California State Department of Transportation Project Development Workflow Tasks (PDWT)

TASK P001 (000.A)

Select Project Manager

Narrative

Under the project management approach, responsibility for project development and delivery is assigned to a single individual: the Project Manager. The Project Manager is responsible for all project development tasks from project initiation (Project Study Report process) to completion of construction. A Project Manager is assigned to every capital outlay and local agency project.

Initiator

• Deputy District Director for Project Development

Sub-Tasks

• Select the Project Manager (may be assigned to an individual project or groups of projects).
• Prepare a memo selecting the Project Manager.

Task Duration

• 1 - 2 days

References

• Project Management Procedures Manual
• Project Development Procedures Manual -- Chapter 2, Section 3

TASK P002 (000.A)

Prepare Preliminary Project Work Plan

Narrative

A Preliminary Project Work Plan identifies the basic elements of a proposed transportation improvement project and assesses the resource needs for delivering the project within an assigned time. It is not a static document; as project features and issues become identified, the Plan should be updated.

Initiator

• Project Manager

Sub-Tasks

• Make realistic assumptions regarding the basic elements that comprise the project's development process, including projected delivery date.
• Analyze the assumptions for validity:

- Will the project be compatible with Caltrans' overall goals?

- Will the project be acceptable to the community?

• Identify resources:

- Person Years (PYs) available now? Available later?

- Can consultants be used advantageously?

- Will project be programmable?

- Can local agencies help?

• Assign project personnel:

- Project Engineer (for some districts - Transportation Studies Unit Engineer)

- Project Development Unit and support units

• Prepare Preliminary Project Work Plan:

- Combine project features and potential project resources into Preliminary Project Work Plan, including proposed schedule.

• Obtain approval of Deputy District Director for Project Development.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 1, Section 5
• Project Management Procedures Manual

TASK P003 (000.A)

Identify Transportation Problem and Initial Project Scope

Narrative

Most major problems affecting traffic system operations have a long-standing, evident need: relocations around communities, relief for congested areas, closure of freeway gaps, etc. Newly identified transportation problems, however, require a brief preliminary investigation to determine if a problem does in fact exist. New problems are usually identified by Caltrans' monitoring systems or by requests for improvements from local agencies.

Identified transportation problems need to be scoped in order to determine the issues and the extent of possible corrective actions. The practicality of both temporary and long-range solutions should be assessed.

Initiator

• Project Engineer

Sub-Tasks

• Review data from the following:

- Internal sources:

Pavement Management System (PMS); Traffic Accident Surveillance and Analysis System (TASAS); Highway Operations; Maintenance; and the California Transportation Commission (mandates, etc.)

- External sources:

California Highway Patrol; other State, federal, and local agencies; developers; the public; etc.

• Identify the problem:

- Define the extent of the problem and identify possible corrective action.

- Check with Program Management for projects already on candidate lists that could provide a solution or reduce the problem.

- Identify potential funding.

• Prepare preliminary project data.

- Prepare a strip map from existing maps: previous projects, route adoptions or freeway agreements, county road maps, etc.

• Determine the project scope:

- Identify design features that will impact the region. For highways, such features might include location, length, number of lanes, preferential treatment for High Occupancy Vehicles, general spacing and location of interchanges, etc.

- Identify possible project alternatives and major issues.

- Contact local entities and the FHWA Transportation Engineer to discuss the project scope.

• Prepare a project scoping memo for Project Manager's approval.
• Establish project file utilizing the Uniform File System.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 1, Section 4; Chapter 1, Section 5; and Chapter 7
• Task P002

TASK P004 (000.A)

Select Project Development Team

Narrative

A PDT should be selected for each project. At a minimum, the PDT should include the Project Manager and representatives from the district's Project Development, Environmental, Traffic, Construction, Safety, Surveys and Maintenance Units, and the Right of Way Branch, and the regional transportation planning agency. Representatives from other agencies and functional units may be added as needed.

Initiator

• Project Manager

Sub-Tasks

• Prepare a memo designating the PDT members and the Team Leader.
• Obtain approval from the Deputy District Director for Project Development.

