1. Office of Regional Planning Training
RTPA Workshop
JANUARY 12, 2017

2. Agenda Legislation and Guidance OWP Development and Coordination
Topics
Legislation and Guidance
OWP Development and Coordination
Amendments
Eligibility
Cost Principles
Invoicing
Regional Planning Tools 2

3. Legislation and Guidance
Public Utilities Code and
Requirement to pass through the RPA funds for the completion of Gov. Code
Government Code 65080
RTPAs must prepare and adopt a RTP
23 CFR 450 –Statewide Planning, Non-Metropolitan, and Metropolitan regulations (Rule-making for MAP-21 in progress)
2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Grant Management
Basic Cost Principles
Indirect Costs
Allowable vs. Unallowable
Establishes rules for certain types of costs
Effective December 26, 2014 3

4. Legislation and Guidance
Generally Accepted Accounting Principles (GAAP)
Accounting standards issued by the Government Accounting Standards Board (GASB) and the Financial Accounting Standards Board (FASB)
Very general, and some principles may not apply to government work.  Some are central, such as objectivity in financial statements and consistency in treatment of costs and revenues
2 CFR 200 references GAAP when establishing administrative requirements
23 CFR Part 420 – Administration of FHWA Planning and Research funds
Policies for planning and research funds General criteria for eligibility
Monitoring and reporting (quarterly reports)
Fiscal requirements
FTA Circular c - Program Guidance for Metropolitan Planning and State Planning and Research Grants
Program eligibility
OWP requirements and procedure
Rules of the Consolidated Planning Grant 4

5. Overview of Regional Planning Funds
Oversight and monitoring of Regional Planning Transportation Funds (Section 1.04, )
Consolidated Planning Grant (CPG)
FHWA Metropolitan Planning (FHWA PL)
FTA Metropolitan Planning (FTA 5303)
Caltrans Sustainable Transportation Planning Grants
FHWA Strategic Partnerships
FTA 5304/SHA Sustainable Communities
Rural Planning Assistance (RPA) 5

6. Overview of Regional Planning Agreements
Regional Planning Agreements (Section )
Overall Work Program (OWP)
Overall Work Program Agreement (OWPA)
Master Fund Transfer Agreement (MFTA)
Memorandum of Understanding (MOU) 6

7. OWP Development and Coordination
Overall Work Program (OWP) (Section 2)
Annual overview of the region with a focus on transportation goals and objectives
MFTA Section 1 (A)
Contents of the OWP (Section c)
Three part to an OWP
Introduction/prospectus
Work elements
Budget Revenue Summary 7

8. Contents of an OWP Introduction or Prospectus (Section 2.05a)
Provides context for understanding the proposed work elements and gives information on the region:
Agency organizational structure and interagency agreements
Decision-making process
Coordination and consultation process
Significant regional characteristics, issues, geography, demographics, transportation needs, priorities and goals
How the PEAs and Planning Factors are addressed
Progress made toward implementing the RTP and TIP

9. Contents of an OWP Work Element (Section 205b)
Identify specific planning work to completed during a state Fiscal Year.
Each major activity needs to have a separate work element that includes:
Title and work element number
Purpose or objective statement
Identification of previous, ongoing, and future years’ work
Description of tasks, completion dates and responsible entities
A product associated with each task
A schedule and completion date for each task and product
A table showing all fund sources, uses of funds (staff, contracted and local match source

10. Contents of an OWP Budget Revenue Summary (Section 2.05c)
All OWP fund sources and uses must be listed in a comprehensive Budget Revenue Summary table.
All funds in the OWP itemized by work element and fund sources.
Prior years’ unexpended RPA carryover identified separately
Consistency of funding throughout the OWP documents is important:
Budget Revenue Summary
Work Elements
OWPA

11. Amendments Types of Amendments
1) Administrative amendment (Section 2.19)
Correction of errata
Moving funds between work elements - no change in scope of work or total amount programmed
2) Formal amendment (Section 2.20)
Increase/decrease in total RPA funds in the OWP
Adding carryover from previous FYs
Adding a grant award
Change in scope of work
Administrative Amendment does not require board approval, just notification to the District (district forwards to ORP)
All amendments are sent to the ORP Liaison electronically 11

12. Amendments OWP Amendment Package ( Section 2.23)
Transmittal memo
Effected pages of the OWP
Revised work element pages
Revised Budget Revenue Summary
Resolution or minutes from RTPA Board approving the amendment
Amended and fully executed original OWPA (if there are RPA or Grant funding changes)
Sample Amendment Package (see hand out)
Deadline for OWP amendments (Section 2.24)
May 1st for formal amendments
June 15th for administrative budget revisions 12

