FEDERALAID LOCAL PROJECTS

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FEDERAL-AID LOCAL PROJECTS
General Requirements and Procedures

• PRESENTED BY

District 10 Local Assistance Jesus Serrano, TE
(Civil) Nestor Gavino, TE (Civil)
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INTRODUCTION

• This is an informal training.
• Goal to provide a general understanding of
  Fed-Aid project procedures.
• Objective to emphasize on submittal
  requirements, completeness of Request For
  Authorization (RFA) packages, and accuracy of
  project data.
• Local Assistance Webpage
• http//www.dot.ca.gov/hq/LocalPrograms/

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FINANCIAL MANAGEMENT PROCEDURESPROJECT
AUTHORIZATION/OBLIGATION
NO
YES
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BASIC PROCEDURES

• Federal Aid projects must follow Federal Rules.
• Local Assistance Procedures Manual
• Local Assistance Program Guidelines
• FTIP identifies projects (scope, cost and
  schedule)
• Must have authorization (E-76) PRIOR to starting
  any reimbursable work.
• Must have NEPA clearance PRIOR to authorization
  of Right-of-Way and Construction funds.
• Federal funds get reimbursed after completion of
  the reimbursable work.

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CAPITAL OVERSIGHT PROJECTS(on State Hwy. system)

• Project Manager (PM) is Single Focal Point of
  contact
• All RFA packages go to PM from the Agency.
• PM verifies completeness and accuracy of RFA
  package and forwards to Local Assistance (LA) to
  process Request for Authorization (E-76) only.
• PM needs to sign Finance Letter.
• Capital Subvention Reimbursement (LAPM Exhibit
  3-H) request to be submitted by PM.
• If required - Cooperative Agreement must be
  executed prior to authorization for any phase.

• Project Manager (PM) is Single Focal Point of
  contact
• Agency can submit RFA package directly to Local
  Assistance (LA).
• LA Engineer can verify completeness and accuracy
  of RFA package.
• Capital Subvention Reimbursement (LAPM Exhibit
  3-H) request to be submitted by LA (DLAE).
• If required - Cooperative Agreement must be
  executed prior to authorization for any phase.

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FEDERAL AID PROCESS CHART
PLANNING
DESIGN
ROW
CONST.
FINANCE
At lease once every 6 months for every phase
otherwise the project will be on inactive list
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REVIEW PROCESS

• Request for Authorization (RFA) Packages
• Preliminary Engineering (PE)
• Right Of Way (R/W)
• Construction (CON)
• Award Package
• Federal Report of Expenditures (Final Invoice
  Package)
• Additional Federal Funds Request (Post
  Programming)
• Transfer of Federal Funds to FTA

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PE RFA PACKAGES

• LAPM Exhibit 3-A RFA to proceed with PE
• LAPM Exhibit 3-E RFA to proceed Data Sheets
• LAPM Exhibit 3-L Project Prefix Checklist
• LAPM Exhibit 3-O Finance Letter
• LAPM Exhibit 4-A Local Agency Agreement
  Checklist
• LAPM Exhibit 7-B Field Review Form (required for
  HBRR and Seismic Safety Retrofit programs) Needs
  to be submitted within 4 months of PE
  authorization if not submitted initially
• FTIP/FSTIP Page showing programmed funds
• For specific type of projects
• CMAQ Projects -- copy of Emissions Benefit
  Calculation (Emission Reduction)
• ITS Projects LAPM Exhibit 7-I Systems
  Engineering Review Form (SERF)
• BRIDGE Projects LAPM Exhibit 7-C Roadway Data
• (Additional documents may be needed depending
  upon the project type, see LAPM Chapter 3)

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ENVIRONMENTAL REVIEW

• Local Agency submits Preliminary Environmental
  Studies (PES, LAPM Exhibit 6-A) form which
  identifies
• Scope of Project
• Existing Condition of the Project Area
• Potential existence of sensitive environmental
  resources
• Required technical studies
• NEPA document classification

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ENVIRONMENTAL REVIEW (cont.)

• Required items for completion of PES form
• Current version of the PES form (May 30, 2008)
• Detailed Project Description on the first page
  (use additional page if needed)
• Answer all questions on the PES form and document
  answers on the comment section
• Original signature and date
• FTIP information
• Include required attachments listed at the bottom
  of the first page of PES form

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ENVIRONMENTAL REVIEW (cont.)

• Caltrans determines required technical studies
  and process NEPA clearance.
• NEPA document is valid for 3 years and must be
  revalidated if it expires prior to R/W or CON
  authorization

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R/W RFA PACKAGES

• LAPM Exhibit 3-B RFA to proceed with R/W
• LAPM Exhibit 3-E RFA to proceed Data Sheets
• LAPM Exhibit 3-O Finance Letter
• LAPM Exhibit 7-B Field Review Form (if not
  submitted previously)
• LAPM Exhibit 4-A Local Agency Agreement
  Checklist
• Copy of NEPA document
• Copy of FTIP showing programmed funds
• (Additional documents may be needed depending
  upon the project type)