Task Duration

• 2 - 3 days

References

• Project Development Procedures Manual -- Chapter 8, Section 4

TASK P005 (000.A)

Conduct Field Review of Project Site

Narrative

The first field review is conducted to familiarize the Project Development Unit with the project location and with problems that may be associated with the project proposal. Ongoing field reviews should also be conducted on an as-needed basis.

Field reviews often identify project features that may otherwise go unnoticed. The reviews should focus on physical factors that may contribute to the transportation problem. The Right of Way Branch should participate whenever possible.

Initiator

• Project Engineer

Sub-Tasks

• Review project in the field:

- Request Right of Way Branch participation.

- Take photographs.

- Identify features that may become controls.

- Review the scoping assumptions.

• Prepare a memo summarizing the physical features observed.

Task Duration

• Two days per occurrence

References

• Task P003

TASK P006 (000.A)

Review Route Concept Report and District Systems Management Plan

Narrative

The Route Concept Report (RCR) and the District Systems Management Plan (DSMP) should be reviewed prior to preparation of the Project Study Report (PSR). The RCR describes current route conditions and the anticipated ultimate transportation development. The DSMP identifies and prioritizes the State Highway System's current and long-range operating conditions, deficiencies, and affordable solutions. Appropriate information from these products can be useful in the system planning section of the PSR.

Initiator

• Project Engineer

Sub-Tasks

• Review the RCR and the DSMP.
• Summarize background information for possible use in the preparation of the PSR.
• Send the summary to the PDT.

Task Duration

• 2 - 3 days

References

• Project Development Procedures Manual -- Chapter 1, Section 4
• Task P003

TASK P007 (000.A)

Review Related or Adjacent Studies

Narrative

Important background information can often be obtained from related or adjacent studies. A review of Project History Files and previously studied but suspended projects can provide a historical perspective to the current proposal.

Initiator

• Project Engineer

Sub-Tasks

• Obtain and review background information from previous project files that are relevant to the current project.
• Copy relevant material for the current proposal file.
• Send appropriate material to the PDT.

Task Duration

• 3 - 5 days

References

• Project History Files

TASK P008 (000.A)

Obtain "K" Phase EA and Initiate Project

Narrative

After the Preliminary Project Work Plan has been approved, the project development process can begin. The project initiation phase begins with the Project Study Report (PSR) process and results in approval of the PSR and inclusion of the project in a programming document.

Preparation of the PSR begins with an analysis to determine what data is needed.

Initiator

• Project Engineer

Sub-Tasks

• Obtain "K" phase Expenditure Authorization to record the PSR costs:

- Process Form No. FA-47 through the Project Management and Administration Units and obtain District Director approval.

• Review material obtained from the Route Concept Report, the District Systems Management Plan, and from previous related or adjacent studies.
• Establish project goals:

- Review the scoping assumptions.

- What may be done to solve the problem?

- Are the goals compatible with Caltrans' overall goals?

• Prepare a project description.
• Update the project strip map:

- The map should be updated to a detail and scale sufficient for use throughout the project development process. Major topographic features should be shown.

- Include project description.

• Validate planning decisions:

- When appropriate, the District Transportation Planning Branch should validate the decisions and recommendations for highway improvements.

• Identify data that will be needed, such as:

- Preliminary mapping

- Hazardous wastes data

- Preliminary materials and drainage information

- Environmental issues

- Landscape information

- Traffic data

- Preliminary structure studies

- Property lines and utility locations

- Land-use planning classifications

- Staffing requirements

- Programming and scheduling considerations

• Request input from the Division of Asset Management.

Task Duration

• 5 - 10 days

References

• Project Development Procedures Manual -- Chapter 8, Section 3
• Tasks P005, P006, and P007

TASK P009 (000.B)

Initiate Engineering Studies

Narrative

After the transportation problem has been clearly identified and project goals established, engineering studies may begin. Studies should focus on the physical characteristics of the project area, as well as on the engineering features and standards required to develop a project. Alternative solutions should be explored.

Initiator

• Project Engineer

Sub-Tasks

• Review the transportation problem and the project goals.
• Begin initial engineering studies:

- Review related studies for compatibility

- Identify and consider possible project alternatives. Value Analysis techniques should be utilized.

- Study possible horizontal and vertical alignments.

- Review field notes to determine typical cross-section controls.

