Winton Emmett, ChiefOffice of Project Implementation North
January, 2014
Division of Local Assistance
John Hoole, ChiefJohn Hoole, ChiefOffice of Project Office of Project Implementation SouthImplementation South
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
Office of Project Implementation
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.
Division of Local Assistance
23 CFR Stewardship
Agreement between FHWA & Caltrans LAPM/ LAPG Process Review Plan LOAP (Local Oversight
Action Plan) California Streets &
Highways Code CTC Guidelines
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
NHPP, $1,900STP, $888
HSIP, $208
Rail, $15
CMAQ, $445MP, $47
TA, $72
Amount in Millions
Office of Project Implementation
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
State Funds: State Transportation Improvement Program
(STIP) Traffic Congestion Reduction Program (TCRP) BOND (Prop 1B) Portions of ATPLOCAL Funds: NOT Processed by Local Assistance Measure Funds Local Developer and Contribution
Office 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
Roles and ResponsibilitiesRoles and Responsibilities
Federal Highway
Administration
California Transportation
Commission
Regional & Local Agencies
District Local Assistance Engineer
HQ Project Implementation
Team
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
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
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
MasterAgreement
ProgressInvoicesto District
Final Rpt.& Invoiceto District
DESIGN
DESIGN
ROW
ROW
CONST
CONST ..
FINANCE
FINANCE Program
AgreementPE,RW,Con
FederalProgram
(TIP)
AuthorizePE
Obligate $(CTC vote)
FieldReview
Environ.Studies
FederalEnvir.
Approval
FinalDesignPS&E
AuthorizeR/W
Obligate $(CTC vote)
AuthorizeConst.
Obligate $(CTC vote)
AcquireR/W
AuthorizeUtilities
Obligate $(CTC vote)
AdvertiseAward
Construct
(LAPG)
(Ch 3) (Ch 7) (Ch 6)
(Ch 7, 8) (Ch 11, 12)
(Ch 3)
(Ch 14)
(Ch 3)
(Ch13)
(Ch 15, 16)
(Ch 4) (Ch 4) (Ch 5) (Ch 17)
(CTC vote only for allocations – see LAPG Ch. 23)(CTC vote only for allocations – see LAPG Ch. 23)
PLANNING
PLANNING
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 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, funding commitments, and other agency responsibilities
Required for reimbursement Types – Master Agreements, Program
Supplement Agreements, E-76
Office of Project Implementation
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
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
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
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
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
Office of Project Implementation
www.dot.ca.gov/hq/LocalPrograms/
Office of Project Implementation
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