Category:235 Preliminary Plans: Difference between revisions

235.1 Purpose

A preliminary plan is developed to show preliminary geometric details, and includes design criteria, proposed alignment, profile, tentative grade, tentative right of way, schematic intersection or interchange layouts, bypasses and pertinent topographic features (see example plans).

The preliminary plan is a design tool and is prepared to develop and convey basic design criteria, basic geometric details and recommendations on which the detail plans are to be developed.

Preliminary design defines the general project location and design concepts. It includes, but is not limited to, preliminary engineering and other activities and analyses, including but not limited to:

• Environmental assessments
• Topographic surveys
• Metes and bounds surveys
• Geotechnical investigations
• Hydrologic analysis
• Hydraulic analysis
• Utility engineering
• Traffic studies
• Financial plans
• Revenue estimates
• Hazardous materials assessments
• Tentative right of way lines
• General estimates of the types and quantities of materials, and other work needed to establish parameters for the final design

Final design means any design activities following preliminary design (e.g. preparing quantities, special sheets, job special provisions, final right-of-way plans) and expressly includes the preparation of final right-of-way and construction plans and detailed specifications for the performance of construction work.

235.2 Procedure

The district prepares preliminary plans. The preliminary plan is prepared once horizontal and vertical alignment and tentative right of way limits have been established. Where the horizontal alignment is to tie into existing roadways or alignments, the tie location is to be based on field survey measures and verifications. The district will obtain property ownership information to show on the preliminary plan as early as possible during its preparation. The soil survey is started as soon as possible so as not to delay the completion of the preliminary plan. This is done with a minimum of field survey staking until the preliminary plan has been completed. Basic design criteria and major geometric details shown on the preliminary plan are not changed during the development of detail plans without consultation with Design. Completion of the preliminary plan allows the district to proceed with a public hearing or meeting, see EPG 129 for requirements. Any plans presented to the public shall show “tentative” right-of-way lines until NEPA approval.

A preliminary plan showing topographic features, including major overhead and underground utilities, basic design criteria, proposed horizontal and vertical alignment, proposed geometric details including interchanges, intersections, bypasses, geological features that have a significant effect on location or design, major drainage features, traffic data and proposed typical sections is prepared. For both conventional route and photogrammetric surveys the survey centerline and profile is shown on the preliminary plans. The centerline is not precisely computed or staked in the field until after approval of the preliminary plan.

Property lines and owners, soils information, and other required details are also shown. If limited access or fully limited access right of way is involved, points of access are shown. Points of access are developed in coordination with district right of way and legal staff, particularly in regard to the adequacy of any remaining access and the potential economic consequences of limiting or removing access. Additionally, access points are determined in accordance with Access Management Guidelines. For fully limited access right of way projects where construction will be staged and the ultimate facility will not be completed for a number of years, careful consideration is given to providing temporary access points for the initial project. For urban projects more detail including proposed width and percent grade for entrances may be desirable.

Basic design criteria used for roadway design are contained in numerous EPG articles:

230.1 Horizontal Alignment

230.2 Vertical Alignment

231 Typical Section Elements for Roadways

232 Facility Selection

233 At – Grade Intersections

234 Interchanges

236.13 Designing Right of Way Plans

748 Hydraulics and Drainage (for Bridge and Drainage issues)

A Design Exception Information form must be prepared and submitted when the criteria used on a project varies from established design criteria.

235.2.1 Coordination

Design Division Liaision Engineers and other personnel are available to review, advise and assist the district during the preparation of the preliminary plan.

235.2.2 Traffic Operations

Close liaison with district traffic personnel is extremely important in the development of the preliminary plan for the improvement. Throughout development of the preliminary plan and the design plans, district traffic engineering personnel are consulted to ensure proper traffic operations. Careful consideration is given to their recommendations. Those recommendations agreed upon are incorporated into the design plans.

235.2.3 Municipal Agreements (DE11) and County Agreements (DE10)

The purpose of an agreement is to provide a contract document between the Missouri Highways and Transportation Commission and other public and private agencies. The sequence for developing agreements can be found in EPG 153 Agreements and Contracts. The following are specific instruction for municipal and county agreements that may not be covered in EPG 153 Agreements and Contracts. Municipal (DE11) and County (DE10) Agreements are accessible within the eAgreements SharePoint site.

