an introduction to the caltrans srts non-infrastructure
TRANSCRIPT
An Introduction to the Caltrans
SRTS Non-Infrastructure Program
and Federal Aid Process
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Today‟s Speakers
Dawn Foster, Caltrans Headquarters SRTS Coordinator
Sean Yeung, Caltrans District 8 Local Assistance Engineer
John Hoole, Caltrans District 3 Local Assistance Engineer
Germaine Belanger, Caltrans NEPA Delegation and
Environmental Compliance Office
Patti Horsley, California SRTS Technical Assistance
Resource Center
Webinar Overview
Introduction to the Caltrans SRTS NI Program
Who to know and where to go
Request for Authorization (RFA) to Proceed for SRTS
NI Projects
Preliminary Environmental Screening Form for NI
Projects (PES-NI)
TARC is here to help
Congratulations New SRTS Cycle
3 Projects!
$23.5 million requested for NI projects
$15.8 million awarded to 40 NI projects
99 Infrastructure projects awarded for $50.6 million
Complete and approved project list found here:
http://www.dot.ca.gov/hq/LocalPrograms/saferoutes/srt
s_list.htm
California‟s SRTS Structure
Caltrans HQ Division of Local Assistance (DLA)
SRTS Coordinator, Dawn Foster
Manages California‟s SRTS and SR2S Programs
Approves any scope/budget change
Provides guidance and coordination for California‟s
overall SRTS and SR2S programs
Caltrans District Offices
District Local Assistance Engineer (DLAE), SRTS
Coordinator, DBE Coordinator, and more
Reviews Authorization Package (RFA) and any
scope/budget changes and submits to HQ DLA for
Approval
Receives and processes invoices and progress reports
California SRTS Technical Assistance
Resource Center (TARC) at UCSF/CDPH
Four Regional Coordinators
NI Program technical assistance, training, and
support
Develops educational resources and tools for NI
programs
First point of contact
for federal aid
questions
Caltrans Websites to Know
SRTS Webpage
www.dot.ca.gov/hq/LocalPrograms/saferoutes/saferoutes.htm
District Contacts
www.dot.ca.gov/localoffice.htm
More Websites for Project
Implementation
Local Assistance Procedures Manual (LAPM)
http://www.dot.ca.gov/hq/LocalPrograms/lam/lapm.htm
Local Assistance Program Guidelines (LAPG)
http://www.dot.ca.gov/hq/LocalPrograms/lam/lapg.htm
Office Bulletins (OB) - supersede specific DLA policy and/or procedural publications, including forms
http://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/DLA_OB.htm
Sign up for Caltrans Division of Local Assistance Updates - announcements on call for projects and policy changes
http://www.dot.ca.gov/hq/LocalPrograms/sub.htm
Terms to Know
Federal Transportation Improvement Program (FTIP/FSTIP) – capitol listing of all transportation projects proposed in a region over a specified time period
RFA – Request for Authorization package
E-76 – Form that provides Federal Authorization to Proceed
Master Agreement (MA) – agreement between State and Local to comply with all federal and state laws, regulations, policies and procedures
Program Supplement Agreement (PSA) – an agreement that provides project-specific information that amends the MA
Request for Authorization
(RFA) to Proceed for NI
Projects
Key Steps in Federal-aid Process
Step 1: Notification of Award (CT District)
Step 2: Projects amended into FTIP
(CT/MPO)
Expect 2-6 months for Amendment
Step 3: LA requests MA from DLAE if not on file with Caltrans
Expect 1-2 months for Approval
Step 4: LA submits Package (RFA) to
request Authorization to Proceed (E-76) to
District
*PES (NI) is submitted
