1. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Timely Use of Federal and State Funds Stella Liao, P.E. District Local Assistance Engineer 1

2. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE OVERVIEW What’s Covered: Federal Authorizations – Through the phases – Inactive Project Status (How to find the list and how to get off it!) State Allocations – Request for Allocations – Request for Time Extension (How to find the date and how to get it extended!) Cooperative Work Agreements (CWA) – When to request one – When you don’t need one 2

3. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Project Close-out FEDERAL AUTHORIZATIONS Federal Transportation Act (Apportionments) FTIP Published ( Projects are programmed) Request For Authorization (In the year programmed) Preliminary Engineering (covers PA&ED, E&P, PS&E) Right of Way (covers Acquisition & Support/Engineering) Utility Relocation (can be separate from R/W) Construction (can include Construction Engineering) Construction Contract Award (within 60 days) Final Report of Expenditures (within 180 days) 3

4. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE FEDERAL AUTHORIZATIONS 4

5. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE The E 76 5

6. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE THE DATE THAT MATTERS AUTHORIZATION AUTHORIZATION TO PROCEED WITH REQUEST:PRE FOR: PE DOCUMENT TYPE: AAGR PREPARED BY: REVIEWED BY: AUTHORIZED BY: PROCESSED BY: LAST FHWA ELECTRONIC SIGNATURE EXECUTED BY: ON 03/15/2010 ON 03/23/2010 ON 03/24/2010 FOR CALTRANS ON 03/26/2010 FOR FHWA Authorization Date You cannot charge for (reimbursed) work/expenses accomplished/billed prior to FHWA’s authorization date 6 Approval Timeframe (typically two to three weeks)

7. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Program Supplement Agreement Link to a blank form: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/chapter4/4d.pdf 7

8. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Program Supplement Agreement Link to a blank form: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/chapter4/4d.pdf 8 ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six months commencing after the funds are encumbered for each phase by the execution of this Project Program Supplement Agreement, or by STATE’s approval of an applicable Finance Letter.

9. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Finance Letter 9

10. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE INACTIVE PROJECTS – What is an inactive project (Reference: 23 CFR 630.106) – How to find the list http://www.dot.ca.gov/hq/LocalPrograms/Inactiveproj ects.htm http://www.dot.ca.gov/hq/LocalPrograms/Inactiveproj ects.htm – How to get off it! 10

11. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE STATE ALLOCATIONS State Budget Act Vote/Encumbrance ( PSA/FL issued ) State Budget Authority & Timely Use of Funds STIP Published ( Projects are programmed) Allocation (Vote) Request ( In the year programmed) CTC only meets ten times a year (check the calendar)(check the calendar) (Time Extension Request) Project Close-out 11

12. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE ALLOCATION DOCUMENTS 12

13. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE ALLOCATION NOTIFICATION LETTER ( INSTEAD OF AN e-76 ) 13

14. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE STATE ALLOCATIONS Allocation ( Begin reimbursed work for phase voted) ↘ E&P (PA&ED) must be completed within 2 nd year after vote ↘ PS&E requires CEQA & must be completed within 2 nd year after vote ↘Right of Way requires CEQA & must be completed within 2 nd year after vote ↘ Construction requires CEQA & must be awarded within six months of vote, contract award date must be reported within 60 days, and the contract must be completed with three years of that award date. 14

15. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE TIME EXTENSION These completion dates are referred to as timely use of funds. If you can’t meet them the CTC has established Guidelines to extend the dates up to 20 months - - - but only once! Use Exhibit 23-B (LAPG) 15

16. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE TIME EXTENSION The guidelines to extend TUFs require that: Only grant time extensions when there is an unforeseen and/or extraordinary circumstance(s); be specific about the subject and provide a timeline of milestones to justify the extension period (Page 2 of Exhibit 23-B). All time extension requests due to District at least 60 days prior to the specific deadline (CALENDAR) (RTPAs/MPOs must concur on all time extension requests) 16

17. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Cooperative Work Agreement When the State’s budget authority over Federal or State funds is within one year of lapsing local agencies can request that the life of the funds be extended to their maximum. A cooperative work agreement is the document needed to secure the funds. 17

18. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Finance Letter 18

19. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE The Bottom Line (Again) The bottom line (really) of your Finance Letter You can’t just reprogram or transfer funds into the next phase, encumbrances are time sensitive only 19

20. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Cooperative Work Agreement CWA Website: http://www.dot.ca.gov/hq/LocalPrograms/CWA/cwa.htm – CWA TimelineCWA Timeline – CWA Spreadsheet Instructions – Reason for Delay Codes Reason for Delay Codes – Frequently Asked Questions (FAQ) – CWA eligible encumbrance lists CWA eligible encumbrance lists 20

21. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Cooperative Work Agreement Your project has an encumbrance (any line on the bottom of the finance letter with a balance greater than $0) with a Reversion date of June 30, 2014. If you have any doubt you will not completely expend that encumbrance, and submit an invoice prior to April 2014, you should apply for a CWA. Sample Request LinkRequest Link 21

22. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE Cooperative Work Agreement WHAT’S THE RISK? If state or federal funding is lost due to lapsing state budget authority, the Local Agency is responsible for completing the project using local funds. Failure to complete the project may result in the agency having to repay any state or federal funds already invoiced on the project and may jeopardize future funding. 22

23. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE HOW TO GET HELP Training Manuals & Guidebooks Partnering 23

24. SAFETY * MOBILITY * DELIVERY * STEWARDSHIP * SERVICE SUMMARY What’s Covered: Federal Authorizations – Through the phases – Inactive Project Status How to find the list and how to get off it! State Allocations – Request for Allocations – Request for Time Extension How to find the date and how to get it extended! Cooperative Work Agreements (CWA) – When to request one – When you don’t need one 24