“Provide a safe and reliable transportation network that serves all people and respects the environment”
DIVISION OF L OCAL ASSISTANCE
P.O. BOX 942874, MS–1 | SACRAMENTO, CA 9427 4–0001
(916) 654-1776 | FAX ( 916) 653-1905 TTY 711
www.dot.ca.gov
August 7, 2023
Activ
e Transportation Program
Cycle 6 Metropolitan Planning Organization (MPO) Awardee Dea
r Recipient:
Congr
atulations! Your project is included in the California Transportation Commission’s (CTC) 2023 Active Transportation Program (ATP) Metropolitan Planning Organization (MPO) Component list of programmed projects. The links to the final adopted MPO Component can be found below:
• MPO Component for the Metropolitan Transportation Commission • MPO Component for Nine of Ten Large MPOs
For the s
uccessful implementation of your project, please note the following:
• The ag
ency’s first step is to contact the appropriate District Local Assistance Engineer (DLAE) who can assist with the Master Agreement (if needed), allocation, and authorization processes.
• Projects must be federal-aid elig ible unless the project is designated as state- only funded. Contact your DLAE, your MPO, or check Attachment C of the links to the final adopted MPO Component above to determine if your project is State or Federally funded.
• The ATP is a reimbursement program. Reimbursable work cannot commence on your project until:
STATE-ONLY FUNDED FEDERALLY FUNDED
• You have a Master Agreement • You have a Master Agreement • You receive an allocation from CTC • Your project is programmed in the current Federal Statewide
Transportation Improvement
Program (FSTIP)
o It is recommended that your
project be programmed in
the current Federal
Statewide Transportation
Improvement Program (FSTIP)
• You receive an allocation from
CTC
• You receive an authorization to
proceed from Federal Highway
Administration (FHWA)
“Provide a safe and reliable transportation network that serves all people and respects the environment” ATP Cycle 6 Awardee
August 7, 2023
Allocations for projects cannot commence until appropriate clearances are achieved. Please see chapter 25 of the Local Assistance Procedures Guide (LAPG) and the following table for funding allocation requirements.
Phase Work allowed
Requirement prior to
requesting and receiving
funding (allocation)
Project Approval &
Environmental Document
(PA&ED)
• The National
Environmental
Policy Act (NEPA)
and/or the
California
Environmental
Quality Act (CEQA)
clearance
• Preliminary
engineering
• Master Agreement
• MPO/Regional
transportation Planning
Agencies (RTPA) approval
if applicable*
Plans, Specifications and
Estimates (PS&E)
• Formal design work • Master Agreement
• MPO/RTPA approval if
applicable*
• Environmental document
certified
o CEQA for state-only
funded projects
o CEQA and NEPA for
federally funded
projects
• Baseline Agreement
executed if applicable**
Right of Way (RW) • RW mapping
• Fee acquisition
• Utility relocation
• RW certification
• Master Agreement
• MPO/RTPA approval if
applicable*
• Environmental document
certified
o CEQA for state-only
funded projects
o CEQA and NEPA for
federally funded
projects
• Baseline agreement
executed if applicable**
ATP Cycle 6 Awardee
August 7, 2023
“Provide a safe and reliable transportation network that serves all people and respects the environment” Construction (CON) • Advertisement
• Award
• Construction
Construction
engineering
• Master Agreement
• MPO/RTPA approval if
applicable*
• Environmental document
certified
o CEQA for state-only
funded projects
o CEQA and NEPA for
federally funded
projects
• Baseline Agreement
executed if applicable**
• RW certified
• Scope changes
approved***
• Complete PS&E package
• Pertinent permits and
agreements executed
CON-Non-Infrastructure
(CON-NI)
• Non-infrastructure
(NI) or Plans
• Master Agreement
• MPO/RTPA approval if
applicable*
• An approved workplan
(25-R or 25-Plan)
• CEQA/NEPA clearance for
NI and plans
*If the RTPA’s governing board passes a resolution requiring their approval prior to submittal to Caltrans, the implementing agency must provide written evidence of such approval on the Funding Allocation Request
**Per the Senate Bill 1 (SB 1) Accountability and Transparency Guidelines, projects with a total project cost of $25 million or greater or a total ATP programmed amount of $10 million or greater are required to complete a Baseline Agreement
***Scope change requests must be submitted prior to an agency requesting the allocation of co
nstruction funds, except in instances where there is contract bid cost savings (ATP guidelines, Section 28, A)
• It
is the agency’s responsibility to review their project scope throughout the project delivery process and confirm that ATP funding is used to fund the approved eligible scope. Please refer to section 10 “Reimbursement” of the CTC 2023 AT P Guidelines. The CTC does not allow adding ATP funding to cover cost overruns. • Amendment Requests – both scope changes and funding distribution changes are permitted, as approved in accordance with the CTC’s amendment request policy, located in section 28 “Amendment Requests” of the CTC 2023 ATP Guidelines.
