Transcript Division of Local Assistance

Division of Local Assistance
Ray Zhang, Chief
Office of Project
Implementation South
Bill Sandoval, Chief
Office of Project
Implementation North
January, 2012
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NOW WHAT?
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HOW DO I GET MY MONEY?
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WHAT ARE THE HOOPS I HAVE TO JUMP
THROUGH?
Office of Project Implementation
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What is Local Assistance
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What is Project Implementation
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What we do –Roles and Responsibility Overview
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How we do it –Implementation Process Overview
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Questions ?
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.
Office of Project Implementation
Examples of Federal Funding Programs :
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(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
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
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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
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Roles& Duties of HQ Implementation includes:
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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
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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
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FHWA
 Federal agency ultimately responsible for ensuring
compliance with all federal requirements on highway
projects
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CALTRANS
 Stewardship Agreements delegates many FHWA
responsibility to Caltrans for “Delegated” projects
Office of Project Implementation
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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
FTIP Programming
WARNING:
Federal Authorization (E-76)
for PE
ANY WORK STATRED
BEFORE FEDERAL
AUTHORIZATION
(E-76) WILL
Project Development
Federal Authorization (E-76)for R/W
NOT
BE ELIGIBLE FOR
REIMBURSEMENT !
Negotiation and Acquire R/W
Federal Authorization (E-76) for Construction
Advertise, Award, Construct Project
Office of Project Implementation
 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
Federal Authorization - Definitions
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Authorization to Proceed - Formal authorization to
begin reimbursable work
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E-76 ; Electronic Federal Authorization
Separate “Authorization to Proceed” required for:
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 Preliminary Engineering
 Right of Way
 Construction (prior to advertising contract)
Office of Project Implementation
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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
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
 RW Acquisition
Office of Project Implementation
• Negotiation w/ owners
• Relocation Assistance
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
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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
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Federal-aid Program is a reimbursement program
 Local agency first pays contractor, then seeks federal
reimbursement
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Reimbursable work
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Preliminary engineering
Right of Way activities
Construction and CE
Pre-award Audit Costs
Contract Claims Cost
Office of Project Implementation
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Progress Invoices
 Submitted directly to DLAE w/ backup
 Submitted no more often than monthly
 Submit Award Package with first Construction
invoice
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Final Invoice
 Reviewed and approved by DLAE
 Included in Final Report of Expenditures (ROE)
Office of Project Implementation
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A Project becomes INACTIVE when:
 There is no financial activities (invoice) for > 12 months
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Inactive project subject to deobligation when:
 $500k or more inactive > 12 months
 Between $50k and $500k inactive > 24 months
 Under $50k inactive > 36 months
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Quarterly Inactive Obligation Reviews
Office of Project Implementation
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Local agency conducts final inspection
 Upon completion of any corrective actions, local
agency accepts work.
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DLAE Project Verification
 Verifies project is constructed in accordance w/
scope/description in Project Authorization
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“Report of Expenditures” must be submitted
w/in 180 days
Office of Project Implementation
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Division of Local Assistance
 Local Assistance Program Guidelines
 Local Assistance Procedures Manual
 Local Assistance Office Bulletins (DLA-OBs)
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Publications CD/DVD
All of the above available on Internet @
http://www.dot.ca.gov/hq/LocalPrograms/
Office of Project Implementation
1 -Suzanne Theiss (707) 445-6399
7 -Kirk Cessna (213) 897-0784
2 -Ian Howat (530) 225-3484
8 –Savat Khamphou (909)-383-4030
3 -John Hoole (530) 741-5450
9 -Ryan Dermody (760) 872-0681
4 -Sylvia Fung (510) 286-5226
10- Sinaren Pheng (209) 948-3689
5 -Garin Schneider (805) 542-4606
11 -Erwin Gojuangco (619) 278-3756
6 -Jim Perrault (559) 445-5417
12 -Jim Kaufman (949) 756-7805
Office of Project Implementation
Office of Project Implementation