authority, the proceeds of which are used for an eligible project. The State may be reimbursed for expenses and costs incurred by the “Eligible Debt” if the expense or cost incurred by the public authority is for; Projects are entered in STIP as ACCP, since the funding has already been AC’d and only needs to be

converted; Interest payments under an eligible debt financing instrument; The retirement of principal of an eligible debt financing instrument; The cost of the issuance of an eligible debt financing instrument; The cost of insurance for an eligible debt financing instrument; Any other cost incidental to the sale of an eligible debt financing instrument; Projects are to be programmed in the STIP based on the projections for Debt Service; Bi-annually AC the projected amount of federally eligible Debt service for the life of each project upon

FHWA’s approval required semi-annual reconciliation; Convert the debt service amount for each project the NMDOT will be seeking reimbursement that

fiscal year; Debt service amounts are approved by FHWA and the information is entered into SHARE in order for

the semi-annual billing process to occur; All records must be kept until the particular bond is paid, even if the bond for the project is re-financed;

the records need to be kept until the last payment is processed on the project.

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Figure A Program Codes for Apportioned Programs

United States. Federal Highway Administration. Apportioned Program Codes under the FAST Act, “Appendix - A”. https://www.fhwa.dot.gov/cfo/apportioned_pc.cfm; April 1, 2020

*Fact sheets are subject to change by UDOT

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Figure B Order of Obligation

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Figure C FMIS Improvement Type Codes

Code Improvement Type Description

01 New Construction Roadway Construction of a new roadway that will not replace an existing roadway. A new roadway will provide: (1) a roadway where none existed or (2) an additional and alternate roadway to an existing roadway that will remain open and continue to serve through traffic.

03 Reconstruction, Added Capacity Construction on approximate alignment of an existing route where the old pavement structure is substantially removed and replaced. Such reconstruction includes widening to provide continuous additional through-lane(s), adding or revising interchanges, or replacing other highway elements such as a grade separation to replace an existing grade intersection. Also included, where necessary, are other incidental improvements such as drainage and shoulder improvements.

04 Reconstruction, No Added Capacity

Widening the lanes and/or shoulders of an existing roadway without adding through lanes. This may include reconstructing the existing pavement and other incidental improvements such as shoulder and drainage improvements.

05 Resurfacing Placement of additional surface material over the existing roadway to improve serviceability or to provide additional strength. There may be some upgrading of unsafe features and other incidental work in conjunction with resurfacing. Where surfacing is constructed by a separate project as a final stage of construction, the type of improvement should be the same as that of the preceding stage B new route, relocation, reconstruction, minor widening, etc.

06 Restoration and Rehabilitation See Figure D for specific pavement treatment categories.

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08 Bridge, New Construction Construction of a new bridge that does not replace or relocate an existing bridge.

10 Bridge Replacement, Added Capacity

Total replacement of a structurally inadequate or functionally obsolete bridge with a new structure constructed with additional lanes in the same general traffic corridor to current geometric construction standards. Incidental roadway approach work is included. The use of this code requires the reporting of the National Bridge Inventory (NBI) structure number in the data field identified Bridge Numbers.

11 Bridge Replacement, No Added Capacity

Total replacement of a structurally-inadequate or functionally-obsolete bridge with a new structure without adding lanes constructed in the same general traffic corridor to current geometric construction standards. A bridge removed and replaced with a lesser facility is considered a bridge replacement. Incidental roadway approach work is included. The use of this code requires the reporting of the National Bridge Inventory (NBI) structure number in the data field identified Bridge Numbers.

13 Bridge Rehabilitation, Added Capacity

For the major work required to restore structural integrity of a bridge, as well as work necessary to correct major safety defects. Bridge deck replacement (both partial and complete) and widening of bridges including addition of through lanes to specified standards are included. Construction of a dual structure to alleviate a capacity deficiency is also included. Work required correcting minor structure and safety defects or deficiencies, such as deck patching, resurfacing, protective systems, upgrading railings, curbs and gutters, and other minor bridge work. If HBRRP funds are involved, the use of this code requires the reporting of the National Bridge Inventory (NBI) structure number in the data field identified Bridge Numbers.

