LOCAL ASSISTANCE PROJECT IMPLEMENTATION OVERVIEW

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LOCAL ASSISTANCEPROJECT IMPLEMENTATIONOVERVIE
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Division of Local Assistance

• Winton Emmett, Chief
• Office of Project Implementation North

• John Hoole, Chief
• Office of Project Implementation South

January, 2014
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Outline

• What is Local Assistance
• What is Project Implementation
• What we do Roles and Responsibility Overview
• How we do it Implementation Process Overview

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What is Local Assistance?

The Division of Local Assistance and 12 District
Local Assistance Offices assist local agencies in
utilizing all available state and federal
transportation funds in accordance with
state/federal transportation statutes and
regulations.
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Basis for Local Assistances Role

• 23 CFR
• Stewardship Agreement between FHWA Caltrans
• LAPM/ LAPG
• Process Review Plan
• LOAP (Local Oversight Action Plan)
• California Streets Highways Code
• CTC Guidelines

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What are the Federal Funding Programs?

• Federal Programs under MAP-21 include
• National Highway Performance Program (NHPP)
• (Regional) Surface Transportation Program (RSTP)
• Highway Bridge Program (HBP) part of NHPP RSTP
• Congestion Mitigation Air Quality (CMAQ)
• High Priority (DEMO), Earmarks, TIGER,
  Discretionary
• Transportation Alternatives (TA) including Safe
  Routes to School Program (SRTS)
• Highway Safety Improvement Program (HSIP)
• Emergency Relief (ER)

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California Federal-Aid Highway Program under
MAP-21
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Federal Fund Requirements

• 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.
• RSTP flexible eligibility.
• Other Programs DEMO, HBP, ATP, HSIP, etc.
• MATCH FUNDS REQUIRED
• Federal funding programs generally require a
  non-federal match.
• Most programs require 11.47 non-federal match.
• Toll Credit can be used to satisfy matching
  requirements.

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What are the State Funding Programs?

• State Funds
• State Transportation Improvement Program (STIP)
• Traffic Congestion Reduction Program (TCRP)
• BOND (Prop 1B)
• Portions of ATP
• LOCAL Funds NOT Processed by Local Assistance
• Measure Funds
• Local Developer and Contribution

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Offices of Project Implementation

• Implementation North
• Winton Emmett
• Districts 1, 2, 3, 4, 10
• Implementation South
• John Hoole
• Districts 5, 6, 7, 8, 9, 11, 12

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Roles and Responsibilities
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Roles and Responsibilities

• Roles Duties of HQ Implementation includes
• Federal Authorizations
• FTA and Other Fund Transfers
• Processing STIP and Bond Allocation Requests
• Preparing/Executing Agreements
• Interacting w/ other HQ units on behalf of
  District local agencies
• Advice on policy interpretation implementation
  procedures

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Roles and Responsibilities

• Roles Duties of District (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

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Roles and Responsibilities

• FHWA
• Federal agency ultimately responsible for
  ensuring compliance with all federal requirements
  on highway projects
• LOCAL AGENCY
• Initiates and submits Request for Authorization
  package to the DLAE.
• Primarily responsible for implementing projects
• conception environmental
  maintenance
• planning design
• programming construction

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Project Authorization Process
PLANNING
(CTC vote only for allocations see LAPG Ch. 23)
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Federal Authorization

• Sequence of Authorization Procedures
• Local agency
• Submits Request for Authorization (RFA)
• District
• Assigns project number
• Creates E-76 and transmits to HQ Implementation
• Send backup documents
• HQ Implementation
• 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

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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

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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

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Construction Authorization to Proceed

• Construction Authorization
• Required PRIOR to advertising construction
  contract
• NEPA clearance required prior to federal
  authorization
• Right of Way Certification required

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Agreements

• General
• Legal contract between Caltrans and Local Agency
  specifying project requirements, funding
  commitments, and other agency responsibilities
• Required for reimbursement
• Types Master Agreements, Program Supplement
  Agreements, E-76

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Agreements

• Master Agreements
• Federal-aid
• State-only
• Program Supplement Agreements
• Location, work cost specific for each project
• E-76 Authorization/Agreement
• Between Caltrans and FHWA

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Invoices

• Federal-aid Program is a reimbursement program
• Local agency first pays contractor, then seeks
  federal reimbursement
• Requirements for Reimbursement
• Master Agreement
• Program Supplement Agreement
• E-76
• Finance Letter
• Award Package (for Construction)
• Indirect Cost Rate Acceptance Letter (if
  applicable)

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Invoices

• Invoices
• Submitted directly to DLAE w/ backup
• Submitted no more often than monthly
• Construction invoices can not be reimbursed until
  Award Package is submitted and processed
• DLAE forwards to LPA
• LPA forwards to SCO and FHWA
• SCO reimburses local agency

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Inactive Projects

• A Project becomes Federally INACTIVE when
• There is no billing activities (invoices) for 12
  months from either the last invoice or the
  original fund obligation
• Caltrans policy states projects are inactive if
  there is an unexpended balance and no invoices
  for 6 months these projects will be added to
  our Inactive List (http//www.dot.ca.gov/hq/LocalP
  rograms/Inactiveprojects.htm)
• FHWA Quarterly Inactive Project Reviews
• Invoice, Final, or cancel project
• Federally Inactive projects are subject to
  immediate de-obligation

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Local Assistance Quick Facts for California

• At any given time, there are about 5,000 active
  projects (of these, 4,000 are federal) among 680
  agencies
• These active projects represent 9 billion in
  federal funds, and a total of 16 billion in all
  fund types
• Federal funds for local agencies for FFY 13/14
  are at 1.6 billion

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Local Assistance Website
www.dot.ca.gov/hq/LocalPrograms/
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Where to get help?Getting to know your DLAE
1 - Suzanne Theiss [phone] 2 - Ian
Howat [phone] 3 - Stella Liao (530)
741-5450 4 - Sylvia Fung [phone] 5 -
Garin Schneider [phone] 6 - Jim
Perrault [phone]
7 - David Sosa [phone] 8 Sean Yeung
[phone] 9 - Ryan Dermody [phone]
10 - Parminder Singh [phone] 11 -
Erwin Gojuangco [phone] 12 - Jim
Kaufman [phone]
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Good Practices ReviewQuestion Answer