local assistance overview california department of …当地的援助概况加利福尼亚部…

1、LOCAL ASSISTANCEPROJECT IMPLEMENTATIONOVERVIEW,Bill Sandoval, Chief Office of Project Implementation North,January, 2012,Division of Local Assistance,Ray Zhang, Chief Office of Project Implementation South,CONGRATULATIONS!YOUR PROJECT IS IN THE FTIP!,NOW WHAT? HOW DO I GET MY MONEY? WHAT ARE THE HOO

2、PS I HAVE TO JUMP THROUGH?,Office of Project Implementation,OUTLINE,What is Local Assistance What is Project Implementation What we do Roles and Responsibility Overview How we do it Implementation Process Overview Questions ?,Office of Project Implementation,What is Local Assistance?,Office of Proje

3、ct Implementation,The Division of Local Assistance and 12 District Local Assistance Offices assist local agencies in taking advantage of state and federal transportation program funding.,FUNDING PROGRAMS,Examples of Federal Funding Programs : (Regional) Surface Transportation Program (RSTP) Congesti

4、on Mitigation under the “Reengineering of Local Assistance Procedures” many Title 23 responsibilities were delegated by Caltrans to local agencies Primarily responsible for implementing projects conception environmental maintenance planning design programming construction,Office of Project Implement

5、ation,Local Assistance Process,Office of Project Implementation,WARNING: ANY WORK STATRED BEFORE FEDERAL AUTHORIZATION (E-76) WILL NOT BE ELIGIBLE FOR REIMBURSEMENT !,Federal Authorization - Definitions,Apportionment - Federal distribution of funds as prescribed by statutory formula Obligation - Fed

6、eral governments commitment to reimburse State for federal share of project costs Request for Authorization (RFA) local agencys paperwork and supporting document package for authorization FADS (Federal Aid Data System) - State E-76 system,Office of Project Implementation,Authorization to Proceed - F

7、ormal authorization to begin reimbursable work E-76 ; Electronic Federal Authorization Separate “Authorization to Proceed” required for: Preliminary Engineering Right of Way Construction (prior to advertising contract),Office of Project Implementation,Federal Authorization - Definitions,Federal Auth

8、orization,Sequence of Authorization Procedures: Local agency: Submits “Request for Authorization” (RFA) District: Assigns project number, EA Creates E-76 and transmits to HQ DLA Send backup document HQ DLA: Reviews E-76 for accuracy, completeness, provides electronic signature and transmits to FHWA

9、with backup document FHWA: Review backup documents, Obligates federal funds and transmits E-76 to FHWA HQ in DC,Office of Project Implementation,PE Authorization to Proceed,PE Authorization Covers preliminary engineering work associated with environmental process and final design Final design can be

10、gin only after NEPA clearance May include preliminary R/W activities necessary to develop project alternatives,Office of Project Implementation,RW Authorization to Proceed,Right of Way Authorization If federal reimbursement is sought for any phase of the project, all R/W activities must conform to f

11、ederal 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 to Proceed,Construction Authoriza

12、tion Required PRIOR to advertising construction contract NEPA clearance required prior to federal authorization Right of Way Certification required,Office of Project Implementation,Agreements,General Legal contract between Caltrans and Local Agency specifying project requirements and funding commitm

13、ents Required prior to federal/State reimbursement,Office of Project Implementation,Agreements,Local Assistance Master Agreements Two types: Federal-aid State-only Local Agency agrees to comply with federal and/or state laws, regulations, policies and procedures related to design, R/W acquisition, c

14、onstruction and maintenance,Office of Project Implementation,Agreements,Program Supplement Agreements (PSA) Addresses project specific conditions, fiscal commitments and special requirements Encumbers federal funding for the project Processed after first Authorization to proceed Subsequently authori

15、zed funds are encumbered by revised Finance Letters,Office of Project Implementation,Agreements,Program Supplement Agreements (PSA) Processing Procedures Generated Upon federal authorization DLA creates PSA and transmits Local Programs Accounting (LPA) LPA encumbers funds on PSA and return to DLA DL

16、A transmits to local agency Local agency signs agreement and returns to HQ DLA Agreement executed by HQ AE Executed agreement is returned to local agency Local agency may begin invoicing,Office of Project Implementation,Invoice Procedures,Federal-aid Program is a reimbursement program Local agency f

17、irst pays contractor, then seeks federal reimbursement Reimbursable work Preliminary engineering Right of Way activities Construction and CE Pre-award Audit Costs Contract Claims Cost,Office of Project Implementation,Invoice Procedures,Progress Invoices Submitted directly to DLAE w/ backup Submitted

18、 no more often than monthly Submit Award Package with first Construction invoice Final Invoice Reviewed and approved by DLAE Included in Final Report of Expenditures (ROE),Office of Project Implementation,Project with Inactive Obligation,A Project becomes INACTIVE when: There is no financial activit

19、ies (invoice) for 12 months Inactive project subject to deobligation when: $500k or more inactive 12 months Between $50k and $500k inactive 24 months Under $50k inactive 36 months Quarterly Inactive Obligation Reviews,Office of Project Implementation,Project Completion,Local agency conducts final in

20、spection Upon completion of any corrective actions, local agency accepts work. DLAE Project Verification Verifies project is constructed in accordance w/ scope/description in Project Authorization “Report of Expenditures” must be submitted w/in 180 days,Office of Project Implementation,Local Assistance Publications,Division of Local Assistance Local Assistance Program Guidelines Local Assistance Procedures Manual L