Local Assistance Packages · Local Assistance Packages David Giongco, P.E. ... (LAPG) – Local Programs Procedures ... Field Review Form. 7-B:

Local Assistance Packages

David Giongco, P.E.Local Assistance Area EngineerOffice of Local AssistanceApril 26, 2011

SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE

Overview

• Federal-Aid Process

• Local Assistance Resources

• Request for Authorization

• Award Package

• Final Report of Expenditure

• Summary

• Discussion


DAVID [email protected](530) 741-5113

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

April 26, 2011


Why does this matter?



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Simplified Federal-Aid Process



April 26, 2011


Local Agency requests/receives federal earmark or

grant

Caltrans executes Master Agreement

w/Local Agency (if not already executed

Local Agency contacts District Local

Assistance Office

Project is programmed in

RTIP/FTIP

Local Agency requests and obtains

authorization for PE

Local Agency begins Preliminary

Engineering (PE)

Local Agency submits Field Review and PES to DLAE for approval


Environmental Document approval

from CT

Continue (next slide)

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Simplified Federal-Aid Process (cont.)



April 26, 2011


Continue from previous slide

Local Agency begins final design


authorization for Right-of-Way (R/W)


authorization for Construction

Local Agency advertises and awards

contract

Local Agency submits award information to

DLAE

Local Agency submits progress invoice to HQ accounting who pays

invoice

Local Agency conducts final

inspection/submits Report of

Expenditures to DLAE

DLAE conducts project

verification/approves final invoice

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Local Assistance Resources



April 26, 2011


• Publications– Local Assistance Procedures Manual (LAPM)

– Local Assistance Program Guidelines (LAPG)

– Local Programs Procedures (LPPs)

– Caltrans Oversight Information Notice (COIN)

• Website– HQ: http://www.dot.ca.gov/hq/LocalPrograms

– Announcements & Office Bulletins (OBs)

– CURRENT FORMS AND DOCUMENTS

• District Local Assistance Engineer

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

http://www.dot.ca.gov/hq/LocalPrograms



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Request for Authorization (RFA)



April 26, 2011


• Resource: Chapter 3 of LAPM• Purpose of authorization process:

– Begin reimbursable work– Advertise construction contracts

• Required for each phase of project– PE, R/W, Utility Relocation, CON

• 6-8 weeks processing time– Assuming a COMPLETE package

• E-76: “Authorization to Proceed”– Agreement with State & FHWA– CTC Allocation (State funds equivalent)

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

RFA Documents – PE



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Document LAPM Exhibit

RFA to Proceed with PE 3-A

RFA to Proceed Data Sheets 3-E

Finance Letter 3-O/15-O

Local Agency Agreement Checklist 4-A

Field Review Form 7-B

FTIP/FSTIP Reference Sheet N/A

RFA Documents – R/W



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion


RFA to Proceed with R/W 3-B





NEPA Document N/A


RFA Documents – CON



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion


RFA to Proceed with CON 3-D





R/W Certification 13-B

PS&E Certification 12-C

PS&E Checklist 12-D

Local Agency Construction Checklist 15-A

NEPA Document N/A


Copy of PS&E Package N/A

RFA Notes



April 26, 2011


• Use current forms– Read the checklists

• Finance Letter = Detail Estimate• Segregate Detail Estimate

– Multiple funding sources– Participating/Non-participating

• Request Construction Engineering– Justify CE over 15%

• Underfunded projects– Rate fixed for life of project– Possible adjustments at award and final

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

RFA Notes (cont.)



April 26, 2011


• Public Interest Findings (PIFs)– Proprietary Items– Local agency furnished materials– Force account work

• Transportation Enhancement approval• Additional exhibits for structures and

ITS projects• Set of current PS&E

– Electronic copy preferred

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Award Package



April 26, 2011


• Resource: Chapter 15 of LAPM

• Critical project milestone– Assures adequate project funding

– Allows invoicing

• Submit immediately after contract award & prior to first invoice

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Award Package Documents



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Refer to Chapter 15 for other Award documents required


Local Agency Contract Administration Checklist 15-L

Final Detail Estimate 15-M


Resident Engineer’s Construction Administration Checklist 15-B

Local Agency Bidder UDBE Commitment 15-G1

Local Agency Bidder DBE Commitment 15-G2

Award Package Notes



April 26, 2011


• Use current forms• Submit “immediately” after award• Consistent Detail Estimate• Possible reimbursement rate

adjustment• Other project files (e.g. 15-C, 15-I)• Good Faith Effort memo• As-advertise PS&E

– Electronic copy preferred

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Final Report of Expenditures (FROE)



April 26, 2011


• Resource: Chapter 17 of LAPM

• Documents completion & acceptance by Local Agency

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Final Report Documents (Federal)



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion


Cover Letter & Checklist 17-A

Final Inspection Form 17-C

Finance invoice 17-D

Final Detail Estimate 15-M

Change Order Summary 17-E

Final DBE Report 17-F

DBE Certification of Status Change 17-O

Materials Certificate 17-G

Final Report Documents (State)



April 26, 2011


Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion


Finance invoice 17-D

Final Project Expenditure Report 17-M

Applies to projects with only State funds.

FROE Notes



April 26, 2011


• Use current forms• Timely submittal

– Accounting deadlines differ• DBE forms

– Final UDBE (Exhibit 17-F)– DBE Status Change Cert. (Exhibit 17-O)

• Change order summary (Exhibit 17-E)– Include applicable liquidated damages and/or

contractor claims• Site photos• Additional exhibits for structures and R/W

Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

Summary

• Why does this matter …

• Federal-Aid Process

• Local Assistance Resources

• Request for Authorization

• Award Package

• Final Report of Expenditure



Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

April 26, 2011


Discussion



Overview

Process

Resources

RFA

Award Package

FROE

Summary

Discussion

April 26, 2011


David Giongco, P.E.Local Assistance Area Engineer

Office of Local Assistance

[email protected](530) 741-5113