California Department of Transportation

Office of Capital Improvement Programming (OCIP)

AB 3090 STIP Amendment Request Submittal Guidelines

Overview

The provisions set in statute by AB3090 refers to a process whereby a regional agency may, through the use of its own funds, advance fund a component of a STIP project with the promise of later repayment. Applicable statues, policies and guideline’s are as follows:

Consistent with the above, an agency may request repayment as a direct cash reimbursement or as an undesignated replacement project in the STIP. The final determination of which repayment method used, and year of reimbursement or replacement, is ultimately the decision of the CTC.

General Request Submittal Procedure

The regional agency submits an AB3090 STIP Amendment request to the appropriate STIP Liaison Engineer, with copies to the Chief, Office of STIP, Mass Transportation, Rail and TEA Programs, as appropriate. Complete STIP Amendment requests received on or before the amendment submittal cut off date* will be considered for the following CTC meeting. An AB3090 Amendment request submittal shall include:

  • Letter from the Local Agency clearly identifying the project and/or component to be advanced with local funds, the need for the advancement, the source of local funds to be used, and the status of the Caltrans/Local Agency Reimbursement Agreement for project implementation and reimbursement.
  • A copy of the Caltrans/Local Agency Reimbursement Agreement.
  • A completed PPR Form, including signatures from the Regional Transportation Planning Agency (RTPA).
  • A copy of the California Transportation Improvement Program System (CTIPS) report for the project to be advanced with local funds.

Common Questions

  1. What are the major differences between an AB3090 reimbursement and AB3090 replacement project?
    • A reimbursement is a direct cash repayment to the sponsoring agency. Once programmed, a reimbursement is the highest allocation priority for the STIP. An AB3090 replacement represents a commitment by the CTC to program a future project of like value in the designated fiscal year to the sponsoring agency.
  1. How can the CTC fail to allocate an AB3090 reimbursement?
    • By not allocating any STIP projects. For example, if the funding crisis deepens.
  1. Can an AB 3090 reimbursement be used to pay back a private loan (a loan that is planned to fund the project).
    • STIP funds cannot be used as collateral. This is because of statute and because allocation is not guaranteed (see above). However, this is not meant to exclude the use of a private loan. If an agency can secure a loan through other means then it would be an acceptable source of funding.
  1. Are local federal funds counted as “own funds”.
    • Local federal funds (RSTP, CMAQ, etc) may be used to advance fund a STIP project component if the repayment is in the form of a replacement project. This was clarified January 2005 in STIP Amendment 04S-004. CTC guidelines prohibit the use of local federal funds if the repayment is in the form of a reimbursement project.
  1. What type of agreements are needed between the Department and a Local Agency for AB 3090 arrangements?
    • AB 3090 Reimbursement Projects: For off-system projects, the headquarters Local Assistance office prepares a special AB 3090 Program Supplement. For on-system projects, the district (with assistance from headquarters Cooperative Agreements Office) prepares and AB 3090 Reimbursement agreement. Execution of the agreement should coincide with the Commission’s approval of the AB 3090 STIP Amendment.
    • AB 3090 Replacement Projects: The programming of replacement projects does not require an AB 3090 Reimbursement Agreement. Normal Cooperative Agreement procedures should be followed for projects to be advanced by local agencies.

CTC meetings and due dates