Step 5: FHWA issues E-76 Approval
Expect 6 weeks for Approval
Step 6: Caltrans prepares PSA, executed by LA
*CE is complete
Expect 1-2 months for Approval
Step 7: LA begins work. Submits
invoices & progress reports to District at
least every 6 months
Step 2: FTIP Programming Policy for
NI Projects
Caltrans and MPO amend projects into FTIP
Do not neatly fit in traditional transportation project
phases
Most programmed under “Grouped Project Listing” or
“Lump-sum” projects; can also be programmed
individually
Processed under the “Construction” phase
To check your project‟s status:
http://www.dot.ca.gov/hq/transprog/federal/ftip_amendment
s/tip_2011.htm
Step 4: Submit RFA to Proceed with NI
Project
To be submitted by Responsible Local Agency (LA):
Exhibit 3-Q - RFA to Proceed with NI Project
Exhibit 3-E - RFA data sheet
FTIP/FSTIP programming document
Finance letter (signed by LA)
NI project work plan (Exhibit (New), Chapter 3), in lieu of the traditional PS&E
Copy of SRTS-NI project application
Environmental document - Preliminary Environmental Screening Form for Non-Infrastructure Projects (PES-NI) and Categorical Exclusion (CE) (Exhibit (New), Chapter 6)
DBE determination (only check a box on 3-Q)
CTC Allocation (N/A for SRTS)
Step 4: Find Caltrans LAPM Forms in Word http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/lapmf
orms.htm
Exhibit 3-Q, Page 1 Local Assistance Procedures Manual Exhibit 3-Q Request for Authorization To Proceed with Non-Infrastructure Project
To: (DLAE Name) Date:
District Local Assistance Enginee FTIP/FSTIP ID: Refer to FTIP Project ID
Caltrans, Office of Local Assistance Federal Project No: District Contact to Provide
(District Address) EA: N/A
PPNO (For STIP Projects): N/A
Project Description:
_____________________________
Dear (DLAE Name):
In order to begin federally reimbursable work for the above-referenced non-infrastructure project, we request that you secure
Federal Authorization to Proceed and the obligation of funds. The federal funds requested will not exceed those provided to this
agency in the federally approved Federal Transportation Improvement Program (FTIP)/Federal Statewide Transportation
Improvement Program (FSTIP).
Attached are the following documents required to authorize this phase of work:
Request for Authorization Package
X Completed Request for Authorization Data Sheet (Exhibit 3-E)
X Copy of FTIP/FSTIP Reference
X Completed Finance Letter (Exhibit 3-O)
X NI project work plan, including project budget, schedule and deliverables
Toll Credit Usage – N/A for SRTS NI Project
This project will use Toll Credit. It is fully funded.
This project will NOT use Toll Credit.
Field Review Form (Exhibit 7-B)
Completed Field Review Form (Exhibit 7-B), or
X Project Application for SRTS-NI, or TE
Environmental Document
Categorical Exclusion (CE). Approval Date: _______________.
X Preliminary Environmental Screening Form for Non-Infrastructure Projects (PES-NI)
Disadvantaged Business Enterprise (DBE) – Project by Project Determination
All work for this phase of the project will be performed by local agency staff.
For consultant contracts an Underutilized Disadvantaged Business Enterprise (UDBE) goal will be established
for each contract and the Local Agency Proposer UDBE Commitment (Consultant Contracts) (Exhibit 10-O1)
will be submitted with the proposal. Within 15 days of contract execution, the Local Agency Proposer DBE
Information (Consultant Contracts) (Exhibit 10-O2) shall be forwarded to the DLAE.
