LOCAL ASSISTANCE PROJECT IMPLEMENTATION OVERVIEW

1. Bill Sandoval, Chief Office of Project Implementation North LOCAL ASSISTANCEPROJECT IMPLEMENTATIONOVERVIEW Division of Local Assistance Ray Zhang, Chief Office of Project Implementation South January, 2012

2. CONGRATULATIONS!YOUR PROJECT IS IN THE FTIP! • NOW WHAT? • HOW DO I GET MY MONEY? • WHAT ARE THE HOOPS I HAVE TO JUMP THROUGH? Office of Project Implementation

3. OUTLINE • 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

4. What is Local Assistance? The Division of Local Assistance and 12 District Local Assistance Offices assist local agencies in taking advantage of state and federal transportation program funding. Office of Project Implementation

5. FUNDING PROGRAMS 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

6. FUNDING PROGRAMS 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

7. PROJECT IMPLEMENTATION • Implementation North: Dist. 1,2,3,4,6,10 • Implementation South: Dist. 5,7,8,9,11,12 • Authorize Federal Funds For Delegated Projects (after FHWA obligation) • Recommend and Request Authorization For High Profile Projects (Full-oversight) • Process FTA Transfers of Eligible Federal Funds • Process Agreements With Local Agencies Office of Project Implementation

8. Roles and Responsibilities • 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

9. Roles and Responsibilities • 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

10. Roles and Responsibilities • 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

11. Roles & Responsibilities - Cont. • 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

12. Local Assistance Process WARNING: ANY WORK STATRED BEFORE FEDERAL AUTHORIZATION (E-76) WILL NOT BE ELIGIBLE FOR REIMBURSEMENT ! Office of Project Implementation

13. Federal Authorization - Definitions • 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

14. Federal Authorization - Definitions • 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

15. Federal Authorization • 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 DC Office of Project Implementation

16. PE Authorization to Proceed 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

17. RW Authorization to Proceed 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

18. Construction Authorization to Proceed Construction Authorization • Required PRIOR to advertising construction contract • NEPA clearance required prior to federal authorization • Right of Way Certification required Office of Project Implementation

19. Agreements General • Legal contract between Caltrans and Local Agency specifying project requirements and funding commitments • Required prior to federal/State reimbursement Office of Project Implementation

20. Agreements 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

21. Agreements • 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

22. Agreements 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

23. Invoice Procedures • 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

24. Invoice Procedures • 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

25. Project with Inactive Obligation • 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

26. Project Completion • 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

27. Local Assistance Publications • 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

28. Where to get help?Getting to know your DLAE 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

29. Question & Answer Office of Project Implementation