- Review Highway Design Manual and AASHTO "A Policy on Geometric Design of Highways and Streets, 1990" for applicable standards.

- Identify areas of concern: environmental, hazardous waste, expensive right of way, foundation problems, traffic handling problems, graffiti problems, etc.

- Contact the Division of Asset Management for information that could affect engineering studies.

• Summarize studies, problems, and proposed solutions.
• Send summarizes to the Project Manager.

Task Duration

• 7 - 15 days

References

• Tasks P005, P006, and P007

TASK P010 (000.B)

Obtain Input From Local Entities

Narrative

Local entities are partners in planning regional transportation improvements. Their input is required in the earliest stages and continues throughout the process. The PDT should take the lead in coordinating planning activities.

Initiator

• Project Engineer

Sub-Tasks

• Identify local entities (cities, counties, regional planning agencies, boards, commissions, etc.) that may have an interest in the project.
• Arrange informal meetings with local entity staff to discuss scoping, issues, and project features.
• Prepare a summary report of local entity concerns and recommendations.
• Send the summary to the Project Manager and the PDT for review.

Task Duration

• 5 - 12 days

References

• Project Development Procedures Manual -- Chapter 9, Article 1

TASK P011 (000.B)

Obtain Appropriate Mapping

Narrative

Headquarters and the districts have existing mapping that may be useful in developing preliminary maps for the proposed project. These maps may be used for strip maps, base maps, etc.

Initiator

• Project Engineer

Sub-Tasks

• Obtain as-built files, highway inventory files, right of way record maps, county road maps, etc., for mapping that could be used as preliminary base or strip maps.
• Identify future mapping needs and discuss with District Photogrammetry Coordinator.
• Contact the Survey Unit and the Right of Way Branch for mapping needs.

Task Duration

• 5 - 15 days

References

• Task P007
• Users Guide to Photogrammetric Products and Services

TASK P012 (000.B)

Obtain Existing Data

Narrative

Task P008 initiated the project, established project goals, and identified data required for the Project Study Report. Much of this data can be obtained from Caltrans support units.

Initiator

• Project Engineer

Sub-Tasks

• Obtain available information from Caltrans units: Systems Planning, Environmental, Hydraulics, Hazardous Waste, Program Management, Right of Way, Photogrammetry, Asset Management, the Division of Structures, etc.
• Contact local entities for information.

Task Duration

• 10 - 15 days

References

• Task P008

TASK P013 (000.B)

Identify Project Alternatives

Narrative

Project alternatives must be identified and studied that will satisfy project goals, be cost effective, and avoid or minimize environmental and right of way impacts. The cost of each alternative must be estimated and schedules prepared.

Initiator

• Project Engineer

Sub-Tasks

• Identify and study project alternatives, including preliminary typical cross sections. Value Analysis techniques should be used.
• Plot alternatives on project strip map and show right of way requirements.
• Prepare preliminary project schedules. Important dates should include: approval of the Project Study Report and the Project Report, and tentative year of construction. The schedule should meet dates committed to by the district. PYPSCAN values may be used if they are adjusted for the project type.
• Obtain preliminary right of way costs.
• Request Division of Structures to provide structures estimates.
• Prepare an estimate for each alternative.
• Review estimates and schedules with the Project Control Unit.
• Prepare a summary of project alternatives, costs, and schedules.
• Obtain approval of the summary from the Project Manager.

Task Duration

• 5 - 15 days

References

• Project Development Procedures Manual -- Chapter 20 and Chapter 10, Section 4
• Tasks P003 and P009

TASK P014 (000.B)

Request Right of Way Data Sheet

Narrative

Under Task P013, right of way requirements and cost estimates were determined for the project alternatives. This information, although preliminary in nature, is adequate for use in the feasibility planning estimate.

A R/W (Right of Way) Data Sheet should now be requested to identify specific right of way details for the project alternatives. This information is required for preparation of the Project Study Report. Accurate mapping is essential, as its quality is important for the preparation of right of way estimates.

Initiator

• Project Engineer

Sub-Tasks

• Transmit strip maps and preliminary base maps to the Right of Way Branch and request R/W Data Sheets.