A municipal or county agreement is necessary when any of the following areas of responsibility are shared between the Commission and a city or county:

• Cost apportionment or cost sharing (design, construction, right of way, maintenance, etc.)

• Cost Apportionment (DE07) and Cost Share (FS08) agreements can be combined with municipal (DE11) and county (DE10) agreements or can be executed separately. Contact your design liaison or appointed counsel representative for assistance.

• Utility construction and relocation of city-owned utilities
• Detour or other traffic control onto a city/county road
• Roadway, right of way, or easement relinquishment
• Local road closing, relocation, or enforcement of parking restrictions on the state route
• Increase in the discharge of storm water to local culverts or connection to the local storm-sewer system
• Maintenance responsibilities such as mowing, landscaping or maintenance of sidewalks
• MoDOT project work off of MoDOT right of way and the use of city or county right of way for the project.

Once an agreement is found to be necessary, the proper type must be selected. A municipal agreement (DE11) is executed between the Commission and any incorporated city, town, or village when any portion of a highway project is inside the corporate limits. Likewise, a county agreement (DE10) is executed between the Commission and the county when a portion of a highway project is outside the municipal limits or totally within the county(ies) limits. If a township has road maintenance responsibilities delegated by the county, a township agreement is executed in addition to the county agreement. Substituting "township" for "county" in the county agreement produces a township agreement.

Consult the Design Division if it is uncertain that an agreement is necessary. The purpose of such an agreement is to define the proposed improvement and set out the considerations and responsibilities between the Commission and the respective incorporated municipality, county, township or private entity. The essential parts of such an agreement involve the responsibility for right of way acquisition, use of city- or county-owned right of way, limitation of access, adjustment of utilities, maintenance after construction, disposition of involved city streets, joint approval of all traffic ordinances, storm drainage, traffic control signs and signals, grade changes, and other items. Cost sharing arrangements, including use of city Surface Transportation Program Urban Funds (STP), may be included in the agreement. It is important that this agreement be executed at the earliest possible moment. The district submits municipal and county agreements to the “Agreements Review Group” for review and approval within the eAgreements SharePoint site. The agreement includes a location sketch that is designated as "Exhibit A". The sketch may cover an entire small town. However, in larger cities, the sketch should include only the part of the city where the improvement is located and enough of the adjacent area for readily ascertaining the location of the improvement. If the proposed improvement passes through the city limits or boundary, such limits are described and stationed so that subsequent annexation by the city will not affect the original agreement. If annexation is in process, the district includes a recommendation to the Design Division regarding this. The sketch should show names of streets and cross streets affected, the location of beginning and ending stations and all other stations listed in the description or mentioned anywhere in the agreement. Make sure the north point is shown. The sketch should be clear and legible and capable of clearly legible reproduction suitable as an exhibit to the agreement. The sketch should be labeled in a space that will not obscure essential data. The label will be as follows (substitute "Town", "Village", "County", "Township" or "private entity name" as appropriate):

In order to facilitate the preparation of the agreement, the information indicated in the municipal agreement form (DE-11) or county agreement form (DE-10) is followed. The Chief Counsel's Office maintains these forms. If the boilerplate language of the approved standard form agreement has been modified, the draft must be sent to the appointed Counsel representative for comments and tentative approval as to form per instructions in the eAgreements Training Manual – Review by CCO. If the boilerplate language of the approved standard form agreement has not been modified, the draft is to be submitted to the appropriate reviewer within the eAgreements SharePoint site per EPG 153.9 Design.

If the agreement requires specific Commission action (according to the Commission's Execution of Documents policy), it is forwarded to the Design Division for placement on the Commission agenda.

When the district programs a project in the STIP (through the amendment process or annual update) that includes off-system work and/or funding from the other entity, the agreement must be uploaded to Stored Documents in SIMS before the project can be programmed and the agreement fully executed. The agreement must include the entity’s signature and CCO’s signed approval as to form. After CCO signs their approval as to form, the agreement is sent back to the District PM where it is held until the Commission authorizes execution. Following Commission authorization for execution, the agreement is sent to the Commission Secretary for final execution and uploading into eAgreements.

For wet signature agreements, a minimum of 2 copies, having original signatures, of the executed agreement are required. Any additional agreements, having original signatures, requested by the public agency should be submitted in addition to the 2 required. To ensure their understanding and execution of all necessary originals, discuss with the public agency the importance of having all the necessary agreements signed and returned.

