FEDERAL-AID PROJECT IMPLEMENTATION PROCEDURES

http://www.dot.ca.gov/hq/LocalPrograms/ Note: The following documents are to be submitted. However, local agencies are recommended to refer to the Local Assistance Procedures Manual (LAPM) and Local Assistance Program Guidelines (LAPG) for further information and updates. Request to Initiate a Federally Funded Project

1. Copy of Approved FTIP sheet 2. Copy of MOU or LOA with LACMTA (for TEA projects). 3. Field Review Form (Exhibit 7B of LAPM) 4. Preliminary Environmental Assessment Form (PES) (Exhibit 6A of LAPM)

Note: Caltrans District Local Assistance will then create federal-aid project and Expenditure Authorization numbers. Also, every agency must have the approval of Exhibit 9-B of LAPG (DBE Annual Submittal Form) in order to request for authorization of federal funds. Request for CTC’s Allocation (for STIP projects only)

1. Evidence of TE eligibility from TEA Coordinator (for TEA projects only) 2. Project Nomination Fact and Funding Sheet (Exhibit 23-G of LAPG) 3. Finance Letter (Exhibit 23-D of LAPG) 4. Request for Funding Allocation (Exhibit 23-O of LAPG) 5. Funding Allocation Checklist (Exhibit 23-N of LAPG) 6. Environmental Clearance Document (NEPA and CEQA) for Design and

Construction phases but not Environmental Process phase. 7. Copy of the current FTIP.

Request for Authorization for Preliminary Engineering (PE)

1. Request for Authorization to Proceed with PE (Exhibit 3A of LAPM) 2. Request for Authorization Data sheets (Exhibit 3E of LAPM) 3. Project Prefix Checklist (Exhibit 3L of LAPM)) 4. Finance Letter (Exhibit 3O of LAPM)) 5. Environmental Clearance Document (NEPA) for Design phase not the

Environmental Process phase. Note: The portion of PE work done prior to authorization is ineligible for federal participation. The Master Agreement (if needed) and the Supplemental Agreement will

1

be prepared upon authorization of the project. Invoices will be accepted only after execution of all these agreements. If project is whithin State Right of Way, Caltrans Encroachment permit must be obtained before the Request to Proceed with Construction and in some cases, before the Request to Proceed with PE, when a “survey” type permit may be required. Request for Authorization for Right of Way (R/W)

1. Request for Authorization to Proceed with R/W (Exhibit 3B of LAPM) 2. Project Prefix Checklist (Exhibit 3L of LAPM) 3. Finance Letter (Exhibit 3O of LAPM) 4. Request for Authorization Data Sheets (Exhibit 3E of LAPM) 5. Approved Environmental Document (if not previously submitted)

Request for Authorization for Utility Relocation

1. Request for Authorization to Proceed with Utility Relocation (Exhibit 3C of LAPM)

2. Project Prefix Checklist (Exhibit 3L of LAPM) 3. Finance Letter (Exhibit 3O of LAPM) 4. Request for Authorization Data Sheets (Exhibit 3E of LAPM) 5. Approved Environmental Document (if not previously submitted) 6. Request for Specific Authorization (Exhibit 14K of LAPM) 7. Fully Executed Utility Agreement

Request for Authorization to Proceed with Construction

1. Approved Environmental Document (if not previously submitted) 2. R/W Certification (LAPM Chapter 13 of LAPM) 3. PS&E Certification (Exhibit 12C of LAPM) 4. PS&E Checklist (Exhibit 12D of LAPM) 5. Request for Authorization to Proceed with Construction (Exhibit 3D of

LAPM) 6. Project Prefix Checklist (Exhibit 3L of LAPM) (if not previously submitted) 7. Preliminary Engineer’s Estimate 8. Finance Letter (Exhibit 3O of LAPM) 9. Request for Authorization Data Sheets (Exhibit 3E of LAPM) 10. Local Agency Construction Contract Administration Checklist (Exhibit 15A

of LAPM Note: The local agency shall not advertise the project until they receive the authorization to proceed with construction. Every local agency must also have Quality Assurance Program (QAP)- LAPM, Chapter 16.14, before advancing to the Construction Phase.

2

Advertise and Award Project

1. Date work is scheduled to start 2. Resident Engineer Contract Administration Checklist (Exhibit 15B of LAPM) 3. Local Agency Project Advertise Checklist (Exhibit 15C of LAPM) 4. Bid Tabulation Summary Sheet (Exhibit 15D of LAPM) 5. National Highway System Bid Tabulation Data (Exhibit 15E of LAPM) 6. Bid Price Data (Exhibit 15F of LAPM) 7. Local agency Bidder DBE Information (Exhibit 15G of LAPM) 8. Local Agency Contract Award Checklist (Exhibit 15L of LAPM) 9. Detail Estimate and Detail Summary (Exhibit 15M of LAPM) 10. Local Programs Agreement Checklist (Exhibit 4A of LAPM) 11. Finance Letter (Exhibit 15N of LAPM) 12. As Advertised PS&E with all Addenda, if any. 13. Copy of executed contract 14. List of contractor’s material source

Note: Local Agency may start to invoice Caltrans after Program Supplement is executed and work has already started. The progress invoices are sent directly to Caltrans Accounting Services in Sacramento. Final Invoices are sent to the Office of Local Assistance in Los Angeles. (LAPM, Chapter 5). Project Completion

1. Cover Letter and Report of Expenditures Checklist (Exhibit 17A of LAPM) 2. Final Inspection of Federal Aid Projects (Exhibit 17B of LAPM) 3. Final Inspection Form (Exhibit 17C of LAPM) 4. Final Invoice (Exhibit 17D of LAPM) 5. Final Detail Estimate (Exhibit 15M of LAPM) 6. Change Order Summary (Exhibit 17E of LAPM) 7. Date of Completion 8. Liquidated Damages and Contractor’s Claim (LAPM, Chapter 16) 9. Final Report, Utilization of DBE and WBE (Exhibit 17F of LAPM) 10. Materials Certificate (Exhibit 17G of LAPM) 11. Form FHWA-47 (Exhibit 17H of LAPM) 12. Cover Letter and Report of Completion of Structures on Local Streets and

Roads, if applicable, (Exhibit 17I/J of LAPM) 13. Report of Completion of Right of Way Expenditures, if applicable, (Exhibit

17K of LAPM) 14. DBE Certification Status (Exhibit 17-O of LAPM)

3