Task Duration

• 2 - 6 days

References

• Project Development Procedures Manual -- Chapter 3, Section 4
• Tasks P002 and P013

TASK P015 (000.B)

Request Traffic Forecasts

Narrative

Highway transportation projects are designed to service traffic for a specific number of years. Existing and projected traffic volumes are needed.

Initiator

• Project Engineer

Sub-Tasks

• Request the Traffic Forecasting Unit to provide traffic volumes for existing and design year traffic.

Task Duration

• 3 - 10 days

References

• Project Development Procedures Manual -- Chapter 3, Section 1
• Task P007

TASK P016 (000.B)

Request Available Materials Information

Narrative

Previous projects may provide information that is useful in the development of the proposed project, including: slope ratios, erosion and foundation problems, availability of structural section materials, etc. This information may affect studies and costs of project alternatives.

Initiator

• Project Engineer

Sub-Tasks

• Transmit a project strip map and proposed typical cross sections to the Materials Unit, requesting available materials information for the project.

Task Duration

• 3 - 7 days

References

• Tasks P011 and P012

TASK P017 (000.C)

Request Preliminary Environmental Evaluation

Narrative

Early recognition of environmental issues may help to avoid or minimize impacts on the environment and scenic resources. After performing preliminary engineering studies and identifying alternatives, a preliminary Environmental Evaluation should be requested.

Initiator

• Project Engineer

Sub-Tasks

• Request the Environmental Unit to conduct a preliminary evaluation for impacts on the environment and scenic resources. Provide a strip map that identifies project alternatives.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 3, Section 2
• Environmental Handbook
• Task P013

TASK P018 (000.C)

Review Need to Conduct an Initial Site Assessment

Narrative

A screening process is used to identify projects that are potentially exempt from requirements for conducting an Initial Site Assessment (ISA) for hazardous waste. Projects not requiring new right of way, significant excavation, structure demolition or modification, or utility relocation generally have a low risk for hazardous waste involvement, and normally do not require an ISA.

Initiator

• Project Engineer

Sub-Tasks

• Review the list of potentially exempt project types to determine if the proposed project is potentially exempt.
• Review determination with the Hazardous Waste Unit.
• Transmit findings to the Right of Way Branch and Environmental Unit for concurrence.
• Document determination of project exemption or necessity for an ISA.
• Obtain approval from the Project Manager.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 18, Article 2
• Environmental Handbook
• Task P017

TASK P019 (000.C)

Prepare Initial Site Assessment

Narrative

Projects not cleared by the screening process described in Task P018 will require an Initial Site Assessment (ISA) to determine if there is any known or potential hazardous waste within the proposed project limits. Generally, every project that includes new right of way acquisition, excavation, or structure demolition or modification will require at least an Initial Site Assessment.

Initiator

• Project Engineer

Sub-Tasks

• Request the district Hazardous Waste Unit to prepare an ISA for the project.
• Monitor the progress of the ISA for compliance with the project schedule.
• After the ISA has been completed, transmit the findings to the Environmental Unit and the Right of Way Branch, requesting concurrence.

Task Duration

• 10 - 25 days

References

• Project Development Procedures Manual -- Chapter 18, Article 2
• Task P018

TASK P020 (000.C)

Identify Potential Funding Sources

Narrative

Major State projects are developed and prioritized by program types. Those with highest priority are placed on the various statewide program priority lists and are entered into the STIP, SHOPP, Toll Bridge Program, and Traffic System Management Plan, as appropriate. Minor projects are prioritized by the districts and are not involved in the programming process. District Directors have the authority to determine which projects to develop subject to concurrence from the appropriate HQ Program Advisor.

Identifying potential funding sources is part of the project initiation phase; it should be studied and discussed in the PSR.

Initiator

• Project Engineer

Sub-Tasks

• Investigate funding sources, including regional and local entities.
• Consider substituting the proposed project for other projects already on priority lists or combining it with other projects.
• Prepare a memo documenting potential funding sources and decisions made.
• Obtain approval from the Project Manager.
• Obtain review from the PDT.

Task Duration

• 2 - 3 days

References

• Project Development Procedures Manual -- Chapter 4

TASK P021 (000.C)

Review for State-Only Funding

Narrative

Most Caltrans projects are funded by matching State funds with federal funds, to ensure use of the maximum amount of federal dollars. Most other projects are funded by (1) sales tax revenues, (2) 100% local funding, or (3) a combination of state and local funding (shared projects).