13. Cost Principles
How do you determine if a cost is allowable for reimbursement?
Criteria established through regulations (2 CFR 200, 23 CFR 420, FTA circular c) - Must be “allowable” under 2 CFR 200
In order to be allowable, a cost must:
Be necessary and reasonable
Conform to limitations set forth in statute
Be consistent with an agency’s policies and procedures
Be treated in a consistent manner with like costs
Be determined in accordance with GAAP
Not be used to satisfy matching requirements for another federal award
Be adequately documented
Often requires a judgment; should be treated consistently
Another part of the OWP monitoring is to ensure the agencies only bill for eligible and allowable cost. The difference between eligible vs. allowable is an
Eligible cost is an actual planning activity and allowable cost are reflected in the cost principles and more administrative. Eligible uses are tied to 23 CFR Part 450 and 49 CFR Part 18. Allowable costs are outlined in 2 CFR 200 for the most part.
Next slide goes into the definitions. 13

14. Cost Principles Allowable vs. Unallowable Costs
Allowable Cost – Examples: Audit services, communications, compensation for indirect personnel services, depreciation, rent, and travel.
Unallowable Cost – Examples: Alcoholic beverages, bad debts, contingencies, contributions and donations, entertainment, lobbying, equipment and other capital expenditures, certain advertising and public relations costs, certain memberships, and general government expenses.
Examples of an allowable cost is a meeting space to conduct public outreach, travel and conference fees related to planning, training.
Examples of unallowable are lobbying, extravagant prizes at public meetings or not adhering to the cost principles.
All costs must be treated consistently so if an MPO has an indirect cost allocation plan that included office supplies, but then they directly billed for office supplies in one of their CPG invoices those direct costs would be unallowable.
If you have a question on eligible and allowable costs you can contact your ORP liaison who can work with Audits to get clarification 14

15. Cost Principles Eligible vs. Ineligible Activities (Appendix A):
Eligible: Approved transportation planning activities - data collection and modeling; public workshops; scenario planning; short range transit plan; unmet transit needs assessment; allowable indirect costs
Ineligible: Non-approved activities, work that is beyond planning – Design and engineering; unallowable activities such as lobbying; unapproved indirect costs; transit operations; non-planning TDA; land use plans; local circulation elements
An example of an eligible cost is the RTP, or a short range transit plan.
An ineligible cost would be a general plan update or implementation of a plan, engineering document.
Hand outs – Appendix A “Eligible and Ineligible Activities” 15

16. Appendix A Update Environmental document review
Habitat Conservation Plans (23 CFR )
MPO board meetings
MPO Executive Director
OWP Work Element
Comingling of eligible and ineligible activities
Food and beverages at meetings (2 CFR )
Membership Dues and Meeting Attendance
Pass-through Funds
Marketing – 2 CFR
Legal Fees – are ineligible due to 23 CFR (e).

17. Invoicing Frequency of invoices (Section 4.04) Risk Based Approach
Maximum: monthly
Minimum: quarterly
Risk Based Approach
Process (see hand out)
Support spreadsheets (see hand outs)
Hand outs – Risk Based approach process, Risk Based Approach support spreadsheets for MPOs and RTPAs
Frequency of invoices is outlined in MFTA 17

18. Normal Invoicing Approach
RFR
Invoice Cover
Sheet
RPA $_____
SPR $_____
$_____
SHA $_____
Normal Invoicing Approach
Caltrans Summary Sheets
RPA $_____
$_____
$_____
SHA $_____
Invoice
Payment
Invoice
Payment
Invoice
Payment
Invoice
Payment
Risk-Based Approach

19. Sustainable Communities Strategic Partnerships (SPR)
Invoicing
Local (Non-Federal) Match (Section 3.06)
Local match calculator (see hand out)
Fund Type
Sustainable Communities
(FTA § 5304)
Strategic Partnerships (SPR)
Federal Grant
88.53%
80.00%
Local Match
11.47%
20.00%
* Hand outs – Local Match Calculator 19

20. Invoicing In-kind Local Match (Section 3.06a) Example:
Services provided to an MPO planning work activity by a city or county staff
In-kind local match – third party services
TOLL CREDITS can now be used on carryover as well effective FY 15/16. 20

21. Invoicing OWP Year-End Package (Section 4.07)
RTPA must submit the package by August 31st
Contents of Year-End Package:
Cover Letter (new recommendation)
Certification of Expenditure
Final Statement of Expenditures
Sample Year-End Package (see hand out)
Reconciliation and Carryover Letter (Section 4.08 – 4.10)
Agencies can include carryover in the OWP and perform work, but may not program carryover in the OWPA or invoice for carryover funds until:
The prior year Close-Out and Reconciliation processes have been completed and
Carryover letter is signed by the agency and Caltrans * 21

22. Regional Planning Tools
Regional Planning Handbook
The RTP Guidelines
Grant Application Guide
Regional Planning website 22

23. HQ Office of Regional Planning Contacts23

24. Questions? 24