The E-76 — and every gate that has to clear before it
Federal Authorization to Proceed (E-76) is the structural gate. FSTIP inclusion, DBE/ADA annual submittals, and cooperative agreements all come first. FADS → CADO → FMIS. The PED 12-month rule and 120-day post-PED invoice window. Section 1440 At-Risk PE. The DLA Finance Letter → PSA → 6-year state budget authority (with CWA extension to 8). Underfunded projects, advance construction, tapered match, flexible match, toll credits in lieu of non-federal match, and FTA transfer to Sections 5307/5310/5311.
The E-76 rule and the gates that must clear first
"Prior to beginning highway work for which federal reimbursement will be requested, the project or project phase must be formally authorized (approved) by the Federal Highway Administration (FHWA). Each federally-funded phase of work such as PE, R/W, Utility Relocation, and Construction, requires a separate federal authorization."
Exception: For Emergency Relief projects, prior FHWA approval is not required for Emergency Opening and PE. Permanent Restoration work must have prior FHWA program approval and authorization unless the work is done as part of Emergency Opening repairs.
Severity scales by phase. PE pre-auth → can be cured via At-Risk PE. R/W pre-auth → not reimbursed. Construction pre-auth → may disqualify the entire phase.
FTIP/FSTIP Inclusion (prerequisite)
"Prior to federal authorization, all federally-funded transportation projects must be included in the current federally approved FTIP/FSTIP. The FTIP/FSTIP must identify scope of work, project location, project sponsor, federally-funded phases of work, programmed FFY, and the types and amounts of federal funds."
ER projects involving substantial functional, locational, or capacity changes must be included.
Lump Sum listings: Non-capacity-increasing projects in HBP, LBSRP, HSIP, federal ATP, and federal STIP are typically in Caltrans-administered Lump Sum listings. STBGP/CMAQ may use Regional Lump Sum listings adopted by MPO/RTPA. "The MPO/RTPA is responsible for project eligibility determination and financial constraint of the regional program."
ITS classification: Preliminary classification as High-Risk (formerly Major), Low-Risk (formerly Minor), or Exempt per LAPG Ch 13.
Planning projects (MPO Planning, Section 5303) not leading to construction don't require FTIP/FSTIP listing but must be in a federally approved planning document (e.g., Overall Work Plan).
Annual Submittals (gating)
Exhibit 9-B: Local Agency DBE Annual Submittal Form — due to DLAE by June 30 each year for the following FFY.
Exhibit 9-C: Local Agency ADA Annual Certification Form — by June 30 each year for the following FFY. "The form must be received prior to submitting a Request for Authorization to proceed with a Federal-aid project."
Missing any of these submittals blocks Federal authorization. June 30 is the structural calendar deadline for the next FFY (October 1 - September 30).
Cooperative Agreement (if needed): Executed prior to requesting authorization to proceed (see PDPM Ch 16).
LAPM 3-A package, PE/ITS/RW/RW-Util/CON/NI phases
"The project sponsor must prepare and submit a Request for Authorization to Proceed package to the appropriate Caltrans District Local Assistance Office. The request package should include, as a minimum, the LPA's Request for Authorization to Proceed (LAPM 3-A: Project Authorization/Adjustment Request) and all required supporting documentation."
Processing time: minimum 3 weeks if complete; additional time near FFY beginning or end. Incomplete packages returned for resubmittal.
3.3.1 Preliminary Engineering (PE)
Eligible PE: location/environmental studies, NEPA approval, preliminary utility investigations and engineering work for utility relocation, final design (PS&E), advertising costs. Preliminary R/W activities eligible as PE: pre-acquisition estimating, title search, property map preparation needed for NEPA.
"After a construction contract has been awarded, support activities should typically be included under Construction Engineering rather than the Preliminary Engineering phase."
Pre-field-review authorization permitted for preliminary studies portion of PE (allows reimbursement of consultants needed for field review).