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14 Bridge Rehabilitation, No Added Capacity

For the major work required to restore structural integrity of a bridge as well as work necessary to correct major safety defects. Bridge deck replacement (both partial and complete) and widening of bridges without adding through lanes to specified standards are included. Work required correcting minor structure and safety defects or deficiencies, such as deck patching, resurfacing, protective systems, upgrading railings, curbs, or other preventative maintenance items are included. If HBRRP funds are involved, the use of this code requires the reporting of the National Bridge Inventory (NBI) structure number in the data field identified Bridge Numbers.

15 Preliminary Engineering For the preparation of plans, specifications, and estimates (PS&E), traffic, and related studies including field inspections, surveys, material testing, and borings.

16 Right of Way For purchase of land, improvement and easements, in addition to the cost of moving and relocating buildings, businesses, and persons.

17 Construction Engineering Oversight of construction of roadways, structures, and traffic services facilities including additional design work after construction project is let (Also called Phase III or Construction Management).

18 Planning For Planning related purposes. 19 Research For Research related purposes. 20 Environmental Only For improvements that do not provide any increase in

the level of service, in the condition of the facility or in safety features. Typical improvements that fall in this category would be noise barriers, beautification, and other environmentally related features not built as a part of any other improvement type. If environmental mitigation is needed as the result of a bridge project and it is confined to the reasonable touchdown and the bridge itself, then this is allowable with HBRRP Funds. Outside the reasonable touchdown would not be considered eligible.

21 Safety For projects or a significant portion of a project that provides features or devices to enhance safety. For example, expenditures on projects designed to improve the safety of at-grade railroad crossings or for the construction of facilities dedicated to the enforcement of vehicle weight regulations.

22 Rail/Highway Crossing Improvements to crossing warning Protective Devices such as signs, markings, and cross bucks; flashing light additions/improvements; and improvement to track circuitry.

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23 Transit For transit and transit-related purposes. 24 ITS Traffic operation improvements that are designed to

reduce traffic congestion and to facilitate the flow of traffic, both people and vehicles, on existing systems, or to conserve motor fuels. Include automated toll collection equipment, road and bridge surveillance and control systems, etc.

27 Administration Administration for National Recreational Trails Projects, Commercial Vehicles, and other similar projects.

28 Facilities for Pedestrians and Bicycles

For independent projects (not part of any other Federal-aid Highway project) to construct a facility to accommodate bicycle transportation and pedestrians.

31 Landscaping and Other Scenic Beautification

For projects involving landscaping and other scenic beautification through planting and related work. This includes vegetation management to assure the sustain ability of landscape areas.

38 Safety and Education for Pedestrians/Bicyclists

Safety and education for pedestrians and bicyclists

42 Training Training; Supportive Services; TRAC; On the Job Training

43 Utilities Utilities 44 0ther Miscellaneous work such as National Recreational

Trails construction, noise barriers, etc.

45 Debt Service Interest payments and retirement of principal under an eligible bond issue (including capitalized interest) and any other cost incidental to the sale of an eligible bond issue (including issuance costs, insurance or other credit enhancement fees, and other bond-related costs as determined).

47 Bridge- Preventative Maintenance Activities that prevent, delay, or reduce deterioration of bridges or bridge elements, restore the function of existing bridges, keep bridges in good condition and extend their life.

58 Freight Movement Projects using the National Highway Freight Funds program and identified in the NMDOT Freight Plan.

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Figure D Repair Categories, Definitions & Pavement Treatments

July 15, 2019

NMDOT Pavement Management and Design Bureau

Repair Category Definition Pavement Treatment F1 - Preventive Maintenance

A planned strategy of cost-effective treatments to an existing roadway system and its appurtenances that preserves the system, retards future deterioration, and maintains or improves the functional condition of the system (without significantly increasing the structural capacity).

F1A - Crack Seal - Involves the placement of an adhesive material into and/or over working cracks at the pavement surface in order to prevent the infiltration of moisture into the pavement structure.

