safety * mobility * delivery * stewardship * service timely use of federal and state funds stella...

S A F E T Y * M O B I L I T Y * D E L I V E R Y * S T E WA R D S H I P * S E R V I C E1

Timely Use of Federal and State Funds

Stella Liao, P.E.District Local Assistance Engineer

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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

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Project Close-out

FEDERAL AUTHORIZATIONSFederal 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)

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FEDERAL AUTHORIZATIONS

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The E 76

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THE DATE THAT MATTERS

AUTHORIZATIONAUTHORIZATION TO PROCEED WITH REQUEST:PRE

FOR: PEDOCUMENT TYPE: AAGR

PREPARED BY:REVIEWED BY:

AUTHORIZED BY:PROCESSED BY:

LAST FHWA ELECTRONIC SIGNATURE EXECUTED BY:

ON 03/15/2010ON 03/23/2010ON 03/23/2010ON 03/24/2010 FOR CALTRANSON 03/26/2010 FOR FHWA

Authorization Date

You cannot charge for (reimbursed) work/expenses accomplished/billed prior to FHWA’s authorization date

Approval Timeframe(typically two to three weeks)

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Program Supplement Agreement

Link to a blank form: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/chapter4/4d.pdf

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Program Supplement Agreement

Link to a blank form: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/chapter4/4d.pdf

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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.

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Finance Letter

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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

– How to get off it!

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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)

(Time Extension Request)

Project Close-out

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ALLOCATION DOCUMENTS

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ALLOCATION NOTIFICATION LETTER( INSTEAD OF AN e-76 )

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STATE ALLOCATIONS

Allocation (Begin reimbursed work for phase voted)

↘ E&P (PA&ED) must be completed within 2nd year after vote

↘ PS&E requires CEQA & must be completed within 2nd year after vote

↘Right of Way requires CEQA & must be completed within 2nd 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.

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TIME EXTENSION

These completion dates are referred to as timely use offunds. If you can’t meet themthe CTC has establishedGuidelines to extend the datesup to 20 months - - - but only once!

Use Exhibit 23-B (LAPG)

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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)

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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.

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Finance Letter

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The Bottom Line (Again)

The bottom line (really) of your Finance Letter

Adv.Proj.ID Approp.Unit State Prog. Fed/State Encumbrance Amount Approp Year Expenditure Amount Encumbrance Balance Reversion Date0600000495 12102F 2030010600 F $663,975.00 1112 $0.00 $663,975.00 06/30/20170600000495 08102F 2030010600 F $3,000,000.00 0708 $3,000,000.00 $0.00 06/30/2014

ACCOUNTING INFORMATION - NCIIPLN-5109(110)

You can’t just reprogram or transfer funds into the next phase, encumbrances are time sensitive only

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Cooperative Work Agreement

CWA Website:• http://www.dot.ca.gov/hq/LocalPrograms/CWA/cwa.htm

– CWA Timeline– CWA Spreadsheet Instructions– Reason for Delay Codes– Frequently Asked Questions (FAQ)– CWA eligible encumbrance lists

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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 Link

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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.

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HOW TO GET HELP

• Training• Manuals & Guidebooks• Partnering

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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