Jila Priebe and Wendy King, CalTrans - CalACT

Public Transportation Modernization,
Improvement and Service
Enhancement Account (PTMISEA)
May 2013

PTMISEA
• Created by Proposition 1B – The Highway Safety,
Traffic Reduction, Air Quality, and Port Security
Bond Act of 2006.
• $3.6 billion dollars designated for transit capital
projects over a ten-year period.

PTMISEA Process Overview
• Appropriation in the State Budget
• Funds are divvied by formula amongst
agencies as identified by the State
Controller’s Office.
• Controller’s Office sends a letter to each
eligible recipient notifying them of the amount
of PTMISEA available.
• Agencies are asked to submit an Expenditure
Plan to Caltrans.

Allocation Requests
• Two cycles of funding are anticipated from
a spring and fall bond sale each year.
• Agencies may request up to the amount listed
in the Controller’s letter.
• Requests are submitted to Caltrans.
• Caltrans compiles the list of those projects
ready to begin within six months.

Distribution of Funds
• Once bonds are sold
• Caltrans sends the list of projects to be funded to
the State Controller’s Office.
• State Controller’s Office reviews the list and
issues allocations.
• Once a project is allocated, agencies report twice
a year until that project is completed and a final
close out report and evidence of completion are
submitted.

Allocation Request
Process
All forms can be found on
our website:
http://www.dot.ca.gov/hq/
MassTrans/Proposition-
1B.html

Projected Cash Flow

Eligible Use of Funds
• PTMISEA funds may be used for Transit Capital
Projects that demonstrate one or more of the
following:
-Safety or modernization improvements,
-Capital service enhancements or expansions,
-New capital projects,
-Bus Rapid Transit
-Rolling stock procurement, rehabilitation or replacement.

Ineligible Use of Funds
• Funds may not be used for Administration,
Operations, or Routine Maintenance
• Funds may not be used for Environmental
Clearance.
• Title 2 of the Code of Federal Regulations 225
(2 CFR 225), Cost Principles for State and Local
Government (OMB Circular A-87).

Reporting Requirements
• Semi-Annual Progress Reports
• A Copy of the TDA audit showing the receipt and
expenditure of PTMISEA funds
• A Final Project Report is required 6 months after the
completion of the project.
• Includes proof of completion
• Corrective Action Plan when changes are made to a
project
New project allocation requests will not be placed on the pend list
until all past due reports have been turned in and are correct.

Semi-Annual Progress Reports
• Due February 15 th and August 15 th each year
• Describes project activities from the previous 6
months
• Includes accurate reporting of:
• Interest earned to date
• Expenditures of allocated funds to date, and
• Expenditures of interest earned from PTMISEA funds.
• Needs to be consistent with all previously
reported project information

Semi-Annual Progress Reports

Semi-Annual Progress Reports

Corrective Action Plan

Final Report

Delays and Obstacles

Expectations
• Expectations:
• We expect each Recipient/Lead Agency to
maintain adequate project files and produce
the required reports on time.
• We expect the Recipient to accurately report
ALL funds used on the project.

Expectations Continued
• If a Recipient of funds is contributing its funds
to another agency, the original Recipient is
responsible for providing all required
PTMISEA reports.
• If the Recipient of funds has a Sub-Recipient
agreement with another agency, we expect all
terms of that agreement will be followed.

Expectations Continued
• We expect each agency to comply with all
guidelines as stated in the Certification
• We expect each agency to request an
allocation only for those projects ready to
start work within six months of allocation.

Spot Audits
• Caltrans will randomly select a few agencies to
be audited
• The audit will include extensive review of all
information related to PTMISEA projects.
• Please note, selected agencies may be asked to
provide additional documentation
• Until all discrepancies are corrected, the agency will
be deemed ineligible to receive future funding.

High Risk List
• Agencies will be placed on the High Risk
list for the following:
• Failing to provide documentation as stipulated in the
PTMISEA guidelines
• Repeatedly submitting reports with errors and fail to
revise information when requested.
• Failing to conform to the requirements of previous
awards.

High Risk List Continued
• Agencies will be placed on the High Risk
list for the following:
• Engage in the multiple reassignment of funds.
• Projects reporting 0% progress and/or failure to enter
into a contract one year after receiving an allocation.
• Special situations.

High Risk List Continued
• In addition to the random Spot Audits,
audit’s will be performed on a number of
agencies selected from the High Risk List.

Remaining Balances
• Now is an opportune time to request any
remaining appropriated funds.
• Submit allocation requests as soon as
ready.
• Tentative deadline is July 30, 2013 for the
anticipated fall bond sale.

Future Appropriations
• $800 million from the original $3.6 billion
remains to be appropriated in future
budget acts
• Revised Expenditure Plans should be
submitted by December 30, 2013 to
Caltrans

Expenditure Plan

Bond Accountability Website
www.bondaccountability.dot.ca.gov/bondacc/
Here you can find data on each project
that has received an allocation.
Includes links to the
• Delays or Obstacles Report
• Individual Closeout Reports

PTMISEA
Contacts
Districts 1 & 6 – Scott Kingsbury
(916) 654-5289
scott_kingsbury@dot.ca.gov
Districts 2, 3, & 9 – Jennifer
Louie
(916) 653-3276
jennifer_louie@dot.ca.gov
Districts 4, 10, 11, & 12 – Stefanie
Acton
(916) 654-8172
stefanie_acton@dot.ca.gov
Districts 5, 7 & 8 – Kevin Mariant
(916) 654-8179
kevin_mariant@dot.ca.gov

Q & A
Wendy King
PTMISEA Program Manager
1120 N Street
Sacramento, CA 95814
(916) 651-8239
Wendy_King@dot.ca.gov
http://www.dot.ca.gov/hq/MassTrans/Proposition-1B.html