Working on STIP Projects Ahead of Their Programmed Year

There are different options to start work early for state funded projects (ahead of when the project was originally programmed in the State Transportation Improvement Plan or STIP). This article describes the options of SB 184, AB 3090, STIP amendment, and Advance Allocation.

SB 184
SB 184 is legislation which amended government section 14529.17 in 2007. This legislation allows for reimbursable work to begin in advance of allocation within the same fiscal year it is programmed. Expenses must be paid for by the local agency until reimbursement by the CTC and the local agency must notify the CTC it is electing to invoke SB 184.
Examples of the usage of SB 184 may be situations in which the local agency wants to get authorization to start work at the beginning of a state fiscal year but there is a probable state budget stalemate and thus, the local agency doesn’t want to wait until the first CTC meeting of the state fiscal year.
Specific procedure is to provide request for project allocation that includes a notice of the agency’s intent to expend its own funds for the project prior to allocation. The local agency sends a copy of this document (plus allocation request paperwork) to the CTC director. The local agency sends the original documents to Caltrans Local Assistance district office.
For more information, see:
http://www.dot.ca.gov/hq/transprog/ocip/guidelines.htm
http://www.dot.ca.gov/hq/LocalPrograms/lam/prog_g/g23stip.pdf (page 17 of 82)
http://www.catc.ca.gov/programs/STIP/2010_STIP_Guidelines_G-09-11.pdf (p.42 of 52)

AB 3090
AB 3090 is legislation which amended government section 14529.17 in 1992.
This legislation allows for reimbursable work to begin in advance of allocation in any year earlier than the programmed (fiscal) year of funding, with the exception of the current year. Expenses are to be paid for by the local agency until reimbursement by the CTC. This occurs via a STIP amendment which sets when reimbursement is to occur – whether in the original programmed year or later. AB 3090 is executed by swapping a project of equivalent value to be programmed in its place or by providing a direct cash reimbursement in the year set forth in the STIP amendment (in the original year or later).
For more information, see:
http://www.dot.ca.gov/hq/transprog/ocip/guidelines.htm
http://www.dot.ca.gov/hq/LocalPrograms/lam/prog_g/g23stip.pdf (page 16 of 82)
http://www.catc.ca.gov/programs/STIP/2010_STIP_Guidelines_G-09-11.pdf (p.46 of 52)
http://www.dot.ca.gov/hq/transprog/ocip/amendproc.htm

STIP Amendment
Through a STIP amendment, it is possible to move the programming year of a project into an earlier year (but not the current year).
For more information, see:
http://www.dot.ca.gov/hq/transprog/ocip/amendproc.htm
http://www.dot.ca.gov/hq/LocalPrograms/lam/prog_g/g23stip.pdf (page 11 of 82)
http://www.catc.ca.gov/programs/STIP/2010_STIP_Guidelines_G-09-11.pdf (p.45 of 52)

Advance Allocation
Advance allocation is advancing the fiscal year that funding was originally programmed to the current year.
If the local agency is unsuccessful with their attempt for advance allocation, the local agency can contact the CTC directly. However if there is no funding capacity in the target year (i.e. the year in which allocation is to advanced to), it will be difficult to persuade the CTC.
For more information, see:
http://www.dot.ca.gov/hq/LocalPrograms/lam/prog_g/g23stip.pdf (page 15 of 82)

In conclusion, four ways to start work ahead of when it was programmed are SB 184, AB 3090, STIP amendment, and Advance Allocation. For other options of advancing the work for other state programs such as Proposition 1B (e.g. SLPP), please either refer to the Caltrans Local Assistance website at http://www.dot.ca.gov/hq/LocalPrograms/ or contact the District Office of Local Assistance.

About Brian Viray

Brian is a registered civil engineer and has a MBA. He has worked in the fields of hydraulics, hydrology, and floodplain management in both the public and private sector for over eight years. Since coming to Caltrans over two and half years ago, he has been involved in the federal and state funding of approximately $80 million for over 500 transportation projects. Brian currently supports local agencies in the Counties of Colusa, Glenn, Nevada, and Sierra.

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