LOCAL ASSISTANCE PROJECT IMPLEMENTATION OVERVIEW

1. Winton Emmett, Chief Office of Project Implementation North LOCAL ASSISTANCEPROJECT IMPLEMENTATIONOVERVIEW Division of Local Assistance John Hoole, Chief Office of Project Implementation South January, 2014

2. Outline • 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

3. What is Local Assistance? 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. Office of Project Implementation

4. Basis for Local Assistance’s Role • 23 CFR • Stewardship Agreement between FHWA & Caltrans • LAPM/ LAPG • Process Review Plan • LOAP (Local Oversight Action Plan) • California Streets & Highways Code • CTC Guidelines Division of Local Assistance

5. What are the Federal Funding Programs? 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

6. California Federal-Aid Highway Program under MAP-21

7. Federal Fund Requirements • 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

8. What are the State Funding Programs? State Funds: • State Transportation Improvement Program (STIP) • Traffic Congestion Reduction Program (TCRP) • BOND (Prop 1B) • Portions of ATP LOCAL Funds: NOT Processed by Local Assistance • Measure Funds • Local Developer and Contribution Office of Project Implementation

9. Offices 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 Office of Project Implementation

10. Roles and Responsibilities Regional & Local Agencies Federal Highway Administration HQ Project Implementation Team California Transportation Commission District Local Assistance Engineer

11. Roles and Responsibilities • 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

12. Roles and Responsibilities • 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

13. Roles and Responsibilities • 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

14. Federal Program (TIP) Authorize PE Obligate $ (CTC vote) Field Review Environ. Studies Federal Envir. Approval Final Design PS&E Authorize Utilities Obligate $ (CTC vote) Authorize R/W Obligate $ (CTC vote) Authorize Const. Obligate $ (CTC vote) Advertise Award Construct Master Agreement Progress Invoices toDistrict Project Authorization Process (LAPG) PLANNING (Ch 7, 8) (Ch 11, 12) DESIGN (Ch 3) (Ch 7) (Ch 6) Acquire R/W ROW (Ch13) (Ch 3) (Ch 15, 16) CONST. (Ch 14) (Ch 3) Program Agreement PE,RW,Con Final Rpt. & Invoice to District FINANCE (Ch 4) (Ch 4) (Ch 5) (Ch 17) (CTC vote only for allocations – see LAPG Ch. 23)

15. Federal Authorization • 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 DC Office of Project Implementation

16. PE Authorization to Proceed 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. RW Authorization to Proceed 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 to Proceed 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. Agreements 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

20. Agreements 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

21. Invoices • 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

22. Invoices • 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

23. Inactive Projects 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

24. Local Assistance – Quick Facts for California • 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

25. Local Assistance Website www.dot.ca.gov/hq/LocalPrograms/ Office of Project Implementation

26. Where to get help?Getting to know your DLAE 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

27. Good Practices ReviewQuestion & Answer Office of Project Implementation