DAVID GIONGCO Caltrans Local Assistance Engineer

Local Assistance Packages

Below is a compilation of typical “packages” that will be required as you administer a Local Assistance project. The lists reflect the typical documents1 required with requests and reports to the District Local Assistance Engineer (DLAE). They do not represent the supporting documents expected in your project files. To understand what’s required for your project files, refer to the Local Assistance Procedures Manual (LAPM) and Local Assistance Program Guidelines (LAPG).

Request for Authorization (RFA)

Prior to beginning work for which federal reimbursement will be requested, the project phase must be formally authorized (approved) by FHWA.

Preliminary Engineering (PE)

  • LAPM Exhibit 3-A: RFA to Proceed with PE
  • LAPM Exhibit 3-E: RFA to Proceed Data Sheet
  • LAPM Exhibit 3-O: Finance Letter
  • LAPM Exhibit 7-B: Field Review Form
  • Copy of FTIP/FSTIP reference confirming programmed funds2

Additional documents required for following types of projects:

  • Bridge Projects - LAPM Exhibit 7-C: Roadway Data
  • ITS Projects - LAPM Exhibit 7-I: Systems Engineering Review Form (SERF)

Right of Way (R/W)

  • LAPM Exhibit 3-B: RFA to proceed with R/W
  • LAPM Exhibit 3-E: RFA to proceed Data Sheets
  • LAPM Exhibit 3-O: Finance Letter
  • LAPM Exhibit 7-B: Field Review Form
  • Copy of NEPA document
  • Copy of FTIP/FSTIP reference confirming programmed funds2

Construction (CON)

  • LAPM Exhibit 3-D: RFA to proceed with CON
  • LAPM Exhibit 3-E: RFA to proceed Data Sheets
  • LAPM Exhibit 3-O: Finance Letter
  • LAPM Exhibit 7-B: Field Review Form
  • LAPM Exhibit 13-A or 13-B: Short Form R/W Certification or R/W Certification
  • LAPM Exhibit 12-C: PS&E Certification
  • LAPM Exhibit 12-D: PS&E Checklist
  • Copy of PS&E package
  • LAPM Exhibit 15-A: Local Agency Construction Contract Administration Checklist
  • Copy of NEPA document
  • Copy of FTIP/FSTIP reference confirming programmed funds2

For projects on the State Highway System, a copy of applicable executed Cooperative Agreement or Encroachment Permits will also be required

Non-Infrastructure (NI) Projects3

  • LAPM Exhibit 3-Q: RFA to proceed with NI Project
  • LAPM Exhibit 3-R: NI Project Work Plan Sample4
  • LAPM Exhibit 6-J: Preliminary Environmental Screening for NI Projects Form
  • Copy of NEPA document
  • Copy of FTIP/FSTIP reference confirming programmed funds2

Cost Adjustments

  • Justification Letter/Memo with a detailed explanation for cost adjustment
  • LAPM Exhibit 3-O: Finance Letter5
  • LAPM Exhibit 15-M: Detail Estimate (updated)
  • LAPM Exhibit 7-B: Field Review Form (updated)
  • LAPM Exhibit 17-E: Change Order Summary (if applicable)
  • Concurrence Letter from MPO/RTPA stating the changes will not affect their MPO/RTPA’s financial constraint

STIP Projects (CTC Actions) 6

Request for Allocation

  • LAPG Exhibit 23-D: State/Federal Finance Letter
  • LAPG Exhibit 23-G: STIP Project Programming Request (PPR) Form
  • LAPG Exhibit 23-H: STIP PPR Funding Information
  • LAPG Exhibit 23-N: Funding Allocation Checklist (Local STIP Projects)
  • LAPG Exhibit 23-O: Request for Funding (Local STIP Projects)
  • Copy of CEQA document
  • Copy of NEPA document
  • Copy of FTIP/FSTIP reference confirming programmed funds
  • Engineer’s Detailed Estimate

Additional documents required for following types of projects:

  • Local Road Rehabilitation Projects - LAPG Exhibit 23-K: Local Road Rehabilitation Project Certifiction

Request for Time Extension

  • LAPG Exhibit 23-B: Request for Time Extension (Local STIP Projects)

Award Package

Federal-Aid Project

  • LAPM Exhibit 3-O: Finance Letter5
  • LAPM Exhibit 15-B: Residents Engineer’s Construction Administration Checklist
  • LAPM Exhibit 15-G: Local Agency Bidder DBE Commitment (Construction Contracts)
  • LAPM Exhibit 15-L: Local Agency Contract Administration Checklist
  • LAPM Exhibit 15-M: Final Detail Estimate

State Funded Projects

  • LAPG Exhibit 23-A: Award Information for STIP Projects

Report of Expenditures

Federal-Aid Project

  • LAPM Exhibit 17-A: Federal Report of Expenditures Cover Letter and Checklist
  • LAPM Exhibit 17-C: Local Agency Final Inspection Form
  • LAPM Exhibit 17-D: Final Invoice
  • LAPM Exhibit 15-M: Final Detail Estimate
  • LAPM Exhibit 17-E: Change Order Summary7
  • LAPM Exhibit 17-F: Final Report Utilization of Disadvantaged Business Enterprises (DBE)
  • LAPM Exhibit 17-G: Materials Certification
  • LAPM Exhibit 17-O: DBE Certification of Status Change

State Funded Projects

  • LAPM Exhibit 17-D: Final Invoice
  • LAPM Exhibit 17-M: Final Project Expenditure Report

Federal Transit Administration (FTA) Transfer Request

  • LAPM Exhibit 3-J: Request for Transfer of Federal Funds to FTA
  • LAPM Exhibit 3-O: Finance Letter
  • Copy of FTIP/FSTIP reference confirming programmed funds2
  • Copy of Grant Application with pending Grant Number (Section 5307 projects only)
  • Copy of Caltrans Notification Letter (Section 5311 & 5310 projects only)
  1. It’s difficult to account for all project situations, but these lists should provide a general guide to a majority of request submittals and reports. 

  2. A copy of the Emissions Benefit Calculation is required for CMAQ-funded projects. If the emission reductions are included in the FTIP project description, a copy of emissions benefit calculation is not needed.  2 3 4 5

  3. This type of project doesn’t lead to construction. Examples of such projects include the implementation of rideshare programs, vehicle purchases, and transportation outreach programs. 

  4. The work plan serves in lieu of PS&E package to detail the project. 

  5. The LAPM references LAPM Exhibit 15-N, but it has not been updated to reflect the authorization method selection.  2

  6. Visit the Local Assistance ATP page for ATP allocation requests forms. 

  7. Include statement of the liquidated damages and/or contractor claims, if there are any.