California Transportation Commission (CTC) Allocation
X A CTC allocation is not required, or
A CTC allocation of $ _______________ (federal/state) funds was made at the _______________ meeting of
the CTC, or
Exhibit 3-E, Page 1 EXHIBIT 3-E - REQUEST FOR AUTHORIZATION TO PROCEED DATA SHEET(S)
PROJECT REFERENCE DATA
DIST–CO–RTE–AGNCY: XX-XX-XXXXX FTIP / FSTIP ID: XXXXX
FEDERAL PROJECT NO.: XXXXXX PPNO (STIP): N/A
CALTRANS EA: N/A CTIPS REFER. NO.: N/A
BRIDGE NO.(s): N/A
RESPONSIBLE/IMPLEMENTING AGENCY
RESPONSIBLE AGENCY: XXXXX IMPLEMEN. AGENCY: XXXXX
PROJECT DESCRIPTION
PROJECT TITLE: Use Program Name from Application
WORK DESCRIPTION: See Attached Work Plan
PROJECT LOCATION
PROJECT LOCATION: Indicate City or County and School Locations
URBAN (IZED) AREA: INDIAN RESERV. :(Y/N)
CONG. DISTS.& %’s: TOLL ROAD: (Y/N)
RURAL (Y/N):
FEDERAL AID ROUTE
FED-AID SYSTEM: (Y/N) Other Federal Aid System FUNTCIONAL CLASSIF. : N/A
STATE HWY: (Y/N) XX STATE ROUTE: N/A
ADMINISTERING AGENCY
LOCAL or CALTRANS (CT): Local IF CT, PROJ. MANAGER:
THIS FEDERAL AUTHORIZATION REQUEST
OVERSIGHT: [ X ] DELEGATED or [ ] HIGH PROFILE
ADV. CON. (Y/N): No 100% SAFETY (Y/N): No
COST SUMMARY:
Construction PHASE OF WORK TOTAL FED PART FED 1 FED 2 STATE OTHER LOCAL
PREV. OBLIG $0 $0 $0
THIS REQUEST $XXX $XXX $XXX
SUBTOTAL $XXX
PHASE OF WORK TOTAL FED PART FED 1 FED 2 STATE OTHER LOCAL
PREV. OBLIG
THIS REQUEST
SUBTOTAL
TOTAL $XXX $XXX $XXX
FEDERAL DEMONSTRATION PROJECT INFORMATION N/A
PUBLIC LAW, SECTION: FEDERAL DEMO ID:
LEGISLATIVE. PROJECT NO.: ESTIM. CONST. DATE:
RELATED DEMO PROECTS:
Exhibit 3-E, Page 2 Exhibit 3-E Local Assistance Procedures Manual
Request for Authorization to Proceed Data Sheet(s)
FTIP / FSTIP DATA
MPO/RTPA NAME: XXXX FTIP / FSTIP YEAR: XXXX
FED. FUNDED PHASES: CON SHEET OR AMD. NO.: XXXX
APPROVAL DATE: XXXX
FED FUND TYPES/TOTALS: APPRV’D EPSP (Y or N): XXX
DISADVANTAGED BUSINESS ENTERPRISE (DBE) SUBMITTALS;
Race Conscious Implementation Agreement (Exhibit 9-A) CT APPROVAL DATE: XXXX
Local Agency DBE Annual Submittal Form (Exhibit 9-B):
FED FISCAL YEAR: XXX CT APPROVAL DATE: XXX
INITIAL AUTHORIZATION & ESTIMATED COMPLETION DATES
PHASE OF WORK INITIAL FEDERAL AUTHORIZATION DATE ESTIMATED COMPLETION DATE
PE
RW
CON Month/Year
ENVIRONMENTAL DATA
NEPA DOCUMENT TYPE: SEE PES (NI) Form
[ ] CE TBD Date Caltrans SEP/DLAE signed CE Form (use the latest date)
[ ] EA / FONSI Date Caltrans DD (DDD or designee) signed the FONSI
[ ] EIS / ROD Date Caltrans signed the ROD
EIS Number Year of Public Release of EIS and EIS number (assigned by FHWA)
AIR BASIN (For CMAQ Program Funds)
R/W ESTIMATE ------N/A UTILITY RELOCATION / ADJUSTMENTS
R/W ACQ PARCELS: $ UTILITY OWNER UTILITY TYPE COST TO RELOCTE
RAP (FAMILY): $ (BUSINESS): $
LRH/HRDSHP: $ UTILITIES: $ TOTAL UTILITY RELOCATION COSTS
SUPPORT: $ TOTAL: $
DESCRIPTION OF R/W PARCELS BY TYPE OF ACQUISITION/ACTIVITY
# PARCELS ACQUISITION TYPE AND/OR ACTIVITY # ACRES EST. COST
R/W CERTIFICATION
R/W CERT. NO. N/A Date Approved by Caltrans:N/A