At-Risk Preliminary Engineering (Section 1440 of FAST Act)
Section 1440 does NOT waive: applicable cost eligibility conditions; Clean Air Act conformity; federal A&E requirements/approvals (including CMSR per Ch 10); DBE goals and GFE evaluation requirements.
"However, until authorized and obligated, these funds are still considered 'At-Risk'. There is no guarantee of federal funding for any pre-authorized/pre-obligated PE work. Recipients and subrecipients invoking Section 1440 authority assume all risk."
To invoke: provide both original and current FSTIP listing/amendment as supporting documents on LAPM 3-A. The original FSTIP federal approval date documenting PE phase inclusion = "Effective PE Reimbursement Date." Include this date on all invoices.
Critical exclusion: "For projects with federal funding that require CTC allocation, only costs incurred after CTC allocation are eligible for reimbursement." Section 1440 doesn't override the CTC allocation gate.
NEPA gate: Full funding for subsequent phase (final design, R/W, construction) must be in approved FSTIP before NEPA can be signed. All project phases must be in the fiscally constrained RTP/MTP before NEPA. "No Build" alternative project may still be eligible for reimbursement under Section 1440.
3.3.2 Intelligent Transportation Systems (ITS)
ITS projects with no construction phase: authorized as "Other" under Requested Reason. ITS projects with infrastructure construction: design funding authorized as "Preliminary Engineering"; Construction/Integration funding as "Construction."
For ITS projects, PE includes Systems Engineering, equipment, software development, Systems Manager/Systems Integrator.
High-Risk ITS: Systems Engineering Review Form (SERF) must be approved by FHWA prior to or shortly after PE authorization. Systems Engineering Management Plan (SEMP) approval required prior to detailed component design.
Low-Risk ITS: Single PE phase authorization. No FHWA approval of SERF/SEMP, but LPA still completes SERF as part of Field Review Form.
Exempt ITS: Single PE phase authorization. No SERF/SEMP.
3.3.3 Right of Way
Eligible R/W: R/W plans, economic studies, appraisal for parcel acquisition, review of appraisals, real property payments, condemnation cases, property management, relocation assistance, related labor expenses (see 23 CFR 710). Only eligible work performed after federal Authorization to Proceed with R/W may receive federal reimbursement.
"An approved NEPA document is required prior to the majority of R/W activities (e.g., negotiating with property owners, acquisition, and relocation assistance)" — see Ch 13. R/W authorization request must include approved NEPA document and NEPA/CEQA Re-Validation Form when required.
3.3.4 R/W Utility Relocations
For federal reimbursement of utility relocations, all work performed per FHWA's Alternate Procedure 23 CFR 645.119(e)(2). Required federal actions: Authorization to Proceed (E-76), FHWA Specific Authorization to Relocate Utilities, FHWA Approval of Utility Agreement(s). See Ch 14.
Note: Investigative and preliminary utility engineering work associated with utility relocation necessary to complete NEPA and PS&E may be authorized under PE.
3.3.5 Construction and Construction Engineering
Eligible construction: actual costs to construct highway and appurtenant facilities, removal/adjustment/demolition of buildings or major obstructions, utility or railroad work part of physical construction, administrative settlement of cost for contract claims. Construction costs EXCLUDE PE, R/W, and Construction Engineering.
For utility or railroad work to be federally participating under Construction: "the LPA must coordinate to ensure that work does not begin until after execution of the E-76 for construction authorization, otherwise the utility or railroad work will be ineligible for reimbursement with federal funds."
Construction Authorization Package contents: LAPM 3-A; approved NEPA document (CE/FONSI/ROD); NEPA/CEQA Re-Validation Form; approved Right of Way Certification; engineer's estimate (may be on LAPM 3-A); Exhibit 12-D: PS&E Checklist; PS&E package.
$100M-$500M projects: Financial Plan submitted with construction authorization request. ≥$500M Major Projects: Financial Plan submitted prior to construction authorization. PMP submitted prior to IFP finalization. CSRA required before IFP. See Ch 2 §2.9.