The number of copies required by the entity should be included in the “Agreements Comments” metadata field within the eAgreements SharePoint site. The eAgreements Property Page and all copies of the agency-executed agreement are submitted directly to the appointed Counsel representative for Approval as to Form, after the entity has executed the agreement.

Municipalities should provide two copies of a city ordinance or enabling legislation authorizing signatories to the agreement. Townships should provide two copies of meeting minutes designating the authorized signatories. County commissioners are authorized by law to sign the agreements. Ordinances, minutes of meetings, and similar documents shall be properly certified as true copies by the clerk or other person having the seal or who is authorized to certify municipal, township or county commission documents.

The Commission Secretary will retain one agreement with original signatures as the custodian of records for MoDOT. The agreements are distributed as listed below:

• Agreements with Original Signatures:

• Local agency

• Commission Secretary

• Additional copies per local agency request.

• Access to the fully executed agreements is available in the eAgreements SharePoint site. A link to the electronic copy of the agreement in eAgreements will be provided by the drafter to the following divisions, as applicable:

• Financial Services if cost sharing is in the agreement

• Transportation Planning if road relinquishments are involved.

235.3 Preparation

The preliminary plans (see example plans) are most often prepared in plan sheet format (22" x 34"). However, from time to time they may be prepared on a roll plan profile sheet plotted to a scale of 1" = 200' (1:2000) for rural areas, and 1" = 100' (1:1000) or 1" = 50' (1:500) for urban areas. A vertical scale of 1" = 10' (1:100) or 1" = 20' (1:200) is used for the profile of both urban and rural areas. The length of roll plans should be held to a maximum length of 30 ft. (9 m). If a project requires a longer preliminary plan, the plan should be broken into two sections. For short projects, such as bridge replacements, the use of plan sheets is recommended for the preliminary plan.

235.3.1 Methods

When a roll plan profile sheet (i.e. "strip map") is used, the plotting of alignments and profiles is planned to minimize the number of breaks. Sufficient room is reserved at the beginning and end of the preliminary plan for title, typical sections and basic design criteria. Neatness is encouraged and good legibility is required regardless of which method (plan sheet format or "strip map") is used to prepare the preliminary plan.

235.3.2 Topography

All important topographic features are indicated so that alignment controls are evident in reviewing the preliminary plan (see example plans). Cemeteries, Section 4(f) or 6(f) land, major utilities (underground and overhead), buildings, quarries and other such features are indicated along with the meander and direction of flow of streams, creeks and lesser draws. Landlines and descriptions are indicated along with village and city limits.

235.3.3 North Points and Profile Elevation Datum

North points properly orientated to the centerline are indicated on each sheet, or at the beginning and end of the preliminary plan, at approximately one-mile (one-kilometer) intervals, and adjacent to all breaks in the centerline (see example plans). The elevation datum on which the profile is plotted is also indicated on each sheet, or at the beginning and end of the preliminary plan, at approximately one-mile (one-kilometer) intervals, and in both directions at all breaks in the profile.

235.3.4 Right of way

Tentative right of way lines are included on the preliminary plan, along with property owners and property lines (see example plans). Landowners may submit an alternate location proposal if property interests are acquired by condemnation or negotiations, as described in EPG 236.10.7.3 Alternative Location Proposals. The right of way lines are approximations of those which will be required to construct the improvement in accord with the details recommended on the preliminary plan. The following note is placed on the title sheet of the preliminary plans (when the plan sheet format is used) or near the typical section on the preliminary plan (when the strip map format is used): "THE DESIGN GUIDE FOR THE WIDTH OF RIGHT OF WAY FOR THIS PROJECT WILL BE _____________ FEET (METERS). MORE OR LESS RIGHT OF WAY AS WELL AS OTHER PROPERTY INTERESTS MAY BE SECURED TO SATISFY THE REQUIREMENTS OF THE DESIGN FEATURES OF THIS PROJECT." When controlled access right of way is to be acquired, the note shall include the statement: "CONTROLLED ACCESS RIGHT OF WAY IS TO BE ACQUIRED FOR THIS PROJECT" or "PARTIAL CONTROLLED ACCESS RIGHT OF WAY IS TO BE ACQUIRED FOR THIS PROJECT". When fully controlled access right of way is to be acquired, the note shall include the statement: "FULLY CONTROLLED ACCESS RIGHT OF WAY IS TO BE ACQUIRED FOR THIS PROJECT".

