PROJECT AUTHORIZATIONS

September 24, 2014

by

Peter Anderson

HQ Area Engineer – Districts 1 and 4

&

Ephrem Meharena

i- Team, Caltrans District 4 + VTA

PROJECT AUTHORIZATIONS

September 24, 2014

Chapter 3

Local Assistance Procedures Manual(LAPM)

PRIOR TO FEDERAL AUTHORIZATION

• All federally funded transportation projects must be included in the current federally approved Federal Transportation Improvement Program/Federal Statewide Transportation Improvement Program

September 24, 2014

FSTIP/FTIP•Must Indentify:

• Project Description:

• Scope of Work & Project Limits

• Project Total Cost

• Project Implementing Agency

• Federally Funded Phases of Work

• Programmed FFY

• Types & Amounts of Federal Funds & Other Funds

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SAMPLE FSTIP/FTIP SHEET(Line Item Project)

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LUMP SUM LISTINGS• Non capacity increasing projects must be included

in the respective Lump Sum Project Listing• Highway Bridge Program (non-capacity)• Highway Safety Improvement Program (HSIP)• Most NI (Non Infrastructure)Projects• Don’t forget: Back-up List of Projects

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SAMPLE FSTIP/FTIP SHEET(Lump Sum Listing)

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PRIOR TO FEDERAL AUTHORIZATION

• DBE• Local agency must have a signed and accepted

DBE Implementation Agreement (Ex-9A)

• DBE Annual Submittal Form (Ex-9B) for current federal fiscal year.

• Annual ADA Certification Form (Ex-9C)

• ATP/STIP Funds (if any)• Must have been allocated by the CTC

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PROJECT AUTHORIZATIONS

• QAP- Current local agency approved QAP prior to RFA (Con) submittal (valid for 5 years)• QAP Training for Santa Clara County agencies through the i-Team scheduled for 10/22/2014 @VTA Project authorization is the process that allows the Local Agency to:

• Begin reimbursable work on federal-aid projects• Advertise for construction contracts

September 24, 2014

PROJECT PHASES• Preliminary Engineering (Ex 3-A)• Right-of-Way (Ex 3-B)• Utility Relocation (Ex 3-C)• Construction (Ex 3-D)

• What about Construction Engineering?

• Non-Infrastructure (Ex 3-Q)

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AUTHORIZATION PROCESS• Local Agency submits hard copy request to DLAE

• Separate request for each federal funding action

• DLAE reviews request for completeness and accuracy and submits E76 (FADS) with back up documentation to HQ

• HQ reviews and submits E76 and support documentation to FHWA

• FHWA authorizes and obligates the federal funds• DLAE issues Notice to Proceed to Local Agency

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THE E-76• Written confirmation of authorization• Establishes effective date of phase authorization• Reflects federal funds obligated• Establishes federal share of project cost• Establishes scope and limits of project

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SAMPLE E-76

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REQUIRED DOCUMENTS• Local Agency to DLAE

• RFA (Ex 3-A, 3-B, 3-C, 3-D, 3-Q & attachments)• DLAE to HQ (Ex 3-G – Federal Project Log Sheet)

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RFA PACKAGES by Phase

Document PE ROW Con NI

RFA to Proceed 3A 3B 3D 3Q

FTIP/FSTIP Y Y Y Y

Finance Letter 3O 3O 3O 3O

Data Sheets 3E 3E 3E 3E

Field Review Form 7B 7B# 7B#

7B#

NEPA Y Y Y

Estimate Y Y Y

PS&E Certificate 12C

PS&E Checklist 12D

Right of Way Certificate 13A

Local Agency Construction Checklist 15A

PS&E Package 3R

DBE Contract Goal Methodology 9D* 9D* 9D*

# - required if not previously submitted* -Agencies must prepare and submit Exhibit 9D for all construction and consultant contracts.

