Changes in Unified Planning Work Program (UPWP) Amendment and Administrative Modification Guidance for Federal Fiscal Year (FFY) 2022

For UPWP Committee consideration, March 4, 2021.

Key question: Does the Committee support the MPO adopting the new guidance as presented here?

Text is included in Chapter 2 of the UPWP. The proposed new language would be formally adopted as part of the endorsement of the FFY 2022 UPWP.

FFY 2021 Language

Proposed FFY 2022 Language

If necessary, MPO staff can make amendments and administrative modifications to the UPWP throughout the year. All 3C documents endorsed by MPOs, such as the TIP, LRTP, and the UPWP, must follow standardized procedures regarding amendments and/or administrative adjustments. If an amendment is under consideration, MPO staff notifies the Advisory Council and other interested parties, including any affected communities. The MPO follows the procedures specified in the MPO’s Public Participation Plan. The following are the guidelines regarding the conditions that constitute an amendment to the UPWP, as received from FHWA by MassDOT and the MPO in FFY 2020 for future UPWPs Any revision that would result in the need for additional funding. Any change in budget for an individual budget line that exceeds 10 percent of the total allotted to that budget line. Any revision of the scope or objectives of the project or program that would substantially alter the scope or objectives of that project or program, regardless of whether there is an associated budget revision requiring prior approval. Need to extend the period of availability of funds. Contracting out, sub-granting, or otherwise obtaining the services of a third party to perform activities central to the purposes of the award unless described in the adopted UPWP. This requirement does not apply to the procurement of equipment, supplies, and general support services The absence for more than three months, or a 25 percent reduction in time devoted to the project, by the approved project director or principal investigator. The need for additional federal funding. The transfer of funds allotted for training allowances (direct payment to trainees) to other categories of expense. Reallocation of budget funds amounting to less than 10 percent of a budget line will constitute an administrative adjustment, rather than an amendment, unless it also triggers one of the other conditions above. Staff must present all proposed administrative adjustments and amendments to the MPO for consultation prior to endorsement. The UPWP Committee will review both adjustments and amendments before forwarding them to the MPO. MPO members must vote to approve adjustments. For amendments, the MPO will vote to release the amendment for a 30-day public comment period prior to an endorsement vote. Members of the public may attend and present comments at UPWP committee meetings and MPO meetings at which amendments and administrative modifications are discussed. The MPO may make administrative modifications without a public review period at the MPO’s discretion, although information will be shared with MassDOT’s Office of Transportation Planning (OTP). When submitting the standard Budget Reallocation Request form to OTP, staff must fill out all fields with clear indication that the MPO was consulted prior to submission. Staff must submit back-up documentation, including the UPWP description of task(s) affected, original budget, revised budget, and justification for the request. Amendments will go into effect after approval by FHWA.

If necessary, MPO staff can make amendments and administrative modifications to the UPWP throughout the year. All 3C documents endorsed by MPOs, such as the TIP, LRTP, and the UPWP, must follow standardized procedures regarding amendments and/or administrative modifications. If an amendment is under consideration, MPO staff notifies the Advisory Council and other interested parties, including any affected communities. The MPO follows the procedures specified in the MPO’s Public Participation Plan.  The following are the guidelines regarding the conditions that constitute an amendment to the UPWP, as received from FHWA by MassDOT and the MPO in FFY 2021 for future UPWPs. Amendments are defined as significant changes to the overall UPWP that require federal approval. Administrative modifications are minor adjustments to the overall UPWP that do not require federal approval. Amendments to the UPWP include the following: Addition or deletion of a UPWP task or subtask Major changes to UPWP task descriptions, activities, and other information Funding increase above the originally approved UPWP overall budget Funding transfers between tasks equal to or greater than 25 percent of the UPWP task budget Funding increase or decrease equal to or greater than 25 percent of the UPWP task budget Administrative modifications to the UPWP include the following: Minor changes to UPWP task descriptions, activities, and other information Funding transfers between UPWP tasks less than 25 percent of the UPWP task budget Funding increase or decrease less than 25 percent of the UPWP task budget Staff must present all proposed amendments and administrative modifications to the MPO for consultation prior to endorsement. The UPWP Committee will review both amendments and administrative modifications before forwarding them to the MPO. MPO members must vote to approve adjustments. For amendments, the MPO will vote to release the amendment for a 21-day public comment period prior to an endorsement vote. Members of the public may attend and present comments at UPWP Committee meetings and MPO meetings at which amendments and administrative modifications are discussed. The MPO may make administrative modifications without a public review period at the MPO’s discretion, although information will be shared with MassDOT’s Office of Transportation Planning (OTP). When submitting the standard Budget Reallocation Request form to OTP, staff must fill out all fields with clear indication that the MPO was consulted prior to submission. Staff must submit backup documentation, including the UPWP description of task(s) affected, original budget, revised budget, and justification for the request. Amendments will go into effect after approval by FHWA.