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Bill Sandoval, Chief Office of Project Implementation North January, 2012 Division of Local Assistance Ray Zhang, Chief Office of Project Implementation.

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Presentation on theme: "Bill Sandoval, Chief Office of Project Implementation North January, 2012 Division of Local Assistance Ray Zhang, Chief Office of Project Implementation."— Presentation transcript:

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


3  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 The Division of Local Assistance and 12 District Local Assistance Offices assist local agencies in taking advantage of state and federal transportation program funding.

5 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 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

7 Office of 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

8  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& 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  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  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


13  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  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 Federal Authorization - Definitions

15  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  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 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  Required PRIOR to advertising construction contract  NEPA clearance required prior to federal authorization  Right of Way Certification required Office of Project Implementation

19 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 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  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 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  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  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  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  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  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 @ Office of Project Implementation

28 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

29 Office of Project Implementation

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