235.3.5 Typical Sections

The typical section for the main line roadway is shown after the title sheet (when the plan sheet format is used) or at the beginning of the preliminary plan (when the strip map format is used) (see example plans). A typical section showing a superelevated section is not necessary. The typical section is drawn to scale and in sufficient detail to plainly indicate the criteria to which the roadway is planned. Where more than one typical section is required, the limits to which each section is applicable are plainly indicated. The typical sections are complete except for surface and base types and thicknesses. This information is determined in accordance with methods discussed in an article entitled Thickness Determination. Addtional guidance is also available in EPG 242 Optional and Alternate Pavement Designs.

Typical sections for other than the main line roadway, such as ramps, crossroads, supplementary routes, service roads, outer roadways, bypasses, etc., are shown following the main line roadway typical section sheet(when the plan sheet format is used) or on the preliminary plan in the vicinity of the proposed road or ramp (when the strip map format is used).

235.3.6 Title

The preliminary plan is properly titled on the title sheet if prepared on plan sheets, or at both ends if prepared on a roll (see example plans). If the preliminary plan includes revisions or modifications to a previously approved preliminary plan, it is marked and titled "Revised". The anticipated posted speed, design traffic data and functional classification are indicated adjacent to the title.

235.3.7 Grades

The tentative grade line is indicated on the profile section (see example plans). Those topographic features and improvements that establish elevation controls are taken into consideration. The grade line should provide balanced earthwork insofar as it is practical to estimate a balanced grade line with the profile information and knowledge of the location. In general, no attempt is made at this time to precisely establish a balanced grade line. The typical section is used without modification for special ditches, cut classification, etc. The vertical P.I. stations and elevations, as well as the rates of grade, are indicated. The length of all vertical curves, stopping sight distance at crest, and the "K" value at sag vertical curves are included. Preferred grade and vertical alignment controls are discussed in EPG 230.2 Vertical Alignment. Passing sight distance controls and data are not noted or indicated on the preliminary plan. However, they are clearly stated in a letter of transmittal to the district engineer asking for approval of the preliminary plan and in the letter to Design which transmits the approved preliminary plan.

235.3.8 Intersecting Roadways

All intersecting roadways are shown on the preliminary plan including those that are to remain open as at-grade intersections, grade separations, or interchanges (see example plans). Their centerline and profile are included on the preliminary plan. The stationing of the crossroad proceeds from left to right unless the crossroad is a state route on which the stationing has already been established. Schematic details are included for all intersections in sufficient detail to indicate generally the plan for developing the intersection. The crossroad profile is plotted on the profile section of the map, and the proposed grade is shown. Grade controls for intersecting roads are discussed in EPG 233 At-Grade Intersections. Typical sections showing surface type, surface width, and roadway width for all existing and for all proposed replacement roads (which are to remain open) that intersect the main roadway are required.

235.3.9 Railroads

Paralleling railroads are shown where the survey is close enough that a common right of way line will be used, or where the proposed work will encroach upon the railroad right of way. Where the survey crosses a railroad, the location of the railroad, the railroad profile and railroad stationing are shown. Additional information concerning the relationship between the roadway and the railroad is found in EPG 643.4 Railroads.

235.3.10 Interchanges

A schematic drawing showing general details for all interchanges is included (see example plans). Ramp profiles and tentative grades are shown on the profile portion of the preliminary plan, or may be shown on supplemental profile sheets. The location of ramp base lines, the direction of ramp stationing, and the proper identification of ramps are discussed in EPG 234 Interchanges. Preliminary plans include geometric details for all EPG 234.2 Diamond Interchanges. For other interchange types, additional details may be necessary as covered in EPG 234.3 Directional Interchanges, EPG 234.4 Single Point Urban Interchanges, and EPG 234.5 Cloverleaf Interchanges. An example of acceptable preliminary plan details for interchanges is available. Precise computation of ramp base lines and ramp stationing is not required at the preliminary plan stage. The central angles for ramp curvature are scaled from the drawings, as is the ramp stationing.