F1B - Fog Seal - Fog sealing is overlying an existing pavement surface with an asphalt binder, sometimes topping with sand.

R1 - Joint and Crack Seal (PCCP) - Joint resealing consists of removing existing deteriorated transverse and/or longitudinal joint sealant, refacing and pressure cleaning the joint sidewalls, and installing new sealant material. Crack sealing consists of sawing, power cleaning, and sealing

cracks in concrete pavement using high-quality sealant materials.

F3 - Preservation (Minor)

A network-level, long-term strategy that enhances pavement performance by using an integrated, cost-effective set of practices to extend pavement life, improve safety, and meet

motorist expectations but does not increase its load carry capacity or strength.

F3A - Scrub Seal - A scrub seal is an application that is very close to a chip seal treatment where asphalt emulsion and crushed rock are placed on an asphalt pavement surface. The only difference is that the asphalt emulsion is applied to the road surface through a series of brooms placed at different angles.

F3B - Chip Seal - Chip seals consist of a sprayed application of asphalt (commonly an emulsion, although heated asphalt cement and cutbacks are used as well) directly to the pavement surface (0.35 to 0.50 gal/yd2), followed by application of aggregate chips (15 to 50 lb. /yd2), which are then immediately rolled to achieve 50% to 70% embedment. F3C - Slurry Seal - consists of a mixture of well-graded aggregates (fine sand and miller filler) and asphalt emulsion that is spread over the surface of the pavement using a squeegee or a spreader box fixed to the back of the truck that is depositing the mixture.

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F3D - Cape Seal - Combination of a chip seal and slurry seal, with the slurry seal placed atop the chip seal typically 4 to 10 days after placement of the chip seal.

Repair Category Definition Pavement Treatment

F3E - ROGFC/OGFC – Open graded asphalt mixes are designed to be permeable to water, which differentiates them from dense graded (Superpave) and stone matrix (SMA) mixtures. Typically placed as wearing course, the OGFC improves skid resistance, reduces splash and spray, and reduces noise. ROGFC includes rubberized polymer binder.

F3F - Microsurfacing - Microsurfacing is a mixture of crushed, well-graded aggregate, mineral filler (portland cement), and latex-modified emulsified asphalt spread over the full width of pavement with either a squeegee or spreader box.

F3G - Plant Mix Wearing Course overlay or NovaChip Overlay - A NovaChip Overlay is the placing an asphalt membrane on an existing pavement then overlying it with an ultra-thin, coarse aggregate hot mix.

R3A - Diamond Grinding (PCCP) - Diamond grinding consists of removing a thin layer of concrete (usually between 0.12 and 0.25 in.) from the pavement surface, using special equipment fitted with a series of closely spaced diamond saw blades.

R3B - Diamond Grooving (PCCP) - Diamond grooving consists of cutting narrow, discrete grooves into the pavement surface, which helps to reduce hydroplaning, vehicle splash and spray, and wet-weather crashes.

F4 - Preservation (Major)

A network-level, long-term strategy that enhances pavement performance by using an integrated, cost-effective set of practices to extend pavement life, improve safety, and meet

F4A - Pavement Resurfacing and Curb line milling or Cutler or Dustrol (1.5” to 2.5”) F4B - Hot In-Place Recycling (Remixing) (1.5” to 2.5”) Pavement is heated, loosened, combined with virgin aggregate and new asphalt (and/or new HMA), and relaid for significant mix improvement/modification and/or modest pavement strengthening. The recycled mix can serve as the final wearing surface (low volume roads) or can serve as a base for an HMA

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motorist expectations but does not increase its load carry capacity or strength.

overlay or surface treatment (moderate- to high-volume roads).

Repair Category Definition Pavement Treatment - F4C - Hot In-Place Recycling (Heater Scarification)

(1.5” to 2.5”) or Cutler or Dustrol – The wearing surface (typically 1.5” to 2.5”) is heated, loosened and mixed with new asphalt binder and re-laid and compacted.

- Hot In-Place Recycling (Repaving) (1.5” to 2.5”)

Pavement surface is heated, loosened, combined with new asphalt, and relaid in tandem with an HMA overlay for the purposes of pavement strengthening and restoration of surface profile and/or friction.

