local assistance packages · local assistance packages david giongco, p.e. ... (lapg) – local...
TRANSCRIPT
Local Assistance Packages
David Giongco, P.E.Local Assistance Area EngineerOffice of Local AssistanceApril 26, 2011
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
Overview
• Federal-Aid Process
• Local Assistance Resources
• Request for Authorization
• Award Package
• Final Report of Expenditure
• Summary
• Discussion
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
April 26, 2011
Local Assistance Packages
Why does this matter?
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Simplified Federal-Aid Process
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Local Agency requests/receives federal earmark or
grant
Caltrans executes Master Agreement
w/Local Agency (if not already executed
Local Agency contacts District Local
Assistance Office
Project is programmed in
RTIP/FTIP
Local Agency requests and obtains
authorization for PE
Local Agency begins Preliminary
Engineering (PE)
Local Agency submits Field Review and PES to DLAE for approval
Local Agency requests and obtains
Environmental Document approval
from CT
Continue (next slide)
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Simplified Federal-Aid Process (cont.)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Continue from previous slide
Local Agency begins final design
Local Agency requests and obtains
authorization for Right-of-Way (R/W)
Local Agency requests and obtains
authorization for Construction
Local Agency advertises and awards
contract
Local Agency submits award information to
DLAE
Local Agency submits progress invoice to HQ accounting who pays
invoice
Local Agency conducts final
inspection/submits Report of
Expenditures to DLAE
DLAE conducts project
verification/approves final invoice
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Local Assistance Resources
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Publications– Local Assistance Procedures Manual (LAPM)
– Local Assistance Program Guidelines (LAPG)
– Local Programs Procedures (LPPs)
– Caltrans Oversight Information Notice (COIN)
• Website– HQ: http://www.dot.ca.gov/hq/LocalPrograms
– Announcements & Office Bulletins (OBs)
– CURRENT FORMS AND DOCUMENTS
• District Local Assistance Engineer
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Request for Authorization (RFA)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Resource: Chapter 3 of LAPM• Purpose of authorization process:
– Begin reimbursable work– Advertise construction contracts
• Required for each phase of project– PE, R/W, Utility Relocation, CON
• 6-8 weeks processing time– Assuming a COMPLETE package
• E-76: “Authorization to Proceed”– Agreement with State & FHWA– CTC Allocation (State funds equivalent)
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
RFA Documents – PE
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Document LAPM Exhibit
RFA to Proceed with PE 3-A
RFA to Proceed Data Sheets 3-E
Finance Letter 3-O/15-O
Local Agency Agreement Checklist 4-A
Field Review Form 7-B
FTIP/FSTIP Reference Sheet N/A
RFA Documents – R/W
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Document LAPM Exhibit
RFA to Proceed with R/W 3-B
RFA to Proceed Data Sheets 3-E
Finance Letter 3-O/15-O
Local Agency Agreement Checklist 4-A
Field Review Form 7-B
NEPA Document N/A
FTIP/FSTIP Reference Sheet N/A
RFA Documents – CON
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Document LAPM Exhibit
RFA to Proceed with CON 3-D
RFA to Proceed Data Sheets 3-E
Finance Letter 3-O/15-O
Local Agency Agreement Checklist 4-A
Field Review Form 7-B
R/W Certification 13-B
PS&E Certification 12-C
PS&E Checklist 12-D
Local Agency Construction Checklist 15-A
NEPA Document N/A
FTIP/FSTIP Reference Sheet N/A
Copy of PS&E Package N/A
RFA Notes
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Use current forms– Read the checklists
• Finance Letter = Detail Estimate• Segregate Detail Estimate
– Multiple funding sources– Participating/Non-participating
• Request Construction Engineering– Justify CE over 15%
• Underfunded projects– Rate fixed for life of project– Possible adjustments at award and final
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
RFA Notes (cont.)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Public Interest Findings (PIFs)– Proprietary Items– Local agency furnished materials– Force account work
• Transportation Enhancement approval• Additional exhibits for structures and
ITS projects• Set of current PS&E
– Electronic copy preferred
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Award Package
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Resource: Chapter 15 of LAPM
• Critical project milestone– Assures adequate project funding
– Allows invoicing
• Submit immediately after contract award & prior to first invoice
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Award Package Documents
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Refer to Chapter 15 for other Award documents required
Document LAPM Exhibit
Local Agency Contract Administration Checklist 15-L
Final Detail Estimate 15-M
Finance Letter 3-O/15-O
Resident Engineer’s Construction Administration Checklist 15-B
Local Agency Bidder UDBE Commitment 15-G1
Local Agency Bidder DBE Commitment 15-G2
Award Package Notes
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Use current forms• Submit “immediately” after award• Consistent Detail Estimate• Possible reimbursement rate
adjustment• Other project files (e.g. 15-C, 15-I)• Good Faith Effort memo• As-advertise PS&E
– Electronic copy preferred
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Final Report of Expenditures (FROE)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Resource: Chapter 17 of LAPM
• Documents completion & acceptance by Local Agency
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Final Report Documents (Federal)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Document LAPM Exhibit
Cover Letter & Checklist 17-A
Final Inspection Form 17-C
Finance invoice 17-D
Final Detail Estimate 15-M
Change Order Summary 17-E
Final DBE Report 17-F
DBE Certification of Status Change 17-O
Materials Certificate 17-G
Final Report Documents (State)
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Document LAPM Exhibit
Finance invoice 17-D
Final Project Expenditure Report 17-M
Applies to projects with only State funds.
FROE Notes
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
April 26, 2011
Local Assistance Packages
• Use current forms• Timely submittal
– Accounting deadlines differ• DBE forms
– Final UDBE (Exhibit 17-F)– DBE Status Change Cert. (Exhibit 17-O)
• Change order summary (Exhibit 17-E)– Include applicable liquidated damages and/or
contractor claims• Site photos• Additional exhibits for structures and R/W
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
Summary
• Why does this matter …
• Federal-Aid Process
• Local Assistance Resources
• Request for Authorization
• Award Package
• Final Report of Expenditure
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
April 26, 2011
Local Assistance Packages
Discussion
SAFET Y * MO BI L ITY * DEL I VERY * ST EW ARDSHIP * SERVI CE
DAVID [email protected](530) 741-5113
Overview
Process
Resources
RFA
Award Package
FROE
Summary
Discussion
April 26, 2011
Local Assistance Packages
David Giongco, P.E.Local Assistance Area Engineer
Office of Local Assistance
[email protected](530) 741-5113