1. Winton Emmett, Chief Project Implementation North January, 2016 Division of Local Assistance John Hoole, Chief Project Implementation South

2.  What is Local Assistance  What is Project Implementation  What we do –Roles and Responsibility Overview  How we do it –Implementation Process Overview  Programming Barriers to Implementing Projects  Best Practices Offices of Project Implementation

3. 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. Offices of Project Implementation

4. Federal Programs include :  National Highway Performance Program (NHPP)  Surface Transportation Program (STP/STBGP)  Bridges as part of NHPP & STP/STBGP  Congestion Mitigation & Air Quality (CMAQ)  High Priority (DEMO), Earmarks, TIGER, Discretionary  Transportation Alternatives Program (TAP) including Safe Routes to School Program (SRTS)  Highway Safety Improvement Program (HSIP)  National Highway Freight Program (NHFP)  Emergency Relief (ER) Offices of Project Implementation

5. 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 STP/STBGP – 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 in many cases Offices of Project Implementation

6. State Funds:  State Transportation Improvement Program (STIP)  BOND (Prop 1B)  Portions of ATP Local Funds: NOT Processed by Local Assistance  Measure Funds  Local Developer and Contribution Offices of Project Implementation

7. Implementation North: Winton Emmett Districts 1, 2, 3, 4, 10 Implementation South: John Hoole Districts 5, 6, 7, 8, 9, 11, 12 Offices of Project Implementation

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

9.  Roles & Duties of HQ Implementation includes:  Federal Authorizations  Processing STIP, Bond, and ATP Allocation Requests  FTA and Other Fund Transfers  Preparing/Executing Agreements  Interacting w/ other HQ units on behalf of District & local agencies  Advice on policy interpretation & implementation procedures Offices of Project Implementation

10.  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, Transmit to and Coordinate with HQ  Conduct Field Reviews  Invoice Processing  Final Report of Expenditures and Closeout Coordination Offices of Project Implementation

11.  FHWA  Federal agency ultimately responsible for ensuring compliance with all federal requirements on highway projects; approver of Federal Authorizations  LOCAL AGENCY  Initiates and submits “Request for Authorization” package to the DLAE  Primarily responsible for implementing projects  conception environmental maintenance  planning design  programming construction Offices of Project Implementation

12. Master Agreement Progress Invoices to District Final Rpt. & Invoice to District DESIGN ROW CONST. FINANCE Program Agreement PE,RW,Con Federal Program (TIP) Authorize PE Obligate $ (CTC vote) Authorize PE Obligate $ (CTC vote) Field Review Environ. Studies Federal Envir. Approval Final Design PS&E Authorize R/W Obligate $ (CTC vote) Authorize R/W Obligate $ (CTC vote) Authorize Const. Obligate $ (CTC vote) Authorize Const. Obligate $ (CTC vote) Acquire R/W Authorize Utilities Obligate $ (CTC vote ) Advertise Award 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 5)(Ch 17) (CTC vote only for allocations – see LAPG Ch. 23) PLANNING

13. PE Authorization  Covers preliminary engineering work associated with environmental process and final design  Eligible reimbursement only after PE Authorization date.  Final design can begin only after NEPA clearance  May include preliminary R/W activities necessary to develop project alternatives Offices of Project Implementation

14. 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 Offices of Project Implementation

15. Construction Authorization  AUTHORIZE BEFORE YOU ADVERTISE!!! (Repeat 3 times)  NEPA clearance required prior to federal authorization  Right of Way Certification required Offices of Project Implementation

16. General  Legal contract between Caltrans and Local Agency specifying project requirements, funding commitments, and other agency responsibilities  Required for reimbursement Offices of Project Implementation

17. Master Agreements:  Federal-aid  State-only Program Supplement Agreements:  Location, work & cost specific for each project E-76 Authorization/Agreement  Between Caltrans and FHWA Offices of Project Implementation

18.  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) Offices of Project Implementation

19. 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  (http://www.dot.ca.gov/hq/LocalPrograms/Inactiveproje cts.htm)http://www.dot.ca.gov/hq/LocalPrograms/Inactiveproje cts.htm FHWA Quarterly Inactive Project Reviews  Invoice, Final, or cancel project Federally inactive projects are subject to de- obligation Offices of Project Implementation

20. Local Agency submits Final Report of Expenditures to closeout project Local agency maintenance obligations begin; lack of maintenance will result in sanctions Caltrans and FHWA process Final Voucher to close project (may take 21 months from FROE submittal) Local Agency retains project records for 3 years after FHWA Final Voucher date Offices of Project Implementation

21.  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 15/16 are at about $1.5 billion Offices of Project Implementation

22. Hard to predict cost, schedule, or number of projects – out of Local Assistance control Imbalanced delivery of the Federal Program (generally only 50% of the program has been obligated after 3Q) Offices of Project Implementation  DBE, Buy America  New funding programs Rules Keep Changing:  MAP-21, FAST Act, NEXTEA  Enhanced NHS, Performance Measures

23. Incorrect and Incomplete Programming  Description, Fund Type, Fund Amount, Program Year, Phase  Emission Benefit Calcs (CMAQ)  Notation of: Toll Credit, PM2.5 eligibility, EPSP approval Offices of Project Implementation

24. Lack of Coordination between the Programming Body and the Local Agency Time! 2 months to get an Admin Mod?! 6 months for a Formal Amendment?!?!?!?!?!? CTC? DLA? FHWA? Offices of Project Implementation

25. Coordinate with your Local Agencies early and often! Ensure project scope/cost/schedule line up with Programming Give the hammer a nail – don’t make us guess. Denote the use of Toll Credits, PM2.5 Eligibility, Emission Benefit Calcs, etc in the FTIP/FSTIP Encourage EARLY (in the FFY) Delivery please! Offices of Project Implementation

26. www.dot.ca.gov/hq/LocalPrograms/ Offices of Project Implementation