Bill Sandoval, ChiefOffice of Project Implementation North

January, 2012

Division of Local Assistance

Ray Zhang, ChiefRay Zhang, Chief

Office of Project Office of Project Implementation SouthImplementation South

NOW WHAT?

HOW DO I GET MY MONEY?

WHAT ARE THE HOOPS I HAVE TO JUMP THROUGH?

Office of Project Implementation

What is Local Assistance What is Project Implementation What we do –Roles and Responsibility

Overview How we do it –Implementation Process

Overview Questions ?

Office of Project Implementation

Office of Project Implementation

The Division of Local Assistance and 12 District Local Assistance Offices assist local agencies in taking advantage of state and federal transportation program funding.

Examples of Federal Funding Programs :

(Regional) Surface Transportation Program (RSTP)

Congestion Mitigation & Air Quality (CMAQ) High Priority Program(DEMO), Earmark Project of Regional and National Significance

(PRNS) Hwy. Bridge Program (HBP) Transportation Enhancement (TE) Highway Safety Improvement Program (HSIP) Safe Route to School Program (SRTS) Emergency Relief (ER)

Office of Project Implementation

Office of Project Implementation

Federal Funds Requirement: PROJECT ELIGIBILITY

CMAQ – Can ONLY be used on projects that help reduce traffic congestion, improve air quality, e.g. HOV lane. Can not use to add a traffic lane

DEMO - Earmarked to Specific Local Agency, Project. Can ONLY be used for that agency, location, project

MATCH FUNDS REQUIRED Federal funding programs require non-federal match

CMAQ, RSTP – require 11.47% non-federal match funds

DEMO – require 20% non-federal match funds

Office of Project Implementation

Implementation North: Dist. 1,2,3,4,6,10Implementation South: Dist. 5,7,8,9,11,12Authorize Federal Funds For Delegated

Projects (after FHWA obligation)Recommend and Request Authorization For

High Profile Projects (Full-oversight)Process FTA Transfers of Eligible Federal

FundsProcess Agreements With Local Agencies

Roles& Duties of HQ Implementation includes: Federal Authorizations Processing STIP Allocations/Extension

Requests Preparing/Executing agreements Interacting w/ other HQ units on behalf of

District & local agencies (Ombudsman) Advice on policy interpretation &

implementation procedures

Office of Project Implementation

Roles& Duties of DLAE includes: Initial and Primary Contact with Local Agencies Advise Local Agencies on Caltrans Local

Assistance Policies/Procedures Receive Funding Requests from Local

Agencies, Review for Completeness and transmit to HQ

Conduct Field Reviews, Final Verification Coordinate with HQ in processing Local Agency

Funding Requests

Office of Project Implementation

FHWA Federal agency ultimately responsible for

ensuring compliance with all federal requirements on highway projects

CALTRANS Stewardship Agreements delegates many

FHWA responsibility to Caltrans for “Delegated” projects

Office of Project Implementation

LOCAL AGENCY 1995; under the “Reengineering of Local

Assistance Procedures” many Title 23 responsibilities were delegated by Caltrans to local agencies

Primarily responsible for implementing projects conception • environmental •

maintenance planning • design programming • construction

Office of Project Implementation

Office of Project Implementation

A d ve rtise , A w a rd , C o n stru c t P ro je ct

F e d era l A u th o riza tion (E -7 6 ) fo r C on s tru c tion

N e g otia tion a nd A cq u ire R /W

F e d e ra l A u th o riza tio n (E -7 6 )fo r R /W

P ro jec t D eve lo pm e nt

F e d e ra l A u th o riza tio n (E -7 6)fo r P E

F T IP P ro g ram m ing

WARNING:

ANY WORK STATRED BEFORE FEDERAL AUTHORIZATION (E-76) WILL

NOT

BE ELIGIBLE FOR REIMBURSEMENT !