235.3.11 Design Traffic

In addition to the main roadway design traffic volume required on the preliminary plan the same information is shown for interchanges and for all at-grade intersections if either or both of the crossroads have over 400 annual average daily traffic (AADT) (see example plans). If design traffic volumes indicate auxiliary turning lanes may be warranted, the district will request design turning movements from the Transportation Planning Division. Discretion is used in requesting design turning movements. Design traffic movements (AADT) and design hourly volume (DHV), or percentage of AADT for peak hour volume, are shown as a schematic diagram on the interchange layout or intersection layout.

235.3.12 Soils Information

A soils survey is requested from the district geologist as soon as the roadway template, alignment and tentative grades have been established with a reasonable degree of certainty during development of the preliminary plan.

235.3.13 Pavement Type Selection

After the preliminary plan is completed, the district requests a pavement type selection (PTS) , from the Pavement Team in the Construction and Materials Division, for treatment of the mainline, shoulders and any other roadways associated with the project. The treatment may consist of any combination of new pavement, overlay and repairs. The district will submit the necessary information required by the Pavement Team, which, at a minimum, consists of Part I of the 3R Conceptual Study Report consisting of resurfacing, restoration and rehabilitation (all possible work with the exception of reconstruction or new full-depth pavement), or Part I of the 4R Conceptual Study Report consisting of resurfacing, restoration, rehabilitation and reconstruction. The designer is not required to send the complete 3R or 4R report to the Pavement Team, although the complete 3R or 4R conceptual study report must be submitted to the Design Division.

PTS recommendations from the Pavement Team can include pavement and base layer thicknesses, asphalt mix types, shoulder types, non-structural maintenance treatments (such as UBAWS and microsurfacing), subgrade stabilization (if necessary), repair strategies and estimated quantities, etc.; that is, whatever is required to comply with the request.

In order to satisfy statewide asset management goals within budget constraints, MoDOT primarily specifies thin asphalt overlays for pavement type selection requests. The district may have a preference for milling part of the existing pavement prior to placement of the overlay. The Pavement Team engineer will need to assess the pavement condition before making a decision about milling. Although a visual survey can provide some information, the best way to assess pavement condition is through evaluating cores. Core data is requested in Section 4 of the 3R and 4R reports. The district designer should be as thorough as possible in providing this information. Coring can usually be requested through the District Pavement Specialist or Geologist. In cases where the district is unable to provide their own coring services, the Pavement Team may be able to assist. Coring should be completed within 18 months of the project letting to ensure the core condition ably reflects the current pavement condition.

For projects with new pavement or full-depth reconstruction, the district designer shall include pavement bid items and typical sections for both asphalt and concrete pavement designs. The Pavement Team will provide both designs. These may even be expanded to include different base types as well. The set of pavement designs will be classified as alternate or optional for bidding purposes, depending on the new pavement quantities. See EPG 242 Optional and Alternate Pavement Designs for more detailed information.

Occasionally, design circumstances may dictate a need to specify one pavement type over another on a project with new pavement. The district core team will justify their recommendation for a single pavement type as a design exception to the Design Liaison Engineer and the Pavement Team. The Project Manager is responsible for documenting the reasons on the SIMS Form.

235.3.14 Handling Traffic

Consideration is given to the manner of handling traffic during construction, particularly at the ends of the project or where the location crosses more important existing roads. The locations of necessary bypasses and proposed profiles are indicated on the preliminary plan.

235.3.15 High Water Data

The Normal Water Surface Elevation at major stream crossings is indicated on the preliminary plan since this elevation will usually control the grade in the area of the stream crossing.

235.3.16 Soil and Cut Classification

Soil classifications (i.e., Class A, Class C, etc.) are indicated by a note at the top of the profile portion of the preliminary plan. The approximate strata of various cut classifications are also shown on the profile portion.

235.3.17 Termini Controls

The alignment and profile of the existing roadway at each end of the proposed improvement are indicated for a sufficient distance, generally at least 1000 ft. from the ends of the improvement. This allows a proper review of the connecting alignment and grade.

235.3.18 Examples

Examples showing necessary details and methods for showing details on preliminary plans are available.

235.4 Project Limits

It is desirable to designate limits on federal aid projects eligible for 100% federally controlled funding and for "Bridge Funds" (eligible for 80% federal funding) at the preliminary plan stage. Project items eligible for 100% federal funding include highway-railroad grade separations, traffic signals, highway signing, highway lighting, guardrail and impact attenuators. Costs for guardrail and impact attenuators should total $25,000 or more to be eligible for 100% federal funding. At the time of preliminary plan approval the district establishes these project limits. These limits should be indicated as approximate because final determination of grade line can result in minor adjustments.