Construction Engineering (CE): supervision/inspection of construction activities, additional staking, materials testing, shop drawings, measurements for pay quantities. "CE costs must be specifically included in the LAPM 3-A and authorized to be eligible for federal reimbursement. If CE is authorized after construction begins, only those CE costs incurred after the date of the CE authorization are eligible."
"It is highly recommended that LPAs use 15% as a guide for estimating CE costs and maintain justification for higher CE costs" (see Ch 12 §12.12).
Caltrans source inspection request: If requesting Caltrans source inspection services, LPA must submit/justify request at least 30 days prior to submitting RFA for Construction.
3.3.6 Non-Infrastructure (NI) Projects
NI projects: transportation-related projects that will NOT involve engineering design, R/W acquisition, and physical construction. Examples: public awareness campaigns, TDM, traffic education/enforcement near schools, bicycle/pedestrian safety education, freeway service patrol, ridesharing, commuter incentives, alternative-fueled vehicle purchases.
"Federal Authorization to Proceed for NI projects will be processed under the NI phase using LAPM 3-A."
FTIP/FSTIP: Most NI projects programmed as Grouped/Lump-sum projects in Construction phase. NI projects individually listed must also be programmed under Construction.
Environmental Review: Full-scale PES may not be required. Preliminary Environmental Screening Form for Non-Infrastructure Projects (PES-NI) may streamline environmental review. PES-NI approval results in Categorical Exclusion as NEPA determination.
R/W: No R/W Certifications required for NI projects.
PS&E: NI project work plan in lieu of traditional PS&E (sample: Exhibit 3-R). Must describe project tasks, schedule, activities, deliverables, budgets/costs.
PED, the 120-day invoicing window, and revision mechanics
PED is the final date when the LPA may perform federally reimbursable work. Costs incurred after PED expire ineligible.
Invoicing window: "Invoicing must be submitted within 120 calendar days of the PED for FHWA to consider it eligible for reimbursement." So PED governs work; PED+120 governs invoicing.
Establishing the PED
"LPAs are required to include the PED at the time of the authorization request on LAPM 3-A. The PED is automatically calculated on the LAPM 3-A by adding 12 months to the LPA's estimated date of completing the authorized phase of work."
Phase completion estimates:
- PE and R/W phases: completion estimated as the anticipated advertising date for construction
- Construction phase: completion estimated as board/council construction contract acceptance
After Caltrans concurrence and FHWA approval, the accepted PED is shown on the E-76.
Revising the PED
PED typically revised as part of authorization request when project progresses to next phase (delivery schedule more refined).
Within-phase PED revisions: may be justified by litigation, major design changes, environmental/permit issues, construction claims, differing site conditions, significant additional work, area-wide material shortages, labor strikes, unusually severe weather, or events outside LPA control.
Revise PED BEFORE it expires, not after. If only PED needs extending, use the PED Extension Tool with justification. If PED is being revised along with project costs, submit LAPM 3-A with justification in Remarks section.
The technical authorization pipeline
"Upon the federal obligation of funds, the DLAE notifies the project sponsor and issues an Authorization to Proceed (see Exhibit 3-P: Sample Delegated Project Authorization) and a federal project summary, and then documents the federal authorization and obligation dates."
Significant changes: For significant changes in Scope of Work and cost increases or reductions, the LPA must submit a modified Request for Authorization to Proceed package. Same processing pipeline.
3.4.1 Budget Authority for SHS Projects
For Caltrans-administered projects on SHS financed with Local Assistance funds, the Caltrans Project Manager submits Exhibit 3-H: Request for Capital Subvention Reimbursement Allocation/De-Allocation to the DLAE when requesting federal authorization. Once approved, Division of Budgets provides reimbursement authority memo to expend funds for capital outlay costs (utility relocation, R/W acquisition, construction capital).
$250,000 de-allocation trigger: "If the estimated federal share of project costs has decreased by $250,000 or more, the Caltrans Project Manager must submit Exhibit 3-H... to de-allocate the reimbursement authority to comply with 23 CFR 630.106(a)(4)."