LOCAL AGENCY COMMENTS
THIS REQUEST PREPARED BY: AGENCY CONTACT FOR PROGRAM SUPPLEMENT AGREEMENT
NAME:XXXX NAME: XXXX
TITLE:XXXX TITLE: XXXXXX
PHONE NO.: XXXX PHONE NO:XXXXX
E-MAIL: [email protected] E-MAIL:[email protected]
Distribution: DLAE
Example SRTS NI Project Finance
Letter DEPARTMENT O F TRANSPO RTATIO N Date:
DIVISIO N O F ACCO UNTING Agency:
LO CAL PRO GRAM ACCO UNTING BRANCH Fed Project No.:
Example - SRTS NI Project EA No.:
ATTN: PPNO .:
Bridge No :
Work on State Highway (Y or N): ____ If yes, provide following:
Administered by State or Local? ______________________
Project Manager Name: ______________________________
Accounting Program Code(s): ________________________ TO TAL FEDERAL FEDERAL FEDERAL STATE LO CAL
Coop or Contribution Agrmnt No.: _____________________ CO ST O F PARTICIPATING FUND FUND MATCH MATCH O THER
WO RK CO ST TYPE (1) TYPE (2) FUNDS FUNDS FUNDS
PRELIMINARY ENGINEERING
Agency Preliminary Engineering
State Furnished Preliminary Engineering
Overhead at _____ %
RIGHT O F WAY (R/W)
Purchase Costs
Relocation Assistance /Utility
CO NSTRUCTIO N
Contract Items
Utilit ies
Supplemental Work
Contingencies
Trainees
Agency/State Furn. Mat.
Contract Total: $XXX,XXX $XXX,XXX $XXX,XXX
CO NSTRUCTIO N ENGINEERING
Agency Construction Engineering
State Furnished Construction Engineering
Overhead at ______ %
State Furnished Materials Testing
Overhead at _____ %, Subjob ___________
Striping by Agency
Force Account Work by Agency
TO TALS: $XXX,XXX $XXX,XXX $XXX,XXX
Federal Participation: ________100% Certification For questions regarding finance letter, contact:
Federal Appn. Code(s): ____________ Printed Name:
Federal Reimbursement Rate(s) for Progress Invoice: current cost estimate for all phases of the project Telephone No.:
obligated but not fully expended.
PHASE FED (1) FED (2) Signature :
PE Title :
R/W Project location :
CO N 100%
CE Remarks :
I certify that this Finance Letter accurately reflects the
Sample NI Project Work Plan (Found at end of Chapter 3 LAPM Forms, Exhibit (New))
Date: Jan. 01, 2011
Project Number: SRTSLNI-XXXX(XXX)
Project Location: In the City of Any Town, from Somewhere to Anywhere
Task Summary: Start End Cost
Task "A" Month-Year Month-Year $
Task "B" " " $
Task "C" " " $
.. " " $
.. " " $
$
TASK "A" DETAIL:
Start Date: Month-Year End Date: Month-Year
1
Deliverables: 2
3
"
"
Staff Costs:
Staff Time Hours Rate Total $
Other Costs:
• Repeat Task Details table for all identified tasks
• Include a Gantt Chart for the tasks, if appropriate.
Task Notes:
Equipment:
Suppies/Materials:
"
Other Direct Costs:
Total Other Costs:
TASK GRAND TOTAL:
Staff Costs:
Indirect Costs:
Total Staff Costs:
Travel:
"
Party 2 - Position/Title
Party 1 - Position/Title
"
"
Schedule:
Activities/
GRAND TOTAL
Non-Infrastructure Project Work Plan (Sample)
Project Description:
"
"
"
Task Summary:
Task Name
"
(This sample is for projects performed by local agency staff. It may be modified for work performed by consultant.)