235.5 Field Checks

When a trial grade line has been roughed in on the preliminary plan, the designer should make a field check to familiarize themselves with the job and to visually check the data displayed on the preliminary plan. Other necessary field checks are to be made as design progresses.

The project manager and the design team (including the district right of way agent) will conduct a preliminary field check prior to completion of the preliminary plan. This preliminary field check ensures that the preliminary plan reports the district's recommended design and it conforms with the approved environmental document.

235.6 Approval of Preliminary Plan

The district engineer may approve the preliminary plan as long as established design guidance and policy are followed. If design exceptions are necessary, they must accompany the submittal of the preliminary plan to the District Engineer for review and approval.

When projects that are designated for federal involvement for preliminary plans on the PODI Matrix the draft preliminary plan must be reviewed by the FHWA prior to the District Engineer’s approval so that FHWA comments may be addressed. The district Project Manager submits the draft preliminary plan to FHWA for their review and comment. This submittal of the draft preliminary plan to FHWA may occur at the same time as the Project Core Team review of the preliminary plan. An updated cost estimate of the project is included in the submittals.

For PODI projects where preliminary plans review is the selected activity, the letter of transmittal to FHWA and Design shall contain the following information:

• Passing sight distance controls and data.
• Existing pavement type together with thicknesses of surfacing and base at the connecting ends of the project.
• Brief statements on borrow or excess material requirements.
• Utility concerns.
• The results of traffic capacity studies.
• TSMO Evaluation and Analysis.
• Ideas for traffic control.
• Any information necessary to explain items not self-explanatory on the preliminary plan itself.

The NEPA process must conclude, resulting in FHWA approval of a CE, Finding of No Significant Impact (FONSI), or a Record of Decision (ROD), prior to final design activities. The process to obtain this approval is described in EPG 127.14 National Environmental Policy Act (NEPA) Classification Documents.

The district completes an electronic request for environmental services (RES) at each project development milestone, or at least at the Location/Conceptual state and final design (see EPG 127.1.1.2 Process). Submission of the RES at the preliminary plans stage is the most valuable submittal for environmental and historic preservation staff to complete surveys, fieldwork, and permits, and possibly prevent future project delays.

Prior to Preliminary Plan Approval, the District Project Manager will provide the owner of record of such property impacted by the project with a Written Notice of Alternative Location and Design Letter (Form 236.10.7.3B), with a copy of the project plat/map/aerial by certified mail to the owner of record, in addition to any other parties to which a written offer will be made. (see EPG 236.10.7.3). The Written Notice of Alternative Location and Design Letter (Form 236.10.7.3B) is a separate letter than the 60-day Notice of Intended Acquisition (Form 236.10.7.3A), which will be sent by the ROW Manager at A-date approval time. Any deviation from this guidance will require approval from the Assistant to State Design Engineer – Right of Way.

235.7 Distribution of Preliminary Plans

Prints of preliminary plans, which are furnished by the district, are to be stamped "PRELIMINARY PLANS - SUBJECT TO CHANGE." Originals of approved preliminary plans are retained in the district. Originals and reproducible copies are not to be loaned to others for printing. Complete preliminary plan prints are released only to local government. There is no charge for a reasonable number of prints for use by these agencies. Prints are furnished to anyone desiring coverage of individual properties, including isolated tracts at interchange areas. This includes oil companies and possible land speculators, but it is not our intent to supply them with prints of the entire preliminary plan. The charge for prints to other than local subdivisions of government will be in accordance with established pricing information.

235.8 Airports

When any improvement is located near a public use airport or heliport or is more than 200 ft. above existing ground level, the notice and submittal requirements of Federal Aviation Regulation Part 77 shall be followed. “Near” is defined as: 20,000 ft. (4 miles) from an airport with runway length of at least 3,200 feet; 10,000 ft. (2 miles) from an airport with runway no longer than 3,200 feet; 5,000 ft. (1 mile) from a public use heliport. The FAA’s Notice Criteria Tool is the best resource for determining whether an improvement must be filed with the FAA. TMS Maps has locations of all public use airport and heliports on the airports layer.