DLA Finance Letter → PSA → 6-year encumbrance + CWA extension
"The obligation of federal funds is a commitment by FHWA to reserve the authorized federal funds for the project. FHWA obligates federal funds for all federally funded projects under their jurisdiction. Typically, the obligation of federal funds is automatic upon federal authorization of the project (or phase of work) provided the state has sufficient Obligation Authority (OA) and federal fund balances for the current FFY."
3.5.1 DLA Finance Letter
For each RFA, the project sponsor includes LAPM 3-A identifying federally-funded phases and federal/state/local match funds.
The DLA Finance Letter (LP2000 Finance Letter) — project-specific financial summary prepared by DLAE as part of LAPM 3-A and approved by Caltrans DLA. Required by CLPA as support documentation for project funding agreement.
Finance Letter identifies: project reference data; federally-funded phases of work; total project costs and cost eligible for federal participation by phase; federal/state/local fund sources funding each phase; federal reimbursement rates for progress invoice purposes; LPA certification and signature; project-specific remarks.
3.5.2 Program Supplement Agreement (PSA) and State Budget Authority
"Following the obligation of federal funds, State Budget Authority must be reserved by encumbering the funds on a project-specific Program Supplement Agreement (PSA). The PSA must be signed by the project sponsor and executed by Caltrans prior to requesting the reimbursement of funds" (see Ch 4). The LP2000 Finance Letter is made part of the PSA by reference.
California Government Code §16304: Any federal and state local assistance funds encumbered for a project are typically available for disbursement for a period of six years from the beginning of the fiscal year(s) the funds are appropriated in the State Budget Act.
"It is imperative that the LPA request federal authorization only when they are ready to do the work and only for work that will be completed and invoiced within this time period. Federal authorization for the remaining project work should be requested at a future date."
Once PSA executed by CLPA: encumbers funds with appropriation year corresponding to state fiscal year authorized for expenditure in State Budget Act.
Cooperative Work Agreement (CWA): "Section 16304.3 of the Government Code authorizes the Department of Finance to extend the liquidation period of an encumbrance up to eight years. If an encumbrance cannot be fully reimbursed (liquidated) within the six-year appropriation period, the LPA may apply for a Cooperative Work Agreement (CWA) to extend the liquidation period for up to two years. The LPA will need to apply for the CWA in the fall of the fifth year."
"If the LPA chooses not to apply for a CWA and the appropriation period lapses, the LPA will be responsible to finance the remaining balance with their own funding." 6 years → 5th year CWA application → up to 8 years total.
23 CFR 630.106(f)(1) — pro rata vs lump sum, 90-day adjustment
"When the federal funds programmed for a project in the FTIP/FSTIP are insufficient to reimburse an LPA at the maximum federal reimbursement rate (legal pro rata) permitted for a federal fund type, the project is defined as federally underfunded."
"From a federal perspective, underfunded projects result in more federal projects for a given amount of federal funds. The increased oversight/administration costs make this an inefficient way of utilizing federal funds."
23 CFR 630.106 Framework
- Federal-aid share of eligible project costs must be established at the time of project authorization in one of two ways:
- Pro rata — agreement states the federal share as a specified percentage
- Lump sum — agreement states federal funds limited to a specified dollar amount not to exceed the legal pro rata
- "The pro rata or lump sum share may be adjusted before or shortly after contract award to reflect any substantive change in the bids received as compared to the State Transportation Department's estimated cost of the project at the time of FHWA authorization, provided that federal funds are available." Requests for award adjustment must be submitted by an LPA to Caltrans within 90 days of contract award.
- Federal participation limited to agreed federal share of eligible costs, not to exceed the maximum permitted
- State may contribute more than normal nonfederal share. Financing proposals resulting in only minimal federal funds should be avoided unless based on sound project management decisions
"Once a federal fund source is placed under agreement (E-76) for a phase of work, the pro rata reimbursement rate for that federal fund type (apportionment) and phase of work is fixed for the life of the project."
