bill sandoval, chief office of project implementation north january, 2012 division of local...
TRANSCRIPT
Bill Sandoval, ChiefOffice of Project Implementation North
January, 2012
Division of Local Assistance
Ray Zhang, ChiefRay Zhang, Chief
Office of Project Office of Project Implementation SouthImplementation South
NOW WHAT?
HOW DO I GET MY MONEY?
WHAT ARE THE HOOPS I HAVE TO JUMP THROUGH?
Office of Project Implementation
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
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.
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
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
Implementation North: Dist. 1,2,3,4,6,10Implementation South: Dist. 5,7,8,9,11,12Authorize Federal Funds For Delegated
Projects (after FHWA obligation)Recommend and Request Authorization For
High Profile Projects (Full-oversight)Process FTA Transfers of Eligible Federal
FundsProcess Agreements With Local Agencies
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
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
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
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
Office of Project Implementation
A d ve rtise , A w a rd , C o n stru c t P ro je ct
F e d era l A u th o riza tion (E -7 6 ) fo r C on s tru c tion
N e g otia tion a nd A cq u ire R /W
F e d e ra l A u th o riza tio n (E -7 6 )fo r R /W
P ro jec t D eve lo pm e nt
F e d e ra l A u th o riza tio n (E -7 6)fo r P E
F T IP P ro g ram m ing
WARNING:
ANY WORK STATRED BEFORE FEDERAL AUTHORIZATION (E-76) WILL
NOT
BE ELIGIBLE FOR REIMBURSEMENT !
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
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 - Federal Authorization - DefinitionsDefinitions
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 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 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
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
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
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
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
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
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 @
http://www.dot.ca.gov/hq/LocalPrograms/
Office of Project Implementation
Office of Project Implementation
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
Office of Project Implementation