ATP Cycle 6 Awardee
August 7, 2023
“Provide a safe and reliable transportation network that serves all people and respects the environment” • ATP projects are subject to CTC Timely Use of Funds (TUF) Requirements. Please refer to section 31 “Timely Use of Funds (TUF)” of the CTC 2023 ATP Guidelines, chapter 25 of the LAPG, the Caltrans ATP TUF webpage, and the CTC meeting preparation schedule.
• Per CTC 2023 ATP Guidelines, all projects must follow the Local Assistance Procedures Manual (LAPM).
• Prior to engaging in any Architectural and Engineering (A&E) contract procurement(s), agencies should reference LAPM chapter 10 and Exhibit 10-C. o Applications that identified a partner or non-A&E consultant as performing a portion of or all work associated with the project scope must still comply with LAPM chapter 10.
• Project Reporting
o The SB 1 Accountability and Transparency Guidelines require the implementing agency to submit quarterly project progress reports, a completion report, and a final delivery report via CalSMART upon adoption into the program.
Quick Build projects are NOT submitted via the CalSMART reporting sy
stem. Quick-Build Progress Reports will be submitted via an Excel reporting template.
o Agencies that do not comply with the reporting requirements including submittal and explanation of user counts, will be reported to the CTC and required to appear before the Commission.
o All projects, except Plan projects, require before and after counts. When conducting counts, the use of the Interim Count Guidance and the Active Transportation Program Policy on User Counts is required. o Agencies in need of ATP user counting equipment can borrow from the Active Transportation Resource Center (ATRC) Automated Counter Loan Program for free by contacting the Caltrans ATRC/Non-in frastructure team inbox.
• Baseline Agreements
o The SB 1 Accountability and Transparency Guidelines require projects with a total project cost of $25 million or greater (all funds) or a total ATP programmed amount of $10 million or greater to complete a Baseline Agreement.
o Baseline Agreements need to be executed prior to allocation of any phase except for PA&ED (and CON-NI for combination ATP projects). o Current and projected user counts are required. Current user counts may not be required if the facility is new.
• Projects may be subject to Enhanced Oversight by Local Assistance staff to mitigate potential delivery risks.
ATP Cycle 6 Awardee
August 7, 2023
“Provide a safe and reliable transportation network that serves all people and respects the environment” • Projects with Federal Transit Administration (FTA)/Bureau of Indian Affair (BIA) transfers must continue to meet all above conditions, in addition to the requirements of the FTA and BIA.
• Projects may be subject to an audit by the Independent Office of Audits and Investigations to evaluate the following:
o Performance of the project
o Whether project costs incurred and reimbursed are compliant with the following:
Executed project agreement and/or approved amendment(s) State and Federal laws and regulations
Contract provisions
Program Guidelines
o Consistency with project scope, schedule and benefits described in the executed project agreement and/or approved amendment(s), and approved project application.
• Caltrans manages the ATRC to provide training, resources, tools and technical assistance to ATP awardees. Please visit the ATRC website and to join the ATRC list serve.
If y
ou have any questions about your project or the ATP, please contact your DLAE or your Caltrans Headquarters (HQ) ATP Manager:
Districts (D) or Project Type Caltrans HQ ATP
Manager Email
D 1, 2, 3, 4, & 5
Infrastructure Projects Desiree Fox [email protected] D 6, 9, 10, &11
Infrastructure Projects Cirilo Salilican [email protected] D 7, 8, & 12 Infrastructure
Projects Elijah Hall [email protected]
Plan and NI Projects Michael Hutnick [email protected] Sincer
ely,
DEE LA
M
Division of Local Assistance, Chief
“Provide a safe and reliable transportation network that serves all people and respects the environment” ATP Cycle 6 Awardee
August 7, 2023
Enclosure
FedAid Process Flowchart
c: DLAEs, Caltrans Districts
Suj
aya Kalainesan, Assistant Division Chief , Caltrans HQ
Cathy McKeon, State Programs Office Chief, Caltrans HQ
Desiree Fox, ATP Manager North, Caltrans HQ
Cirilo Salilican, ATP Manager Central, Caltrans HQ
Elijah Hall, ATP Manager South, Caltrans HQ
Michael Hutnick, ATP Manager Plans and NI (Acting), Caltrans HQ Felicia Haslem, Project Implementation North Office Chief, Caltrans HQ Robert Nguyen, Project Implementation South Office Chief (Acting), Caltrans HQ Laurie Waters, Associate Deputy Director, CTC