"For this reason, MPOs/RTPAs should strive to fund projects at the maximum federal reimbursable rate."
3.6.1 Administrative Rules
The DLAE will consider underfunding on a project-by-project basis. "However, if there is a potential for a Region to lapse funds to the Use It or Lose It provisions of AB1012, Caltrans will not permit the initial underfunding of projects for that Region."
For federal earmarks and discretionary programs (e.g., Historic Bridge) released annually, FHWA permits adjustment to federal pro rata as funds become available.
3.6.2 Federal Reimbursement of Underfunded Projects
At E-76, federal reimbursement rate established by dividing authorized federal funds by federal participating costs of work, not to exceed legal pro rata.
"For progress invoices, the federal reimbursement rate is limited to the rate established in FMIS by the most current Federal Authorization to Proceed/Obligation of Funds (E-76) at the time of award."
On final invoice, if lump sum designation has been chosen, federal reimbursement rate may fluctuate to ensure LPA receives the total federal funds it's entitled to (not to exceed legal pro rata or obligated federal funds).
When federal funds aren't yet available, or when the match needs flexibility
3.7 Local Advance Construction (AC)
"When federal funds are not available for obligation due to an insufficient balance of funds or OA, an LPA may request in writing federal authorization to proceed with the project (or project phase) under advance construction procedures" (see Exhibit 3-I).
"Under local advance construction procedures, following federal authorization to proceed, the LPA will use its own funds to perform work eligible for future federal reimbursement. The LPA must have sufficient local funds to pay for all project costs until such time as federal funds become available."
Programs eligible for Advance Construction:
- Congestion Mitigation & Air Quality Improvement (CMAQ)
- Regional Surface Transportation Block Grant Program (RSTBGP)
- Highway Bridge Program (HBP)
- Emergency Relief (ER) Program
"Local advance construction federal authorization does not constitute a commitment of federal funds to the project, and a program supplement agreement will not be issued. The Federal Authorization date establishes the start date for performing federally reimbursable work. If and when federal funds become available, a follow-up Authorization to Proceed (E-76) must be processed to obligate the federal funds."
"The LPA must consider the risk that the federal funds may never become available."
Note: Federal-aid projects utilizing tapered match provisions are not eligible for advance construction authorization.
3.8 Tapered Match
"The use of tapered match provisions enables a project sponsor to vary the non-federal share of a Federal-aid project over time, provided the federal contribution toward the overall project does not exceed the federal pro rata limit."
"Under the tapered match approach, a nonfederal-matching ratio is assigned to the project, rather than individual payments. The federal share can be as high as one-hundred percent in the early stages of project reimbursement provided that the overall federal contribution does not exceed the statutory Federal-aid limit at the end of project completion."
Tapered match CANNOT be used on:
- Advance construction projects
- STP-funded projects where nonfederal match is provided on a program-wide basis
- Bond projects authorized under Title 23 §122
Tapered match requires review and approval by both Caltrans (Office of Federal Resources) and FHWA CADO. Written taper match plan submitted to DLA. FHWA may approve when tapered match would: expedite project completion; reduce overall cost; provide incentive to attract additional nonfederal funds.
3.9 Flexible Match
"Federal flexible match provisions allow a wide variety of public and private contributions to be credited toward the nonfederal match for Federal-aid projects."
Eligible contributions:
- Cash — Private, state, and local entity funds must be received during the period between project approval/authorization and submittal of project final voucher
- Right of Way — Private, state, LPA property may be donated any time during project development. Property must be appraised to determine fair market value and included in total project cost. Donation of property must not influence the NEPA process.
- Materials — Private and local entity donation of materials must be appraised. Credit for state donated materials is not permitted.
- Services — State and local entity services may only be credited toward nonfederal match for Transportation Enhancements (TE) projects. Private donation of services must be documented as to fair market value.
Flexible match subject to review and approval by both Caltrans (Office of Federal Resources) and FHWA CADO.