F4D - Cold Mill Asphalt Recycling (Warm or Cold)

F4E - HMA/WMA Mill and Inlay

(1.5” to 2.5”)

F4F - SMA Mill and Inlay (1.5” to 2.5”) – A Hot Mix Asphalt consisting of a mix of asphalt cement, stabilizer material, mineral filler and gap graded aggregate.

R4A - Patch (Full Depth isolated areas) (PCCP) - Patches are used to treat localized slab problems such as spalling, scaling (e.g., reactive aggregate distress, over-finishing the surface), joint deterioration, corner breaks or punchouts. If the problem is limited in depth, then a partial depth patch may be appropriate, otherwise, a full depth patch is recommended.

R4B - Slab Replacement < 5% (PCCP) – Selective slab replacement involves removing the deteriorated concrete down to the base, repairing the disturbed base, installing load-transfer devices, and refilling the excavated area with new concrete.

R4C - Dowel Bar Retrofit (PCCP) – Includes the installation of dowel bars to restore load transfer across existing transverse joints. Dowel bars are retrofitted in existing concrete pavements either that do not have dowel bars or in which the existing bars are not working effectively.

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Repair Category Definition Pavement Treatment F5 - Rehabilitation (Minor)

Nonstructural enhancements (e.g., thin hot-mix asphalt [HMA] overlay, mill and thin HMA overlay) made to an existing pavement section to either eliminate age-related, top-down surface cracking that develops in flexible pavements due to environmental exposure or to restore functionality of concrete pavements.

F5A - HMA/WMA Mill and Inlay 2.5” to 4”

F5D - Pavement Resurfacing and Curb line milling Cutler (2.5” to 4”)

- F5B - Hot In-Place Recycling (Remixing) (2.5” to 4”)

Pavement is heated, loosened, combined with virgin aggregate and new asphalt (and/or new HMA), and relaid for significant mix improvement/modification and/or modest pavement strengthening. The recycled mix can serve as the final wearing surface (low volume roads) or can serve as a base for an HMA overlay or surface treatment (moderate- to high-volume roads).

- F5C - Hot In-Place Recycling (Heater Scarification)

(2.5” to 4”) The wearing surface (typically 2.5” to 4”) is heated, loosened and mixed with new asphalt binder and re-laid and compacted.

F5E - HMA/WMA Overlay 2.5” to 4” – Generally used with vertical restrictions or to correct severe surface defects, Mill and overlay may

increase the overall pavement height slightly i.e. Mill 3”, Ovelay 4”

F5F - SMA Mill and Inlay (2.5” to 4.0”) - A Hot Mix Asphalt consisting of a mix of asphalt cement, stabilizer material, mineral filler and gap graded aggregate.

R5A - Slab Stabilization (isolated joint faulting) (PCCP) – Consists of pressure insertion of a flowable material (commonly a cement based grout or polyurethane material) beneath the concrete pavement slab to fill voids and restore full support.

R5B - HMA Overlay (2.5" to 4") (PCCP)

R5C - Bonded Overlays (2.5" to 5") (PCCP) – sometimes referred to thin or ultra-thin whitetopping are placed on existing asphalt pavement to eliminate surface distress and correct pavement deformation such as rutting, corrugation and shoving). The treatment is characterized by the placement of a thin concrete layer onto a cold-milled asphalt surface.

Repair Category Definition Pavement Treatment

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F6 - Rehabilitation (Major)

Structural enhancements that extend the service life of an existing

pavement or improve its load-carrying capability or both.

F6A - HMA/WMA Mill and Inlay greater than 4” -

F6D - Pavement Resurfacing and Curb line milling Cutler greater than 4” –

- F6B - Hot In-Place Recycling (Remixing) greater than 4”

– Pavement is heated, loosened, combined with virgin aggregate and new asphalt (and/or new HMA), and re-laid for significant mix improvement/modification and/or modest pavement strengthening.