NI Work Plan cont.
Work Plan defines project scope as approved for funding in the application
Any change to project scope requires advance approval from Caltrans prior to beginning work
No guarantee that Caltrans will approve changes
Up to 10% of line item costs may be redistributed between line items as long as overall activity/deliverable cost remains the same
Cost increases will not be granted except in very rare instances on a case by case basis
Time extensions have been replaced by program delivery requirements
Caltrans Safety Program Delivery
Status
http://www.dot.ca.gov/hq/LocalPrograms/HSIP/delivery
_status.htm
Provides status of all local projects funded by Caltrans
Safety dollars
If not meeting required milestones, will be “red flagged”
NEPA Approval
District Environmental reviews PES (NI) and if sufficient
prepares and approves the CE
The PES (NI) – Preliminary Environmental Screening
Form will be discussed in more detail shortly
Right of Way
Since NI projects will not involve right of way
acquisition or utility relocation, FHWA has agreed with
Caltrans that Right of Way Certifications will NOT be
required
Non-Discrimination and Disadvantaged
Business Enterprise (DBE)
Non-discrimination provisions apply to all programs and activities of federal-aid recipients, sub-recipients, and contractors, regardless of tier (49 Code of Federal Regulations (CFR), Part 21).
Caltrans is required under 49 CFR, Part 26 to administer a DBE Program. The DBE Program is intended to ensure a level playing field and foster equal opportunity in federal-aid contracts.
For RFA to Proceed, only need to check box on Exhibit 3-Q
DBE Resources Free Training on DBE Program:
http://www.techtransfer.berkeley.edu/dbe/
DBE District Coordinator contact information: District 1: Jen Buck at (707) 445-6333 or [email protected]
District 2: Sally Scott at (530) 229-0532 or [email protected]
District 3: James P Day at (530) 741-5116 or [email protected]
District 4: Moe Shakernia at (510) 286-5236 or [email protected]
District 5: Mikie Wickersham at (805) 549-3074 or [email protected]
District 6: Rodney Bowen at (559) 488-7304 or [email protected]
District 7: Prem Goel at (213) 897-2942 or [email protected]
District 8: Sean Yeung at (909) 383-4030 or [email protected]
District 9: Sardar Khan at (760) 873-4862 or [email protected]
District 10: Jackie Smith at (209) 948-7933 or [email protected]
District 11: Nickie Haynes at (619) 220-5311 or [email protected]
District 12: Homa Nouri at (949) 724-2410 or [email protected]
Preliminary Environmental
Screening Form for NI Projects
(PES-NI)
Understanding “New” PES (NI)
Form
Background:
In recent years, there have been an increasing number of non-infrastructure projects eligible for federal-aid highway funds.
This is in part a result of legislation allowing or mandating that a percentage of program funds (e.g., Safe Routes to Schools (SRTS), Transportation Enhancement (TE), and Congestion Mitigation and Air Quality (CMAQ)) be used for non-infrastructure projects.
Why Aren‟t NI Projects Exempt
from NEPA?
While non-infrastructure projects will not involve
engineering design, right of way, ground disturbance or
construction, they are still required to have
environmental reviews because of the impact that some
of these projects may have on the environment in
unanticipated ways.
Current Policy
Current policy requires the following for each Local Assistance federal-aid project:
Completion of the PES form (8 pages, 36-questions)
Screening by a qualified CT district PQS (PES form section)
Preparation of a “No Effect” Memo by a qualified CT biologist (separate memo for file)
Completion of a Transportation Air Quality Conformity Findings Checklist (2 pages, 15 steps)
Concurrence by a qualified CT district Air Quality specialist
Completion of a Categorical Exclusion Checklist (4 pages)
Completion of a Categorical Exemption/Categorical Exclusion Determination Form
Current Policy cont.
Completion of each item is required to affirm or negate a project‟s
potential for impact and to document the project‟s compliance with
federal environmental requirements.
Projects having the greatest potential to impact environmental
resources are those that involve ground disturbance and
construction.