The 100% federal funding mechanism (with no new federal money)
"Title 23 USC authorizes states to use certain toll revenue expenditures as a credit toward the non-federal matching share of programs authorized by Title 23 (except for the ER Program) and for transit programs authorized by Chapter 53 of Title 49 USC."
"Toll credits can be used on all Federal-aid highway funding programs EXCEPT for the ER Program."
But: "It needs to be noted that the use of toll credits does not generate any additional federal funding. Its use is merely to meet the non-federal match requirement of the federal participating cost. The amount of toll credit available each year is limited by the amount of annual Federal Obligation Authority (OA)."
Toll credits = match relief, not additional federal money. The pool is OA-limited.
Caltrans policy limits: "Caltrans policies limit the use of toll credits for On-System HBP projects and Local HSIP projects because all available funds have been programmed and there are more needs than funding capacity." Workaround: dual-fund with another federal funding source and apply toll credits to each.
FHWA condition for approval: "One of the conditions for FHWA's approval of the toll credits is that its use does not reduce the state's non-federal transportation capital expenditures." Project sponsors with savings from toll credit must spend savings on other transportation-related projects.
No retroactive use: "Caltrans policy does not allow the retroactive use of toll credits for funds that have already been obligated. However, subsequent obligations can be authorized to use toll credits."
Toll Credit Requirements
- Intended use explicitly expressed in LAPM 3-A by marking the appropriate toll credit box
- Federal reimbursement rate of those funds utilizing toll credits must be 100%, excluding federally non-participating costs
- Programmed in the current FSTIP, or post-programmed, as using toll credits
- Project funded from one of the programs listed in Caltrans' Statewide Toll Credit Use Policy
Three Scenarios
| Scenario | Federal | Local | Toll Credit |
|---|---|---|---|
| Traditional (88.53% pro rata) | $88,530 | $11,470 | $0 |
| Toll Credit Funded ($100K project) | $100,000 (100%) | $20,000 (NPC) | $11,470 |
| HSIP + STP Dual-Fund | HSIP $90K + STP $10K | $0 | $10,147 |
The toll credit amount equals the required non-federal match. For HBP/HSIP dual-fund: each federal fund treated as separate funding component with 100% federal funding and corresponding toll credit.
23 USC 134(k) — moving FHWA funds to FTA jurisdiction
"State, regional, and LPAs have the opportunity to select transit-related projects to meet their transportation needs." Includes: expanded eligibility under STBGP and CMAQ for transit improvements; ability to transfer federal funds from one program to another; ability to transfer federal funds from FHWA jurisdiction to FTA and vice versa.
23 USC §134(k) requires that Title 23 funds made available for public transit projects (typically FTA-administered) be transferred from FHWA to FTA. Transferred funds administered per Chapter 53 of Title 49, except that Title 23 provisions related to nonfederal share must apply.
"All FHWA apportioned federal funds must be programmed in an FHWA/FTA approved FSTIP prior to transferring the funds to FTA. The transferred funds must be used for the original programmed intent and remain eligible under the funding program. In other words, using the transferred federal funds for a different purpose than originally programmed is not permitted."
"The FTA will only accept transfer applications from recognized transit operators."
3.11.1 Local Federal-aid Funds Eligible for Transfer
- RSTBGP — Eligible: transit capital projects, intercity bus service vehicles and facilities, transit safety improvements. NOT eligible: Section 5307 (Urbanized Grant Program) operating expenses.
- CMAQ — Must support transportation projects in air quality nonattainment areas. Transit capital projects + up to 3 years of operating expenses for new eligible services.
- ATP — Funds infrastructure, non-infrastructure, and plans encouraging active transportation modes.
- FHWA Discretionary Funds (High Priority Demonstration, Ferry Boat Discretionary, Federal Lands Highway Program, TCSP) — May only be used for designated line item purpose as authorized.
Federal STIP funds under MPO/RTPA programming control may transfer to FTA but must be allocated by CTC prior to transfer.