There are occasions when the use of State-only dollars is warranted. Typical circumstances include: (1) federal funds are not available, (2) noncompliance with a design standard precludes federal approval, (3) federal dollars for an "ultimate design" have already been spent for a route segment.

Initiator

• Project Engineer

Sub-Tasks

• Review State-only funding procedures with the Program Management Unit and the Division of Budgets.
• Discuss funding with the Project Development Coordinator.
• Prepare the request for State-only funding.
• Obtain Project Manager's review of the request.
• Transmit the request to the Division of Budgets.

Task Duration

• 2 - 3 days

References

• Task P020

TASK P022 (000.C)

Prepare Concept Geometrics

Narrative

Initial studies focused on the identification of preliminary alternatives for the project. A proposed typical section was prepared and horizontal and vertical alignments were studied. These preliminary studies should now be transformed into concept geometrics.

Initiator

• Project Engineer

Sub-Tasks

• Prepare the project alternatives, using computer drafting techniques, as appropriate.
• Review the Highway Design Manual for compliance with mandatory design standards. Identify potential need for exceptions to design standards.
• Review preliminary horizontal and vertical alignments and analyze preliminary earthwork balance.
• Obtain concurrence of concept geometrics from the Project Development Coordinator and, if appropriate, from the FHWA Transportation Engineer.
• Obtain Project Manager's review of the concept geometrics.

Task Duration

• 10 - 20 days

References

• Project Development Procedures Manual -- Chapter 2, Section 7, Article 1 and Chapter 27, Article 5
• Highway Design Manual
• Tasks P009 and P013

TASK P023 (000.C)

Prepare Traffic Management Plan for Concept Geometrics

Narrative

A Traffic Management Plan (TMP) is required for projects if significant traffic delays are anticipated during construction.

A TMP is developed to supplement construction traffic-handling practices such as lane closures, detours, and work-hour restrictions, in order to minimize delays and to maximize the safety of both the workers and the public.

Initiator

• Project Engineer

Sub-Tasks

• Project Engineer determines if construction activities will cause significant traffic delays.
• Establish a TMP team:

- After concept geometrics have been prepared, the Project Engineer confers with the PDT to determine if a TMP team should be formed.

- The PDT appoints a TMP Coordinator.

- The TMP Coordinator establishes a team, with representatives from Public Affairs, Project Development, Construction, Traffic Operations, Public Transportation, Maintenance, Structures, California Highway Patrol, FHWA, and other involved agencies. Appropriate members of the PDT should also be members of the TMP team.

- The PDT establishes an advisory committee, as appropriate.

• The TMP team prepares a TMP for concept geometrics:

- Determine the effect of construction on the work force, the traveling public, property owners, pedestrians, etc.

- Develop means for mitigating construction effects, using: traffic rerouting to local roads, transit and rideshare activities, public relations, service patrols, etc.

- Prepare estimates.

• The PDT concurs with the TMP.

Task Duration

• 5 - 15 days

References

• Traffic Management Plan Effectiveness Study
• Task P022

TASK P024 (000.C)

Obtain Advance Planning Studies for Structures

Narrative

After concept geometrics have been approved, advance planning studies for structures should commence. These studies are necessary to determine whether existing structures can be modified or if new structures will need to be built.

Initiator

• Project Engineer

Sub-Tasks

• On appropriate mapping, identify structures requiring advance planning studies.
• Prepare attachments showing horizontal and vertical alignments, typical section, and additional project information that may affect the studies.
• Submit a request for advance planning studies to the Office of Structure Design.
• The Office of Structure Design prepares the studies and sends them to the district.

Task Duration

• 15 - 20 days

References

• Project Development Procedures Manual -- Chapter 3, Section 8
• Tasks P013 and P022

TASK P025 (000.C)

Obtain Preliminary Materials Information

Narrative

Available materials information was obtained during Task P016. This information may be adequate to develop horizontal and vertical alignments, but may not identify problem areas. If questionable material areas are identified, a materials investigation is required.