A lower level of analysis and documentation may be appropriate
for non-infrastructure projects or federal actions involving no
ground disturbance.
Prior to the PES(NI) there was no policy or procedure that allowed
that lower level of documentation.
What‟s the difference between the
Regular PES and the PES(NI)?
The regular PES is used to determine whether an action
has the potential to impact a resource protected by
federal law, and if so, identifies further study,
resource/regulatory agency consultation and permits that
will be required.
The PES(NI) is used to determine whether an action will
have any ground disturbing components or activities that
warrant the preparation of the regular PES.
How does the PES(NI) form work?
The PES(NI) form guides the local agency through a series of questions to assist in determining whether all project components and activities are of a “non-infrastructure” nature.
How does PES(NI) Streamline the
Federal Environmental Process?
The PES NI provides for a lower level of
analysis and documentation for non-
infrastructure projects or federal actions
involving no ground disturbance.
What am I actually saying with the PES
(NI)?
The only forms required for non-infrastructure projects
are the PES(NI) form and CE/CE Determination form.
Applicability
The PES (NI) only applies to local agency federal-aid non-infrastructure and non-construction projects „off‟ the
State Highway System
(also known as Local Assistance projects)
Locating the New PES(NI) Form and
Instructions http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/lapmf
orms.htm
Completing the PES (NI) (top of page 1)
Procedures for Completing the
PES(NI)
The local agency should not complete the PES(NI)
form until the following conditions are met:
The project is programmed in the federally-approved
FTIP/FSTIP
The project will not involve R/W acquisition and/or
physical construction of any facilities
The local agency is ready to request federal Authorization
to Proceed for the project
Project Information Section of the PES(NI)
Federal-Aid Project No: (Federal Program Prefix-Project No., Agreement No.)
Example: RPSTPLE 5017(020). Obtain federal-aid project number from your District
Local Assistance Engineer (DLAE). This number is required in order for the District
Local Assistance Environmental Generalist to process the PES(NI) form.
To: (Name and address of district local assistance engineer to whom project has
been assigned)
From: (Name and address of local agency project engineer or manager)
Is the Project “ON” the SHS? In order to use the PES(NI) you will need to
answer „NO‟ to this question.
Local agency projects “on” the SHS are processed as State Highway Projects in
accordance with procedures set forth in the Caltrans Project Development
Procedures Manual. This is, in part, based on the Department’s statutory obligation
to plan, design, construct, operate and maintain the SHS as well as its actual
ownership of the SHS. As owner of the right of way, the Department is the entity
ultimately responsible for property stewardship of all resources within State right of
way. This stewardship obligation cannot be delegated to others. This applies even if
the project is financed by others.
Programming Requirements for Projects
Processed with the PES(NI)
Federal Statewide Transportation Improvement Program (FSTIP): Enter the current FSTIP approval date for the project, write the project description exactly as it appears in the FSTIP, and attach a copy of the approved FSTIP page (showing the project or group of projects) to the PES (NI) form.
The FSTIP information can be obtained from the MPO.
The project or group of projects must be included in a current , financially constrained FSTIP to demonstrate that the project can be funded as programmed.
Only projects with funds that are reasonably expected to be available may be programmed in the FSTIP.
Construction Programming for FSTIP: Identify the fiscal year and dollar amount programmed in the current FSTIP under the construction phase.
Note: According to the 9/28/07 Interim Policy on Authorization of Non-construction Federal-aid Projects, funding for projects included under grouped project listings (lump sum) are typically programmed under the construction phase in the FSTIP. For non-construction projects, the detailed (back up) listing for the grouped projects shall also show funding under the construction phase. For all other grouped project listings, the detailed listing may show other applicable phases. Funding for non-construction projects that are individually listed shall also be programmed under the construction phase in the FSTIP.