3.11.2 FTA Grant Programs
| Section | Program | Coverage |
|---|---|---|
| §5307 | Urbanized Area Formula Grant | Urbanized areas over 200,000 population AND urban areas 50,000-200,000. LPA submits one grant application per FFY to FTA. Following FTA Transfer, Applicant Agency deals directly with FTA. |
| §5311 | Non-Urbanized Area Formula Grant | Non-urbanized areas and cities under 50,000. Caltrans DMT Office of Rural and Small Transit Operators manages jointly with District Transit Offices. Caltrans DMT acts as grant applicant on behalf of LPAs — single annual statewide application to FTA. |
| §5310 | Enhanced Mobility of Seniors and Individuals with Disabilities | Nonprofit organizations and public agencies (approved by State). Caltrans DMT Specialized Federal Transit Branch acts as grant applicant on behalf of LPA. Typically purchases vans and small buses. |
3.11.3 Transfer Procedures
"FHWA and FTA have since developed procedures that provide for the direct transfer of federal funds and Obligation Authority (OA) to the recipient federal agency. Caltrans submits a formal FTA transfer request to FHWA CADO via an Exhibit 3-J: Request for Transfer of Federal Funds to the FTA letter. Upon FHWA concurrence, the federal funds are transferred and deducted from the appropriate State and MPO/RTPA apportionment balances."
See Exhibit 3-K for step-by-step transfer of Local Federal-aid funds to FTA.
§3.12 MPO/RTPA Programmed Fund Balances
"Under state law, certain federal funds are apportioned to the MPO/RTPA regions by formula. These funds include RSTP and CMAQ funds. These funds are programmed to LPAs for specific projects through the FTIP/FSTIP processes. Both Caltrans and FHWA monitor the obligation and balance of federal funds. Caltrans maintains reports showing the obligation of funds summarized at the district, MPO and county levels."
Sixteen questions on Chapter 3
E-76 gate, PED window, At-Risk PE, advance construction, toll credits, FTA transfers, and the budget authority clock.
- LAPM Ch 3 (2026) · the primary source
- 23 USC §134(k) · FHWA-to-FTA transfer authority
- 23 USC Title 23 · Federal-aid Highway Program
- 49 USC Chapter 53 · Mass Transportation
- 23 CFR 630.106(a)(4) · $250K de-allocation
- 23 CFR 630.106(f)(1) · Pro rata vs lump sum
- 23 CFR 630.106(f)(2) · 90-day award adjustment
- 23 CFR 630.110(b) · Post-award adjustments
- 23 CFR 645.119(e)(2) · Utility Alternate Procedure
- 23 CFR 710 · R/W eligible work
- California Government Code §16304 · 6-year encumbrance
- California Government Code §16304.3 · CWA extension authority
- FAST Act §1440 · At-Risk PE
- AB1012 · Use It or Lose It
- LAPM 3-A · Project Authorization/Adjustment Request
- Exhibit 3-H · Request for Capital Subvention Allocation/De-Allocation
- Exhibit 3-I · Request for Local Advance Construction Authorization
- Exhibit 3-J · Request for Transfer to FTA letter
- Exhibit 3-K · Administrative Procedures for FTA Transfer
- Exhibit 3-P · Sample Delegated Project Authorization
- Exhibit 3-R · Non-Infrastructure Project Work Plan Sample
- Exhibits 9-A, 9-B, 9-C · DBE Implementation, DBE Annual, ADA Annual Certification
- Exhibit 12-D · PS&E Checklist
- LAPG Ch 11 · Emergency Relief Program
- LAPG Ch 13 · ITS Program
- LAPG Ch 25 · State Programs for Local Agency Projects
- FHWA Major Projects website · https://www.fhwa.dot.gov/majorprojects/
- Caltrans Statewide Toll Credit Use Policy
- Cooperative Work Agreement · https://dot.ca.gov/programs/local-assistance/projects/cooperative-work-agreement-cwa