Initiator

• Project Engineer

Sub-Tasks

• Prepare information that may be useful for the materials investigation, including strip map, concept geometrics, and proposed typical section.
• Request the Materials Unit to field review the project area for locations of material instability, unsuitable material, excess water, etc.
• The Materials Unit performs the field review, reports results, and recommends preliminary structural sections to the Project Engineer.

Task Duration

• 5 - 20 days

References

• Project Development Procedures Manual -- Chapter 3, Section 6
• Tasks P016 and P022

TASK P026 (000.C)

Conduct Value Analysis Study (PSR)

Narrative

Value Analysis (VA) is the systematic application of recognized analysis techniques to identify a product's function and is a method to provide the function at the lowest overall cost. The VA process should be initiated at the project initiation phase.

Initiator

• Project Engineer

Sub-Tasks

• Review Value Analysis procedures.
• Assist the district VA Coordinator in identifying VA team members.
• Contact OPPD VA/Resource Conservation (RC) for assistance.
• Schedule study and arrange resources.
• Conduct 40 to 60 hour VA study.
• Present recommendations to district management and the PDT.
• Submit a VA Workbook and Report to OPPD VA/RC.

Task Duration

• 15 - 45 days

References

• Project Development Procedures Manual -- Chapter 19

TASK P027 (000.C)

Review Project Alternatives

Narrative

Previous activities identified project alternatives, which were developed into concept geometrics. These alternatives should now be reviewed to ensure that they meet project goals.

Initiator

• Project Engineer

Sub-Tasks

• Review project alternatives considering community impacts, traffic handling problems (staging, detours), cost, schedule, environmental and hazardous waste issues, and right of way requirements.
• Determine if the project alternatives will solve the identified problems and satisfy project goals. Caltrans units, such as Value Analysis, Office of Asset Management, Traffic Operations, and Right of Way, should provide input for the evaluation.
• Obtain concurrence from the Project Development Coordinator, the Geometric Reviewer, and if appropriate, the FHWA Transportation Engineer.
• Prepare a memo for the Project Manager that identifies and analyzes project alternatives.

Task Duration

• 3 - 7 days

References

• Project Development Procedures Manual -- Chapter 8, Section 6 and Chapter 3
• Task P023

TASK P028 (000.C)

Complete Preliminary Environmental Evaluation

Narrative

A preliminary Environmental Evaluation was requested by Task P017. This evaluation is essential in the preparation of the Project Study Report (PSR) and needs to be completed before finalizing the PSR.

Initiator

• Project Engineer

Sub-Tasks

• Identify project issues and impacts that could significantly delay the project or affect the viability of the project alternatives.
• Determine the studies that will be required during the environmental evaluation.
• Identify the environmental documentation that will be required and develop a tentative schedule for its completion.
• Identify the Lead Agency.
• Complete the preliminary Environmental Evaluation.

Task Duration

• 1 - 6 days

References

• Project Development Procedures Manual -- Chapter 3, Section 2
• Task P017

TASK P029 (000.C)

Review Project for Potential Permit Requirements

Narrative

Many entities require that permits be issued before a project can be constructed. These permits often require mitigation actions, so it is essential that potential permits be identified at the earliest stage.

Initiator

• Project Engineer

Sub-Tasks

• Review preliminary Environmental Evaluation.
• Identify entities that may require permits. Obtain concurrence from the Environmental Unit.
• Send a memo to the Project Manager that identifies permits that may be required for the project.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 13, Article 2
• Environmental Handbook
• Task P019, P022, P027, and P028

TASK P030 (000.D)

Prepare Draft Project Study Report (PSR)

Narrative

After receiving requested information from Caltrans support units, a draft Project Study Report (PSR) should be prepared.

Initiator

• Project Engineer

Sub-Tasks

• Review information acquired from support units.
• Prepare an outline listing the project features, possible project alternatives, relinquishments, conclusions, costs, schedules, and attachments.
• Prepare a preliminary cost estimate for each of the alternatives.
• Review the draft PSR and estimates with the Project Manager.
• Finalize the draft PSR and estimates.

Task Duration

• 7 - 15 days

References

• Project Development Procedures Manual -- Chapter 9, Article 3; Chapter 20; and Chapter 25
• Tasks P013 and P027

TASK P031 (000.D)

Circulate Draft PSR for Review

Narrative

Preparation of the draft Project Study Report (PSR) required input from functional units. These units must now review and comment on the draft.