Completing the PES(NI) (bottom of page 1)
Instructions for Completing Section A of the
PES (NI) Form
• Check “Yes”, “No” or “ TBD” as appropriate for each question. Use
“TBD” when there is insufficient information available to provide a
definitive “Yes” or “No” response. List all “TBD” items on the PES
(NI) Continuation Sheet and research as needed to affirm a “Yes” or
“No” response. Based on research results, change all “TBD”
responses to either “Yes” or “No” responses as appropriate.
• One or more “Yes” responses requires preparation of the regular
PES. All “TBD” items must have a definitive “Yes” or “No” response
prior to the local agency signature on the PES (NI) form. If
additional space is not needed for the project description and there
are no “TBD” items requiring further research, it is not necessary to
include the Continuation sheet with the signed PES(NI) form.
Instructions for Completing Section A of the
PES (NI) Form
Questions 16-21 pertain to indoor and outdoor activities, which have the potential to generate temporary noise and traffic congestion, reduce available parking, temporarily affect access to properties and roadways, and disrupt the quietude of neighborhoods.
While activities of this nature are typically regulated by city and county use permit, the terms and conditions of those permits are not known until after the NEPA document is approved.
For this reason, a “yes” response to these questions triggers the preparation of a regular PES form to insure consideration of and compliance with the provisions of Sec 4(f) 49 U.S.C. 303), (23 CFR 771.111(h)(2)(iii) impacts on abutting properties, U.S. DOT Order Title VI disrupt neighborhoods/communities, and E.O. 12898 (on Environmental Justice) disproportionate adverse environmental impacts on minority or low-income populations.
Instructions for Completing Section A of the
PES (NI) Form
Questions 24-28 pertain to the development of plans and programs of action
Because plans and programs have the potential to commit to actions before they are fully evaluated under federal environmental law (e.g., Section 7 and Section 106) (23 CFR 771.111(f)(3)), and because SAFETEA-LU mandates the early consideration of environmental resources during planning, projects of this nature may not be processed with the PES(NI).
Completion of the regular PES form will be required
“Yes” Responses
When one or more of the questions on the first
page of the PES(NI) are answered “Yes”, the local
agency will have to follow normal Local Assistance
environmental procedures, starting with filling out
the regular Preliminary Environmental Study(PES)
form.
To Be Determined (TBD)
Responses
When the project description provides insufficient detail
to provide a clear “Yes” or “No” response, or when there
are concerns regarding whether or not the action will be
ground disturbing, the local agency and/or Caltrans
District environmental generalist should check the “TBD”
(To Be Determined) box on the first page of PES(NI)
form, note the concern or question on the PES(NI)
Continuation Sheet and research the matter further until
a “Yes” or “No” response can be affirmed.
Completing the PES(NI)
(top of page 2)
Complete Section B of the PES (NI) Form:
Complete the NEPA Class of Action section by placing a check mark next to Categorical Exclusion (CE) under SAFETEA-LU Section 6004 (23 U.S.C. 326) and identify the specific activity that is most applicable for the action. In cases where the project does not quality under Section 6004, check Section 6005(23 U.S.C. 327).
Complete the Unusual Circumstances section by placing a check mark in the box preceding each bulleted item to affirm that action will not result in impacts, controversy or inconsistencies as specified.
Complete the Compliance with other Federal Environmental requirements section by placing a check mark in the box preceding each resource listed to affirm the statement.
Completing the PES(NI)
(middle of page 2)
Completing the PES(NI)
(bottom of page 2)
Complete the Signatory Section
of the PES (NI) Form
The Local Agency Project Engineer‟s signature means that the PES(NI) form was prepared by them or under their direct supervision and that the screening concluded that the project is of a non-infrastructure nature, involving no disruption to the ground or natural environment.
The Caltrans District Senior Environmental Planner (SEP) (or designee), and DLAE signatures mean that they concur that the project involves no disturbance to the ground or natural environmental, that the action(s) is/are covered under Attachments C and D, that the recommended NEPA Class of Action is a CE pursuant to NEPA, and that the project is in compliance with all other applicable environmental laws, regulations and executive orders.