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CONSTRUCTION RFA PACKAGES

• LAPM Exhibit 3-D RFA to proceed with
  Construction
• LAPM Exhibit 3-E RFA to proceed Data Sheets
• LAPM Exhibit 3-O Finance Letter
• LAPM Exhibit 7-B Field Review Form (if not
  submitted previously)
• LAPM Exhibit 13-A (No R/W Certification) OR 13-B
  (R/W Certification)
• LAPM Exhibit 12-C PSE Certification
• LAPM Exhibit 12-D PSE Checklist
• Copy of PSE package
• LAPM Exhibit 15-A Local Agency Construction
  Contract Administration Checklist
• LAPM Exhibit 4-A Local Agency Agreement
  Checklist
• Copy of NEPA document
• Copy of FTIP sheet, (Lump Sum Project include
  backup list)
• (Additional documents may be needed depending
  upon the project type)

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CONSTRUCTION RFA (cont.)
Exceptions to RFA for Construction

• For specific type of projects
• (non-construction) rideshare or vehicle purchase
  project a work-plan is needed in lieu of PSE
  package
• (CMAQ Projects) Provide a copy of Emissions
  Reduction Calculation Sheet
• (Projects on SHS) Provide a copy of Executed
  Cooperative Agreement or Encroachment Permits (if
  required)

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BRIDGE PROJECTS

• Application for Bridge Projects
• LAPG Exhibit 6-A HBP Application/Scope
  definition form
• LAPG Exhibit 6-B Special cost approval checklist
• District reviews and forwards the application
  to HQ for approval. Local Agency gets
  notification when application is approved. After
  approval, the agency can program funds through
  RTPA/ MPO. Typically, new bridge projects are
  programmed into FTIP/FSTIP in September of each
  year.

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BRIDGE PROJECTS

• Change of Scope, Cost or Schedule
• LAPG Exhibit 6-D Change of Scope/Cost/Schedule
  Request
• LAPG Exhibit 6-B Special cost approval checklist
• If there is a scope, cost or schedule change for
  the bridge projects, the agency submits LAPG
  Exhibit 6-D with justification along with 6-B (if
  cost change) to the District. After completion
  of review, the District forwards them to HQ for
  approval. Local Agency gets notification of
  final approval, and then the agency can program
  funds through RTPA/ MPO. If additional funds
  are needed for the current phase of work, the
  agency may not need to wait for FTIP/FSTIP
  approval. Contact DLAE for details.

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AWARD PACKAGES

• LAPM Exhibit 15-L Local Agency Contract
  Administration Checklist
• LAPM Exhibit 15-M Final Detail Estimate
• LAPM Exhibit 15-O Finance Letter
• LAPM Exhibit 15-B Residents Engineers
  Construction Administration Checklist
• LAPM Exhibit 15-G Local Agency Bidder-DBE
  Information
• List of Bidder
• Note The agency must award the project within
  180 days of the authorization date for
  construction
• (Additional documents may be needed depending
  upon the project type, see LAPM Chapter 15)

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FEDERAL REPORT OF EXPENDITURE PACKAGES

• LAPM Exhibit 17-A Federal Report of Expenditures
  Cover Letter and Checklist
• LAPM Exhibit 17-C Local Agency Final Inspection
  Form
• LAPM Exhibit 17-D Final Invoice
• LAPM Exhibit 15-M Final Detail Estimate
• LAPM Exhibit 17-E Change Order Summary
• Include Statement of the liquidated damages
  and/or contractor claims, if there is any.
• LAPM Exhibit 17-F Final Report Utilization of
  Disadvantaged Business Enterprises (DBE).
• LAPM Exhibit 17-G Materials Certification
• LAPM Exhibit 17-O DBE Certification of Status
  Change
• (Additional documents may be needed depending
  upon the project type, see LAPM Chapter 17)

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INACTIVE PROJECTS

• 6 months rule
• Agency must invoice every 6 months
• Justification letter
• Detail and specific reasons, including backup
  documentation
• Exception
• Advertisement cost can be charged under PE phase
  to make project active, required special
  coordination with HQ

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REQUEST FOR ADDITIONAL FEDERAL FUNDS

• Justification Letter with a detailed explanation
  why additional funding is being requested
• LAPM Exhibit 15-O Revised Finance Letter
• LAPM Exhibit 15-M Revised Detail Estimate
• LAPM Exhibit 17-E Change Order Summary
• LAPM Exhibit 7-B Updated Field Review Form
• Concurrence Letter from MPO/RTPA stating the
  changes will not affect their MPO/RTPAs
  financial constraint
• Note Post Programming should be requested before
  completion of the project
• Up to 20 of obligated amount

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Transfer of Federal Funds to FTA Package
Transfer of Federal Funds to FTA

• LAPM Exhibit 3-J Request for transfer of Federal
  Funds to FTA
• LAPM Exhibit 3-O Finance Letter
• Grant Application with pending Grant Number
• Caltrans Notification Letter (Sections 5311
  5310 only)
• FTIP/FSTIP page showing programmed funds

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FORMAT REQUIREMENTS

• Use the most current version of the Exhibits
• Do not modify the Exhibits
• Do not remove headers and footers (Always show
  Exhibit number)
• Use online forms (you may use prior project forms
  for reference only)
• If the Exhibits are not applicable for specific
  project, print N/A on the checklist and include
  the Exhibit in the package (for final invoice
  package)

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COMMON DISCREPANCIES

• Incomplete Packages
• Delays depend on level of incompleteness
• Will be returned for completion if Exhibits are
  missing, incomplete or inaccurate.
• May be rejected due to lack of justification.
• Inconsistency of cost estimate in field review
  form and finance letter
• Inconsistency in Funding info FTIP, Finance
  letter, detail estimate for all, Field Review
• Inconsistency in Data sheets
• The often used of old/previous project
  information
• Missing signature
• Lack of Justification.