Chapter 18 — Maintenance

The permanent obligation passed through the Master Agreement

23 USC §116 states that Caltrans is responsible for maintaining (or causing to be maintained) any project constructed with Federal-aid funds and all bridges carrying Federal-aid routes. Responsibility for maintaining local Federal-aid projects is passed on to the LPA through the Local Agency-State Master Agreement (see LAPM Ch 4: Agreements).

Annexation rule: The annexation by a city of territory in the county that contains all or part of a Federal-aid project transfers the maintenance responsibility of that project to that city. This responsibility is expected to be enforced during the service life of the project.

SHC §823.5 — The State Controller Backstop

If the LPA fails to perform required maintenance, Streets and Highways Code §823.5 authorizes Caltrans to perform the maintenance itself. Caltrans then notifies the State Controller of its maintenance expenditures. The State Controller deducts from future apportionments to that county or city, the amount certified by the Director of Caltrans, from the Highway Users Tax Account (HUTA) in the Transportation Tax Fund, and places that amount in the State Highway Account (SHA).

This is the same offset mechanism as the FROE discrepancy enforcement in Ch 17. The LPA's gas-tax apportionment can be reduced to offset Caltrans' direct maintenance expenditures on the LPA's roads.

SHS Maintenance Agreements

LPA projects on the State Highway System that create a maintenance responsibility must be covered in a Caltrans maintenance agreement, or an amendment to an existing maintenance agreement. Policy in PDPM and Ch 2.

"These agreements are to be executed preferably during the project development process and no later than the start of construction."

Scope of "Maintenance"

"Maintenance includes not only the preservation of the general physical features of the roadway, roadside, and surfacing, but also the preservation of all safety and regulatory features, devices and appurtenances built into the project."

2-year intervals, load capacity posting, written Bridge Report

Bridges located on public roads under LPA jurisdiction — whether or not they were constructed with federal funds — are inspected by the State at approximately two-year intervals. The inspection is conducted in accordance with the National Bridge Inspection Standards (NBIS) and the Caltrans Maintenance Manual.

The LPA may conduct its own inspection in accordance with NBIS standards, using its own forces or consultants — but the State default is biennial inspection by Caltrans.

Load Capacity and Posting

During the initial investigation and report writing stage, bridges are analyzed to determine their load carrying capacity. If necessary, posting recommendations are made at that time. If subsequent investigations indicate that posting may be required or revised because of deterioration, neglect, or other causes, additional analyses are made.

Additional studies and analyses may be made at any time by the State at the LPA's written request. The LPA receives two copies of the written Bridge Report.

Posting is a load-limit notice (e.g., "10 TONS / 15 TONS WITH 3 AXLES") that restricts vehicle weight on the bridge. Failure to post a recommended-for-posting bridge can create both safety liability and federal-aid eligibility consequences.

DLAE reviews, Exhibit 18-A checklist, remediation pathway

Caltrans is responsible for administering the Local Assistance program and must review the condition of local Federal-aid roads for general compliance. The primary concern of the maintenance review is whether Federal-aid highway projects are maintained at an acceptable level of physical integrity and operation.

From Ch 2 §2.11.6: "Annually, Caltrans reviews project maintenance for selected LPAs using Federal-aid funds so that every agency is covered during a four-year cycle." Each of StanCOG's 11 member jurisdictions can expect a maintenance review at minimum every four years — more frequently if deficiencies are identified.

The DLAE performs maintenance reviews:

• If/when requested by the LPA
• When deficiencies are identified
• Based on prior experience with the LPA
• As part of program/process reviews (the 4-year cycle)

All deficiencies must be discussed with the LPA and adequate time allotted to correct. Major deficiencies left uncorrected should be discussed with HQ DLA to determine what further action should be taken. Comments and follow-up actions should be included on the Maintenance Review Checklist (Exhibit 18-A) where appropriate.

"Should an unsatisfactory condition be observed which threatens the integrity of the project that was constructed with federal funds, it should be brought to the attention of the appropriate local officials so that corrective measures may be taken in time to avoid an official action from the federal authorities."

Annual mileage certification — and the funding that depends on it

The SHC confers upon the Board of Supervisors of the various counties the authority, duties, and limitations regarding the establishment and maintenance of the county road system. The cooperative effort between County Road Commissioners and Caltrans District Directors is subject to administrative review by the Division of Research, Innovation and System Information (DRISI).

