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)

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 September 24, 2014

SAMPLE FSTIP/FTIP SHEET (Line Item Project) September 24, 2014

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 September 24, 2014

SAMPLE FSTIP/FTIP SHEET (Lump Sum Listing) September 24, 2014

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 September 24, 2014

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 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

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) September 24, 2014

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 September 24, 2014

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 September 24, 2014

SAMPLE E-76 September 24, 2014

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) September 24, 2014

RFA PACKAGES by Phase DocumentPEROWConNI RFA to Proceed 3A3B3D3Q FTIP/FSTIP YYYY Finance Letter 3O Data Sheets 3E Field Review Form 7B7B# NEPA YYY Estimate YYY 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* # - required if not previously submitted * -Agencies must prepare and submit Exhibit 9D for all construction and consultant contracts. September 24, 2014

Exhibit 3-E (Data Sheets) FSTIP/FTIP Reference Agency Finance Letter Complete Field Review Form DBE Contract Goal Methodology Exhibit 9D(For consultant contracts) September 24, 2014

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. September 24, 2014

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

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)

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

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 September 24, 2014

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,

CT EARTH September 24, 2014

Sample E-76 – Sequence 3 September 24, 2014

PROJECT AUTHORIZATION September 24, 2014 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