Local Public Agency Certification Program Application - Section C: Project Delivery Process

Project Delivery Process

The California Department of Transportation (Caltrans) through Stewardship and Oversight Agreement with FHWA, has the flexibility to allow local public agencies (LPAs) to administer transportation projects through the Federal-aid process. However, Caltrans is ultimately responsible and must assure local compliance with all Federal and State laws. The Local Public Agency Certification Qualification Form is for the LPA to demonstrate it meets the qualifications to successfully administer a federal-aid project. This form needs to be updated when there is a change in key personnel or as determined by the DLAE.

The LPA shall designate an LPA Certification Program Liaison and a Person in Responsible Charge. The Program Liaison shall serve as a Quality Control Coordinator for all federal-aid project submittals and a primary point of contact for the LPA. The designated Person in Responsible Charge is responsible for the project and must be a full-time employee of the LPA; and he/she accepts the responsibilities of the Person in Responsible Charge outlined in the Local Assistance Procedures Manual (LAPM) https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch02.pdf

Submittal Requirements: LPA is required to complete the following four forms to apply for Certification:

LPA must recertify every 3 years. Once an LPA is certified, Project Delivery History, Project Delivery Process, and Civil Rights will only be updated if there are changes.

The LPA must have established and documented practices in accordance with the Local Assistance Procedures Manual (LAPM) for each of the following administration responsibilities. The LPA must identify the LPA staff member(s), along with contact information, responsible for the management of each process. If using its own process, the LPA will need to provide documented, written processes to the DLAE. *Note: An agreement, evaluation form, checklist, bid package, etc. do not constitute a documented process. These are supplemental items that help establish whether the documented process was followed and should not be submitted as a process.

Locode

Numeric identifier for each local agency or administering agency (assigned by the Division of Local Assistance)

LPA

Date

mm/dd/yyyy

Caltrans District

Primary Contact

Provide name of LPA Certification Program Liaison/Quality Control Coordinator

Primary Contact E-mail Address

Provide e-mail address for LPA Certification Program Liaison/Quality Control Coordinator

Primary Contact Phone Number

Provide phone number for LPA Certification Program Liaison/Quality Control Coordinator

1. Accounting and Reporting

Identify the LPA staff member(s) and contact information

LPA uses its own process to track project costs; prepare invoices; and verify accuracy prior to submittal for reimbursment

Attach policy and invoicing procedures in file upload section

LPA is in compliance with Single Audit Act

Describe any findings/corrective actions in previous year

LPA has an approved indirect cost allocation plan

2. Consultant Services Evaluation and Selection (when Federal or State funds are involved)

Identify the LPA staff member(s) and contact information

LPA uses its own Consultant Services Evaluation and Selection Process in accordance with Federal requirements

Attach process and templates in file upload section

LPA has adopted the Consultant Services Evaluation and Selection Process in the LAPM

Attach copy of resolution or equivalent in file upload section

Chapter 10 Consultant Selection (ca.gov)

3. Consultant Services Management

Identify the LPA staff member(s) and contact information

LPA uses its own Consultant Services Management Process

Attach process in file upload section

LPA uses Caltrans's Consultant Services Management Process in the LAPM

Chapter 10 Consultant Selection (ca.gov)

4. Environmental

Identify the LPA staff member(s) and contact information

*Note: Due to the National Environmental Policy Act (NEPA) Assignment, all LPA projects with Federal funds must follow the Environmental Process described in the LAPM. The link to the manual can be found below. Please work with your District LPA personnel through the process.

LPA is using Environmental Process described in the LAPM

Chapter 6 Environmental Procedures (ca.gov)

5. Plans, Specifications, and Estimates (PS&E)

Identify the LPA staff member(s) and contact information

LPA uses PS&E process described in the LAPM

Chapter 12 Plans, Specifications & Estimate

LPA is using its own PS&E process

Attach process and templates in file upload section

6. Right-of-Way Design and Acquisition

Identify the LPA staff member(s) and contact information

*Note: At this time, all LPA projects with Federal funds must follow Right-of-Way Design and Acquisition Process described in the LAPM. The link to the manuals can be found below. Please work with your District LPA personnel through the process.

LPA uses Right-of-Way Design and Acquisition Process described in the LAPM

Chapter 13 Right of Way (ca.gov)

Right of Way Manual | Caltrans

7. Utility Relocation

Identify the LPA staff member(s) and contact information

*Note: At this time, all LPA projects with Federal funds must follow Utility Relocation Process in the LAPM. The link to the manuals can be found below. Please work with your District LPA personnel through the process.

LPA uses Utility Relocation Process in LAPM

Chapter 14 Utility Relocation

8. Change Orders

Identify the LPA staff member(s) and contact information

LPA uses its own Change Order Process

If LPA uses its own Change Order Process, describe process or attach in file upload section

LPA uses Change Order process described in the LAPM

Chapter 16 Administer Construction Contracts (ca.gov)

9. Dispute Resolution/Claims Management

Identify the LPA staff member(s) and contact information

LPA uses its own Dispute Resolution/Claims Management Process

If LPA uses its own Dispute Resolution/Claims Management Process, describe process or attach in file upload section

Note: Templates are available on the Office of Local Program's website, which allows the LPA the flexibility to revise as necessary to follow their administrative structure.

LPA uses Caltran's Dispute/Claim Process as described in Caltrans Construction Manual

Chapter 5: Contract Administration, Section 4: Disputes | Caltrans

10. Advertise, Award, and Administer Construction Contracts

Identify the LPA staff member(s) and contact information

LPA uses its own Project Award Procedures, Policies, and Processes

If LPA uses its own Project Award Procedures, Policies, and Processes, describe process or attach in file upload section

LPA uses Project Award Procedures, Policies, and Processes in the LAPM

Chapter 15 Advertise and Award Project (ca.gov)

Chapter 16 Administer Construction Contracts (ca.gov)

11. Davis-Bacon and/or State Prevailing Wages Compliance

Identify the LPA staff member(s) and contact information

LPA uses its own Davis-Bacon and/or State Prevailing Wages Compliance Process

If LPA uses its own Davis-Bacon and/or State Prevailing Wages Compliance Process, describe process or attach in file upload section

LPA uses Davis-Bacon and/or State Prevailing Wages Compliance Process in the LAPM

Chapter 16 Administer Construction Contracts (ca.gov)

12. Project Files and Record Retention including daily diaries, as-built plans, record of survey, etc.

Identify the LPA staff member(s) and contact information

LPA uses its own Maintenance of Project Files Process

If LPA uses its own Maintenance of Project Files Process, describe process or attach in file upload section

LPA uses Maintenance of Project Files Process in the LAPM

Chapter 16 Administer Construction Contracts (ca.gov)

Chapter 17 Project Completion (ca.gov)

Chapter 19 Oversight and Process Reviews (ca.gov)

Select the following documents to be uploaded

Note: User is required to select and upload Project Delivery System Organization Chart and Quality Assurance Program to submit form. Additional selections are optional based on responses given above.

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