September 24, 2014

RFA-PE (Ex 3-A) TYPICAL DOCUMENTATION

• Exhibit 3-E (Data Sheets)

• FSTIP/FTIP Reference

• Agency Finance Letter

• Complete Field Review Form

• DBE Contract Goal Methodology Exhibit 9D(For consultant contracts)

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RFA-R/W (Ex 3-B) TYPICAL DOCUMENTATION

• Exhibit 3-E (Data Sheets)

• FSTIP/FTIP Reference

• Agency Finance Letter

• Complete Field Review (unless previously submitted)

• Approved NEPA Environmental Document

• R/W Cost Estimate

• Exhibit 9D( DBE Contract Goal Methodology) For consultant contracts.

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RFA-CON (Ex 3-D) TYPICAL DOCUMENTATION

• Exhibit 3-E (Data Sheets)

• FSTIP/FTIP Reference Sheet

• Agency Finance Letter

• Complete Field Review Form (unless previously submitted)

• Approved NEPA Env Document (unless previously submitted)

• R/W Certification

• PS&E Package, Checklist & Certification

• Exhibit 9D DBE Contract Goal Methodology

• Exhibit 15-A (Local Agency Construction Contract Administration Checklist)

September 24, 2014

September 24, 2014

RFA-NI (Ex 3-Q) TYPICAL DOCUMENTATION

• Exhibit 3-E (Data Sheets)• FSTIP/FTIP Reference Sheet• Agency Finance Letter• NI Project Work Plan • Complete Field Review Form (unless previously

submitted)• Approved NEPA Env Document

• NO R/W Certification Required

September 24, 2014

NI PROJECT WORKPLAN(Ex 3-R)

THINGS TO REMEMBER• Current DBE (Ex 9-B) for new RFA’s Required to be

updated each FFY .

HSIP/ HBP Projects:

• Expedited Project Selection Process (EPSP): local agency must have RTPA/MPO approval to advance or delay project RFA funding that is not in the current year of the FSTIP/FTIP

• Approval of Caltrans Program Manager is required.

September 24, 2014

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THINGS TO REMEMBER• Back-up List for lump sum projects

• Program manager review of RFA scope/limits consistency w/ scope/limits in approved applications/exhibits (HBP, HSIP, etc)

• RFA scope/limits consistency with HPP(High Priority Projects)/Demo legislated scope/project limits.

• Emergency Recovery Projects: NAPA…

UNDERFUNDED PROJECTS• Project phase funded at less than the maximum

federal reimbursement ratio. • Federal reimbursement ratio is established at

authorization by dividing the federal funds by the federal participating cost.

• Reimbursement ratio is subject to the Pro-Rata/Lump Sum requirements

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LOCAL ADVANCE CONSTRUCTION• Can be used due to insufficient Federal

Funds/Obligation Authority• Used when federal discretionary funds (i.e. TCSP)

have not been allocated by FHWA• Funding must be programmed in the FTIP/FSTIP

at time of authorization & Agency FL must show Local AC

• Federal funds must also be programmed in current FTIP/FSTIP at the time of AC conversion

• Authorizes work but not invoicing since Local AC are Local Funds until after conversion

• AC Conversion is NOT guaranteed (see Ex 3-I – Request for Local Advance Construction)

September 24, 2014

AGENCY FINANCE LETTER• Shows total cost, federal participating cost,

federal, state & local funds for each federally funded phase of the project (Ex 3-O)

• Shows federal participation ratio• Shows federal reimbursement ratio(s)• Shows pro-rata/lump sum designation• By reference part of PSA• Submitted by Local Agency to DLAE to HQ• HQ-AE submits FL to Accounting• Accounting uses FL to encumber funds

September 24, 2014

AGENCY FINANCE LETTER

September 24, 2014

CRS MAPS

September 24, 2014 http://www.dot.ca.gov/hq/tsip/hseb/crs_maps/

CT EARTH

September 24, 2014

September 24, 2014

Sample E-76 – Sequence 3

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PROJECT AUTHORIZATION

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RECAP• Only for federally funded projects• For Each federally funded phase of work• Work done prior to authorization is ineligible for

reimbursement• Do not advertise prior to construction

authorization