Completing the PES(NI)
(page 3)
Continuation of Project Description (if necessary):
Clarification of all “TBD” responses identified under Section A: (Once clarification is obtained and provided below, change response from TBD to either “Yes” or “No” as applicable, and cross-reference discussion below.)
Distribution: 1) Original - DLAE, 2) Copy - Local Agency Project Manager, 3) Copy - Senior Environmental Planner (or designee) for project file.
Undertakings
Exempt from
Further Review
(page 1)
PES(NI)
Attachment C
Undertakings
Exempt from
Further Review
(page 2)
PES(NI)
Attachment C
Undertakings
Exempt from Further
Review (page 3)
PES(NI)
Attachment C
Non-Infrastructure
Project Natural
Environmental Study –
No Effect Memo (page
1)
PES(NI)
Attachment D
Non-Infrastructure
Project Natural
Environmental Study –
No Effect Memo (page
1)
PES(NI)
Attachment D
When:
(1) all questions on PES(NI) form can be answered “No”, and
(2) the action is included in Attachment C – Undertakings exempt
from further review memo (6/13/11) and
(3) the action is included in Attachment D – Non-Infrastructure Project
Natural Environmental Study – No Effect Memo (6/21/11)
the project may be processed with the PES(NI) form.
How do I determine if my project qualifies for
processing with a PES(NI)?
Local Agency Responsibilities
Completes the PES(NI) form
Provides additional information on the PES(NI)
Continuation sheet for all “TBD” responses
Sends completed PES(NI) form to the DLAE
Caltrans District Local Assistance Senior
Environmental Planner (or designee)
Responsibilities
Reviews, corrects and signs the PES(NI) form
Confirms that the project is included on Attachment C
Confirms that the project is included on Attachment D
Prepares the CE/CE Determination form
Caltrans District Local Assistance
Senior Environmental Planner (SEP)
Signs the CE/CE Determination form
Caltrans District Local Assistance
Engineer Responsibilities
Reviews and signs the PES(NI) form
Reviews and signs the CE/CE Determination
form
Caltrans District Local Assistance Engineer
Contact Information http://www.dot.ca.gov/hq/LocalPrograms/dlae.htm
District 1: Suzanne Theiss at (707) 445-6399 or [email protected]
District 2: Ian Howat at (530) 225-3484 or [email protected]
District 3: John Hoole at (530) 741-5450 or [email protected]
District 4: Sylvia Fung at (510) 286-5226 or [email protected]
District 5: Garin Schneider at (805) 542-4606 or [email protected]
District 6: Jim Perrault at (559) 445-5417 or [email protected]
District 7: Kirk Cessna at (213) 897-0131 or [email protected]
District 8: Savat Khamphou at (909) 383-4825 or [email protected]
District 9: Ryan Dermody at (760) 872-0681 or [email protected]
District 10: Sinaren Pheng at (209) 948-3689 or [email protected]
District 11: Erwin Gojuangco at (619) 278-3756 or [email protected]
District 12: Jim Kaufman at (949) 756-7805 or [email protected]
California SRTS Technical Assistance
Resource Center
A Program of UC San Francisco in Partnership with
the California Department of Public Health
www.CAsaferoutestoschool.org
Regional Coordinator Contact
Information
Victoria Custodio – CT Districts 3 (Yolo, Sacramento, El Dorado, Placer, Nevada, and Sierra), 6, 9, and 10
Kristin Haukom – CT Districts 8, 11, and 12
Justine Hearn – CT Districts 5 and 7
Patti Horsley – CT Districts 1, 2, 3 (Glenn, Colusa, Butte, Yuba, and Sutter), and 4
How can we help?
Provide individualized technical assistance to local projects
Help programs locate resources and brainstorm best practices appropriate for their unique community circumstances
Assist in navigating Caltrans websites and locating appropriate contacts and information
Maintain a resource website
Host networking and peer-to-peer sharing opportunities through teleconferences and forums
Develop resources and tools for use by local programs
Conduct trainings for low-income communities
Questions?