235.8.1 Exemptions

There are two exceptions to the submittal requirements:

1. Height Exemption: The Notice Criteria Tool will automatically add height to a travelway to account for vehicle height as follows: 17 ft. for Interstate Highway, 15 ft. for other public roadway, 10 ft. for private road and 23 ft. for railroad and waterway. When entering the required information in the Notice Criteria Tool the height entered for the structure would be the height in feet in EXCESS of the above listed baseline heights. For those instances when the improvement and the equipment operating while performing the improvements falls below the above listed heights, the Notice Criteria Tool does not have to be used and the improvement does not need to be filed with the FAA, and a memo to the project file in SharePoint and in ProjectWise is sufficient. However, if the project falls near (as defined, above) to an airport, the Airport JSP must be placed in the project specifications.

2. Shielding Exemption: Any proposed construction of or alteration to an existing structure is normally considered to be physically shielded by one or more existing permanent structure(s), natural terrain, or topographic feature(s) of equal or greater height if the structure under consideration is located:

a. Not more than 500 ft. horizontal distance from the shielding structure(s) and in the congested area of a city, town, or settlement, provided the shielded structure is not located closer than the shielding structures to any heliport or airport located within 5 miles of the structure(s).

b. So that there would be at least one such shielding structure situated on at least three sides of the shielded structure at a horizontal distance of not more than 500 feet.

c. Within the lateral dimensions of any runway approach surface but would not exceed an overall height above the established airport elevation greater than that of the outer extremity of the approach surface, and located within, but would not penetrate, the shadow plane(s) of the shielding structure(s).

If the shielding exemption applies, the Notice Criteria Tool does not have to be used and the improvement does not need to be filed with the FAA, and a memo to the project file in SharePoint and in ProjectWise is sufficient.

235.8.2 FAA’s Notice Criteria Tool

If neither of the above exemptions apply, the Notice Criteria Tool must be used. After entering the improvement information into the FAA’s Notice Criteria Tool, the filing information will be determined and will be one of two outcomes: the improvement shall be filed with FAA; or the improvement does not meet the FAA’s filing requirement and no further action is required.

Typical Maximum Height of Equipment. The core team should give consideration to the typical maximum height of equipment which will likely be used during construction. Most dump truck beds, when fully extended will likely exceed the allowable height exemptions. Delays caused by re-submittal during construction may significantly impact the project construction schedule and the contractors work schedule.

235.8.3 FAA Filing and Determination

If the FAA’s Notice Criteria Tool determines that the improvement needs to be filed with the FAA, the filing of Form 7460-1 can be completed electronically on FAA’s Obstruction Evaluation/Airport Airspace Analysis website. This notice must be filed at least 45 days prior to construction, but preferably at preliminary plans stage of the project. This step in the filing process will be considered the original 7460-1 for the improvement, as some of the information provided in the filing form is preliminary and could change at the contractor’s discretion.

The FAA will evaluate the improvement that was filed and issue a determination regarding safe and efficient use of airspace. The determination will outline any special considerations that should be followed. This determination may include a requirement to complete an FAA form 7460-2 after construction is complete which documents as-built conditions. Requirements from the determination must be clearly communicated from design to construction to ensure all requirements are met at the completion of the project.

235.8.4 Applicable Projects After Award

Applicable projects are those which meet the definition as outlined in EPG 235.8 Airports, above. After the improvement has been awarded to a contractor, MoDOT Construction Project Office representative will coordinate with the contractor at the pre-construction meeting to determine if the assumptions used for a height exemption or entered into the original 7460-1 were accurate. If the height exemption assumptions are not applicable, or updates to the original 7460-1 need to take place, the MoDOT Construction Project Office representative will reevaluate the proposed equipment or improvement height and take the appropriate steps to confirm a height exemption or file a 7460-1. If a previous 7460-1 has been filed, the original 7460-1 will be re-filed with the appropriate changes and this new 7460-1 will now be considered an individual permit for the improvement.

Note: Particular attention must be given to all types of signs, light poles, cranes and large equipment that may require notice as outlined in F.A.R. Part 77. The names and locations of civil and private airports in Missouri can be obtained from the "Missouri Aeronautical Chart" available from the Aviation Section in Multimodal Operations, or at MoDOT's Aviation Publications website.

235.9 Project Scoping Documentation

Following approval of the preliminary plan and the public meeting/hearing documentation of the project scope is updated as necessary by the project manager. Details of this procedure are contained in EPG 104.11 Project Scoping Documentation.