The recycled mix can serve as the final wearing surface (low volume roads) or can serve as a base for an HMA overlay or surface treatment (moderate- to high-volume roads).

- F6C - Hot In-Place Recycling (Heater Scarification) greater than 4” - The wearing surface (typically 2.5” to 4”) is heated, loosened and mixed with new asphalt binder and re-laid and compacted.

F6E - HMA Overlay greater than 4” - F6F - Process Place and Compact W/Overlay – Process by which the existing pavement is pulverized into homogeneous mixture. Could include underlying aggregate. Typically does not include additive. F6I - Cold Central Plant Recycling (CCPR) - Cold-mix asphalt recycling is defined as a process in which reclaimed asphalt pavement (RAP) materials are combined with new asphalt and/or recycling agents to produce cold base mixtures. The term "cold-mix recycling" generally refers to central plant mixing and is done without application of heat. Central plant recycling is used for asphalt cold- mix recycling projects that require high rates of production or close control of the mix design.(1) Central plant recycling is used when stockpiles of RAP are available or when the existing pavement has to be removed off site for some reason and in-place recycling is not an option. Typical compacted thickness of 2.5 to 3.5 inches.

F6H - Cold In Place Recycling (CIR) - Cold in-place recycling (CIR) is a process that consists of milling and sizing reclaimed asphalt pavement (RAP) and mixing in-place the RAP with recycling additive and new aggregate (either in the milling machine’s cutting chamber or in a mix paver) to produce a recycled cold mix, which is then re-laid and compacted as a new base course.

Repair Category Definition Pavement Treatment

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Typical compacted thickness of 2 to 5 inches.

F6G - Full Depth Reclamation (FDR) - A technique in which the full thickness of the existing asphalt pavement and a predetermined portion of the underlying materials (base, subbase, and/or subgrade) are uniformly pulverized and blended to provide a homogeneous material. NMDOT experience has been with foamed asphalt and mineral filler. Typically compacted thickness of 6 to 8 inches.

R6A - Slab Stabilization (PCCP) - Consists of pressure insertion of a flowable material (commonly a cement based grout or polyurethane material) beneath the concrete pavement slab to fill voids and restore full support. R6B - Slab Replacement 5 to 15% (PCCP) - Selective slab replacement involves removing the deteriorated concrete down to the base, repairing the disturbed base, installing load-transfer devices, and refilling the excavated area with new concrete.

R6C - Unbonded Concrete Overlay (4" - 11") - (50% of Crack/Seat) (PCCP) – Unbonded concrete overlays are essentially designed as new pavement with the overlaid pavement acting as a base.

R6D - Crack and Seating with 6" HMA Overlay (PCCP) - A Crack and Seat operation is the fracturing of an existing PCC pavement and overlaying it with 6” HMA.

F7 - Reconstruction

Replacement of the entire existing pavement structure by the placement of the equivalent or increased pavement structure. Reconstruction is required when a pavement has either failed or has become functionally obsolete (HMA and PCCP)

R7A - Rubblizing (PCCP) – Process of rubblizing the concrete pavement into fragments typically combined with HMA overlay. R7B - Reconstruction - Is the replacement of the entire existing pavement structure by the placement of the equivalent or increased pavement structure. (HMA and PCCP).

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References:

Agile Assets/KEI, Nov 2015. Final System Setup Documentation Asphalt Recycling and Reclaiming Association (ARRA), 2015 Basic Asphalt Recycling Manual Federal Highway Administration (FHWA) & National Asphalt Pavement Association (NAPA), 2001 HMA Pavement Mix Type Selection Guide Federal Highway Administration (FHWA), 2015 Towards Sustainable Pavement System: A Reference Document Federal Highway Administration (FHWA), National Concrete Pavement Technology Center, 2014 Concrete Pavement Preservation Guide Strategic Highway Research Program 2 (SHRP 2), 2011 Guidelines for Preservation of High-Volume Roadways National Cooperative Highway Research Program (NCHRP) Report 673, “A Manual for Design of Hot Mix Asphalt with Commentary”

New Mexico Department Of Transportation (NMDOT), 2007 Pavement Maintenance Manual