Initiator

• Project Engineer

Sub-Tasks

• Transmit the draft PSR to the functional units, requesting review.
• If appropriate, request review by the FHWA and local entities.
• Review the draft PSR with the Project Development Coordinator.

Task Duration

• 10 - 15 days

References

• Task P030

TASK P032 (000.D)

Prepare Appropriate Fact Sheet for Exceptions to Design Standards

Narrative

Exceptions to Mandatory or Advisory Design Standards must be documented by preparing a Fact Sheet, in accordance with Highway Design Manual, Topic 82.

Initiator

• Project Engineer

Sub-Tasks

• Discuss proposed exceptions to Mandatory or Advisory Design Standards with the Project Development Coordinator, the Geometric Reviewer, and if appropriate, with the FHWA Transportation Engineer.
• Discuss proposed exceptions to guardrail standards with the Traffic Operations Liaison Engineer.
• Prepare appropriate Fact Sheet for exceptions to design standards.

Task Duration

• 7 - 12 days

References

• Project Development Procedures Manual -- Chapter 21
• Highway Design Manual -- Topic 82

TASK P033 (000.D)

Approve Fact Sheet for Exceptions to Advisory Design Standards

Narrative

While exceptions to Mandatory Design Standards must be approved by the Project Development Coordinator, exceptions to Advisory Design Standards require approval by the appropriate functional Office Chief.

Initiator

• Project Engineer

Sub-Tasks

• Obtain the Project Manager review of the Fact Sheet containing proposed exceptions to Advisory Design Standards.
• Obtain approval from the appropriate Office Chief.
• Send two copies of the approved Fact Sheet to OPPD.

Task Duration

• 1 - 2 days

References

• Task P032

TASK P034 (000.D)

Approve Fact Sheet for Exceptions to Mandatory Design Standards

Narrative

Exceptions to Mandatory Design Standards must be approved by the Project Development Coordinator (PDC) and if appropriate, by the FHWA. The PSR shall not be signed prior to approval of exceptions to mandatory design standards.

Initiator

• Project Engineer

Sub-Tasks

• Exceptions to Mandatory Design Standards must be approved by the Project Development Coordinator (PDC) and if appropriate, by the FHWA. The PSR shall not be signed prior to approval of exceptions to mandatory design standards.
• The Caltrans Project Manager must sign the cover sheet.
• Arrange a meeting with the PDC to obtain Fact Sheet approval.
• Send two copies of the approved Fact Sheet to OPPD.
• If appropriate, send one copy of the PDC-approved Fact Sheet to FHWA, requesting approval.
• The signed original Fact Sheet and FHWA approval letter shall each be filed in the Project History File.

Task Duration

• 2 - 7 days

References

• Task P032

TASK P035 (000.D)

Review of PSR by Project Development Team

Narrative

The PDT is responsible for directing project studies and for making recommendations to district management. This includes reviewing the final draft of the Project Study Report (PSR).

Initiator

• Project Engineer

Sub-Tasks

• Contact the Project Manager and PDT leader to arrange a meeting to review the PSR.
• PDT examines material previously sent to them, as well as other material relevant to preparation of the PSR.
• PDT determines if the project alternatives in the PSR meet the project goals.
• Project Engineer documents the PDT's recommendations.

Task Duration

• 2 - 3 days

References

• Task P031

TASK P036 (000.D)

Complete PSR

Narrative

Comments from Caltrans functional units and the PDT should be considered for incorporation into the Project Study Report (PSR) before it is finalized.

Initiator

• Project Engineer

Sub-Tasks

• Review comments on the draft PSR.
• Discuss issues with units making comments; reconcile differences.
• Incorporate comments into the PSR - or document reasons for their omission. Send documentation of actions to units that submitted comments.
• Submit the PSR to the Project Manager, Deputy District Directors, and District Director for review.

Task Duration

• 4 - 7 days

References

• Task P035

TASK P037 (000.D)

Obtain FHWA Concept Approval for Interstate System Projects

Narrative

Early approval of the project concept must be obtained from the FHWA for most projects on the Interstate System. Special attention must be given to projects with proposed new access points to the Interstate System.

