| POLICY: Preliminary Engineering (PE) Funding Authorization allows the Local Government Agency (LGA) to be reimbursed for eligible planning, design and Professional Engineering Firm (PEF) costs. PE Funding Authorization occurs only after an Agreement has been fully executed. The LGA shall not enter into any contracts with a PEF prior to receiving PE Funding Authorization, or costs will not be reimbursed. |
PE Funding Authorization allows the LGA to be reimbursed for costs related to preconstruction activities. That includes Environmental Documentation, Public Involvement, Design/Plans, surveys, and other planning activities, but not including Right of Way Acquisition, Utility Relocation, and Construction – these activities have separate authorizations. The basic project concept should be defined prior to submittal and funding selection.
After full execution of an Agreement, if PE is an eligible phase of work, then the LGA will be notified to submit a Change Request in the Enterprise Business Services (EBS) Portal to request PE Funding Authorization (see Procedure). PE funding may be adjusted after the review and approval of a Consultant contract. PE expenses should be monitored so that they stay within this range; additional funds may not be available.
Due to changes in federal legislation, the Federal Highway Administration (FHWA) is no longer requiring reimbursement of PE funds if a project does not proceed to Right of Way (ROW) or Construction (CON) within 10 years of PE funding authorization; therefore, NCDOT will not require reimbursement of PE funds if a project does not proceed to ROW or CON, to comply with this updated procedure.
The following table outlines key activities associated with PE Funding Authorization. (Other activities that are not listed may apply.)
| FHWA Funding Phase | Associated Activities |
| Preliminary Engineering (PE) | - Solicitation of PEF including advertising (only if this occurs after authorization)
- Preparation of conceptual designs, alternatives analysis, environmental documents, preliminary design, and final design up through and including the preparation of bidding documents (Plans, Specifications, and Estimates)
- Advertising, bidding and letting of construction contract (performed by PEF or in-house)
- Solicit PEF for Construction Contract Administration (CA)
- Non-infrastructure/non-construction project expenses (can also be programmed in the State Transportation Improvement Program under an Implementation phase):
- Printing/binding brochures, guidebooks, maps, and other documents
- Program Administration
|
Procedure
Requesting PE Funding Authorization in the EBS Portal:
- NCDOT submits the funding request to the FHWA, along with a fully executed Agreement.
- NCDOT will notify the LGA, in writing, when funding is authorized, and expenses may be incurred.
- Funding Authorization may take as long as 6 weeks.
IMPORTANT: Any costs incurred before the PE phase is authorized and written notification is received are not eligible for Reimbursement.