Why the Certification Matters

Six Criteria for Maintained County Road Eligibility

For certification to the State Controller, a maintained county road must meet ALL of:

1. An existing road actually maintained by the county or its agent — planned, unbuilt roads are NOT eligible
2. Traversable by ordinary automobile except for seasonal closure by snow or occasional closure for repair/reconstruction
3. Have become county roads through due legal processes — cannot become county roads through mere public use or arbitrary opinion
4. Open to the general public — roads from which the public is barred do not qualify
5. Public alleys that function like public roads can qualify as public roads — but these would never be classified functionally high enough to be eligible as a Federal-aid highway
6. Located outside of incorporated cities — the Collier-Burns Act limits certification to unincorporated territory

Exceptions to criterion #6:

• SHC §2004.5: any city that has not held an election of municipal officers in 10 years — applies only to Hornitos (Mariposa County), Markleeville (Alpine County), and Meadowlake (Nevada County)
• SHC §1732: any county which, since January 1, 1961, adopted a county highway bond issue — applies only to Santa Clara County

SHC §2121 — The May Submittal Procedure

SHC §2121 reads:

• (a) In May of each year, each county shall submit to Caltrans any additions or exclusions from its mileage of maintained county highways, specifying the termini and mileage of each route added or excluded. Caltrans shall either approve or disapprove each such inclusion or exclusion. A county may appeal any disapproval per SHC §74. Caltrans certifies county mileage figures to the Controller as required. No appeal shall affect any apportionment made by the Controller pending determination of the appeal. If, on appeal, additional mileage is allowed, Caltrans shall immediately certify the corrected figure.
• (b) Upon relinquishing any state highway or portion thereof to a county, Caltrans shall immediately certify to the Controller the mileage so relinquished, and the same shall immediately be added to the county's maintained mileage for purposes of subsequent apportionment.

Action Sequence

Counties: Submit in May (preferably early in the month) to give Caltrans time for orderly June 30 certification. Each County Road Commissioner presents corrected mileage figures to the DLAE in the form of a Board of Supervisors resolution (Exhibit 18-B: Sample Resolution) with corrected maps and tabulations. Resolution attachment: one complete set of previous year's HPMS or EDP tabulation with all changes marked in color (orange reserved for district corrections).

Counties may use their own tabulations instead of Caltrans EDP, provided a complete list of changes and a complete tabulation showing the revised system are submitted. The total on the resolution must agree with the total on the attached tabulation.

Counties must claim in May any additions that would become effective on the following July 1 by law or by prior agreement. Counties must also delete mileage lost to cities through annexations (per Cal Gov Code §57384, counties continue maintenance of roads in newly incorporated territory through June 30 following incorporation; deletions appear on May submittals).

District: The DLAE checks resolutions, maps, and tabulations against each other and against month-to-month changes record. Necessary corrections to county EDP tabulations are marked in orange. Each district submits a mileage certification to DRISI not later than June 15, but preferably earlier.

Headquarters: Annual district reports are combined in Caltrans' July 1 certification to the State Controller. This certification is used as the basis for SHC §2103 monthly apportionment from the Highway User's Tax Fund over the ensuing fiscal year.

Month-to-Month Changes: On the first working day of each month, DRISI compiles a new tabulation for each county as of the last working day of the preceding month. Transmitted to the State Controller with a similar certificate. Generally limited to SHS relinquishments and error corrections.

Boundary Lines and Intersection Mileage

A road on a county line, or crossing a county line, may be maintained by one county and be eligible for inclusion in that county's maintained system provided there is an agreement certified by resolutions of the Boards of Supervisors of both counties. Copies forwarded to DRISI. Boundary line road mileage may be divided in any manner agreeable to the agencies, but the sum must equal the total length. Dividing transversely in segments is preferable to dividing along the centerline.

Roads measured through intersections regardless of overlapping mileage caused. Roads terminating at an intersection measured from intersection of centerlines, except where roads terminate at a state freeway (then mileage to end of county maintenance).

Undercrossings and Overcrossings: County roads carried across state freeways via separations, within state R/W, are NOT relinquished to local jurisdiction, yet they are included as a county responsibility in maintenance agreements and are eligible for inclusion in the county's maintained mileage. Relocation of a county road at its crossing of a freeway may result in either a decrease or an increase in the length of the county road. Such changes will not be made until May, following completion of the state highway construction project.

Errors and Relinquishments

To correct errors in previous certifications, maintained mileage of any county may be changed in any monthly certification to the Controller — initiated by county, district, or DRISI. Errors discovered by county or district should be mutually verified and agreed upon before submission to DRISI.

SHS Relinquishments by CTC: Upon receipt of assurance from HQ R/W Program, relinquishments become effective. DRISI adds the relinquished mileage to the maintained mileage of the concerned county.

Maintained Mileage Reports and CRS map precedence

LPAs submit annually their Maintained Mileage Reports to Caltrans District Coordinators. The Maintained Mileage Report should accurately summarize in tabular format the existing functional classification system of roadways. The District Coordinator reviews and forwards to the HPMS Branch at Caltrans Headquarters.

Functional Classification Change Requests, which include CRS maps, are submitted separately from the tabular Maintained Mileage Reports. LPAs may submit Functional Classification Change Requests to their DLAE year-round. See https://dot.ca.gov/programs/research-innovation-system-information/office-of-highway-system-information-performance/functional-classification for Functional Classification Guidelines.

The DLAE reviews and forwards to the Highway System Engineering (HSE) Branch at Caltrans HQ. FHWA reviews and provides final approval for functional classification change requests by stamping and signing the CRS maps.