Apportionment - Federal distribution of funds as prescribed by statutory formula

Obligation - Federal government’s commitment to reimburse State for federal share of project costs

Request for Authorization (RFA) – local agency’s paperwork and supporting document package for authorization

FADS (Federal Aid Data System) - State E-76 system

Office of Project Implementation

Authorization to Proceed - Formal authorization to begin reimbursable work

E-76 ; Electronic Federal Authorization Separate “Authorization to Proceed”

required for: Preliminary Engineering Right of Way Construction (prior to advertising contract)

Office of Project Implementation

Federal Authorization - Federal Authorization - DefinitionsDefinitions

Sequence of Authorization Procedures: Local agency:

Submits “Request for Authorization” (RFA)

District: Assigns project number, EA Creates E-76 and transmits to HQ DLA Send backup document

HQ DLA: Reviews E-76 for accuracy, completeness, provides

electronic signature and transmits to FHWA with backup document

FHWA: Review backup documents, Obligates federal funds

and transmits E-76 to FHWA HQ in DCOffice of Project Implementation

PE Authorization Covers preliminary engineering work

associated with environmental process and final design

Final design can begin only after NEPA clearance

May include preliminary R/W activities necessary to develop project alternatives

Office of Project Implementation

Right of Way Authorization If federal reimbursement is sought for any

phase of the project, all R/W activities must conform to federal requirements

NEPA environmental clearance required prior to authorization

Must be obtained prior to negotiation w/ owners

Covers: Appraisals • Negotiation w/ owners RW Acquisition • Relocation Assistance

Office of Project Implementation

Construction Authorization Required PRIOR to advertising

construction contract NEPA clearance required prior to

federal authorization Right of Way Certification required

Office of Project Implementation

General Legal contract between Caltrans and

Local Agency specifying project requirements and funding commitments

Required prior to federal/State reimbursement

Office of Project Implementation

Local Assistance Master Agreements Two types:

Federal-aid State-only

Local Agency agrees to comply with federal and/or state laws, regulations, policies and procedures related to design, R/W acquisition, construction and maintenance

Office of Project Implementation

Program Supplement Agreements (PSA) Addresses project specific conditions,

fiscal commitments and special requirements

Encumbers federal funding for the project Processed after first Authorization to

proceed Subsequently authorized funds are

encumbered by revised Finance Letters

Office of Project Implementation

Program Supplement Agreements (PSA) Processing Procedures

Generated Upon federal authorization DLA creates PSA and transmits Local Programs

Accounting (LPA) LPA encumbers funds on PSA and return to DLA DLA transmits to local agency Local agency signs agreement and returns to

HQ DLA Agreement executed by HQ AE Executed agreement is returned to local

agency Local agency may begin invoicing

Office of Project Implementation

Federal-aid Program is a reimbursement program Local agency first pays contractor, then seeks

federal reimbursement Reimbursable work

Preliminary engineering Right of Way activities Construction and CE Pre-award Audit Costs Contract Claims Cost

Office of Project Implementation

Progress Invoices Submitted directly to DLAE w/ backup Submitted no more often than monthly Submit Award Package with first

Construction invoice Final Invoice

Reviewed and approved by DLAE Included in Final Report of Expenditures

(ROE)

Office of Project Implementation

A Project becomes INACTIVE when:

There is no financial activities (invoice) for > 12 months

Inactive project subject to deobligation

when:

$500k or more inactive > 12 months Between $50k and $500k inactive > 24 months Under $50k inactive > 36 months

Quarterly Inactive Obligation Reviews

Office of Project Implementation

Local agency conducts final inspection Upon completion of any corrective

actions, local agency accepts work. DLAE Project Verification

Verifies project is constructed in accordance w/ scope/description in Project Authorization

“Report of Expenditures” must be submitted w/in 180 days

Office of Project Implementation

Division of Local Assistance Local Assistance Program Guidelines Local Assistance Procedures Manual Local Assistance Office Bulletins (DLA-OBs)

Publications CD/DVD All of the above available on Internet @

http://www.dot.ca.gov/hq/LocalPrograms/

Office of Project Implementation

Office of Project Implementation

1 -Suzanne Theiss (707) 445-6399

2 -Ian Howat (530) 225-3484

3 -John Hoole (530) 741-5450

4 -Sylvia Fung (510) 286-5226

5 -Garin Schneider (805) 542-4606

6 -Jim Perrault (559) 445-5417

7 -Kirk Cessna (213) 897-0784

8 –Savat Khamphou (909)-383-4030

9 -Ryan Dermody (760) 872-0681

10- Sinaren Pheng (209) 948-3689

11 -Erwin Gojuangco (619) 278-3756

12 -Jim Kaufman (949) 756-7805

Office of Project Implementation