Winton Emmett, ChiefOffice of Project Implementation North

January, 2014

Division of Local Assistance

John Hoole, ChiefJohn Hoole, ChiefOffice of Project Office of Project Implementation SouthImplementation South

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

Overview How we do it –Implementation Process

Overview

Office of Project Implementation

Office of Project Implementation

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.

Division of Local Assistance

23 CFR Stewardship

Agreement between FHWA & Caltrans LAPM/ LAPG Process Review Plan LOAP (Local Oversight

Action Plan) California Streets &

Highways Code CTC Guidelines

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)

Office of Project Implementation

NHPP, $1,900STP, $888

HSIP, $208

Rail, $15

CMAQ, $445MP, $47

TA, $72

Amount in Millions

Office of Project Implementation

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.

Office of Project Implementation

State Funds: State Transportation Improvement Program

(STIP) Traffic Congestion Reduction Program (TCRP) BOND (Prop 1B) Portions of ATPLOCAL Funds: NOT Processed by Local Assistance Measure Funds Local Developer and Contribution

Office 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

Roles and ResponsibilitiesRoles and Responsibilities

Federal Highway

Administration

California Transportation

Commission

Regional & Local Agencies

District Local Assistance Engineer

HQ Project Implementation

Team

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

Office of Project Implementation

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

Office of Project Implementation

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

Office of Project Implementation

MasterAgreement

ProgressInvoicesto District

Final Rpt.& Invoiceto District

DESIGN

DESIGN

ROW

ROW

CONST

CONST ..

FINANCE

FINANCE Program

AgreementPE,RW,Con

FederalProgram

(TIP)

AuthorizePE

Obligate $(CTC vote)

FieldReview

Environ.Studies

FederalEnvir.

Approval

FinalDesignPS&E

AuthorizeR/W

Obligate $(CTC vote)

AuthorizeConst.

Obligate $(CTC vote)

AcquireR/W

AuthorizeUtilities

Obligate $(CTC vote)

AdvertiseAward

Construct

(LAPG)

(Ch 3) (Ch 7) (Ch 6)

(Ch 7, 8) (Ch 11, 12)

(Ch 3)

(Ch 14)

(Ch 3)

(Ch13)

(Ch 15, 16)

(Ch 4) (Ch 4) (Ch 5) (Ch 17)

(CTC vote only for allocations – see LAPG Ch. 23)(CTC vote only for allocations – see LAPG Ch. 23)

PLANNING

PLANNING

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 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, funding commitments, and other agency responsibilities

Required for reimbursement Types – Master Agreements, Program

Supplement Agreements, E-76

Office of Project Implementation

Master Agreements: Federal-aid State-only

Program Supplement Agreements: Location, work & cost specific for each

project

E-76 Authorization/Agreement Between Caltrans and FHWA

Office of Project Implementation

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)

Office of Project Implementation

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

Office of Project Implementation

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/LocalPrograms/Inactiveprojects.htm)

FHWA Quarterly Inactive Project Reviews Invoice, Final, or cancel project

Federally Inactive projects are subject to immediate de-obligation

Office of Project Implementation

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

Office of Project Implementation

Office of Project Implementation

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

Office of Project Implementation

1 - Suzanne Theiss (707) 445-6399

2 - Ian Howat (530) 225-3484

3 - Stella Liao (530) 741-5450

4 - Sylvia Fung (510) 286-5226

5 - Garin Schneider (805) 542-4606

6 - Jim Perrault (559) 445-5417

7 - David Sosa (213) 897-0409

8 – Sean Yeung (909) 383-4030

9 - Ryan Dermody (760) 872-0681

10 - Parminder Singh (209) 948-3689

11 - Erwin Gojuangco (619) 278-3756

12 - Jim Kaufman (949) 756-7805

Office of Project Implementation