Initiator

• Project Engineer

Sub-Tasks

• Prepare a transmittal letter requesting FHWA conceptual approval of the project.
• Transmit the letter, along with the draft PSR (or approved PSR if available), to the FHWA Division Administrator.
• After approval, send two copies of the approval memo to OPPD.

Task Duration

• 5 - 20 days

References

• Project Development Procedures Manual -- Chapter 2, Section 7, Article 1 and Chapter 27
• Tasks P030 and P036

TASK P038 (000.D)

Obtain PSR Approval

Narrative

The final step in project initiation is to obtain the District Director's approval of the Project Study Report (PSR).

Initiator

• Project Engineer

Sub-Tasks

• Route the PSR to the Project Manager, Deputy District Directors, and District Director for approval.
• Request update of PMCS estimate.
• Transmit 2 copies of the approved PSR to OPPD. Send copies (without priority rating sheets) to appropriate local and regional entities.

Task Duration

• 2 - 5 days

References

• Project Development Procedures Manual -- Chapter 9, Article 2

TASK P039 (000.D)

Prepare Draft Cooperative Agreement for Preliminary Studies

Narrative

Streets and Highways Code Sections 114 and 130 provide for entering into Cooperative Agreements with cities, counties and other public entities. Cooperative Agreements formalize features such as who performs certain preliminary studies and how the cost is distributed. The Project Study Report (PSR) is usually the document authorizing a cooperative agreement. If there is no special funding, there is no need for a cooperative agreement.

Initiator

• Project Engineer

Sub-Tasks

• Review the draft PSR and identify proposed cooperative features.
• Review the forms in the Cooperative Agreement Manual for a suitable preapproved form.
• If preapproved forms are not suitable, request the assistance of the District Cooperative Agreement Coordinator.
• Prepare the draft agreement, using proper format and the cooperative features identified in the PSR.

Task Duration

• 4 - 7 days

References

• Project Development Procedures Manual -- Chapter 13, Article 3 and Chapter 9, Article 2
• Cooperative Agreement Manual

TASK P040 (000.E)

Request District Units to Review Draft Cooperative Agreement for Preliminary Studies

Narrative

If the Project Study Report (PSR) identified proposed cooperative features, a draft Cooperative Agreement should also be reviewed by affected district units to determine if the agreement is compatible with the PSR.

Initiator

• Project Engineer

Sub-Tasks

• Transmit the draft Cooperative Agreement to affected units for review. Be sure to include the district Resource Manager in the review process for fund certification.

Task Duration

• 10 - 15 days

References

• Task P039

TASK P041 (000.E)

Request Local Entity to Review Draft Cooperative Agreement for Preliminary Studies

Narrative

The draft Cooperative Agreement should be sent to the District Cooperative Agreement Coordinator (or District Contracts Officer) for review and for assignment of a District Agreement Number. The draft agreement is then sent to the affected local entity for review.

Initiator

• Project Engineer

Sub-Tasks

• Transmit the draft Cooperative Agreement to the District Cooperative Agreement Coordinator, requesting review and assignment of a District Agreement Number.
• After a District Agreement Number has been assigned, send a copy of the draft Cooperative Agreement to the local entity requesting review.

Task Duration

• 20 - 30 days

References

• Task P039

TASK P042 (000.E)

Prepare Revised Draft Cooperative Agreement for Preliminary Studies

Narrative

Comments from affected district units, the District Cooperative Agreement Coordinator, and local entity should be incorporated into the draft Cooperative Agreement before it is finalized.

Initiator

• Project Engineer

Sub-Tasks

• Review comments on the draft agreement.
• Discuss and reconcile issues with responding units or local entity.
• Incorporate comments into the draft agreement or document reasons for omission.
• Send documentation of actions to appropriate district units and local entity.

Task Duration

• 1 - 3 days

References

• Tasks P040 and P041

TASK P043 (000.E)

Request OPPD Approval of Draft Cooperative Agreement for Preliminary Studies

Narrative

Unless preapproved forms are used, a draft Cooperative Agreement must have a technical and legal review and approval in OPPD before it is submitted to the participating parties for execution.

Initiator

• Project Engineer

Sub-Tasks

• If preapproved forms were not used, transmit the draft Cooperative Agreement to OPPD for technical and legal reviews and approvals. Attach the authorizing document.

Task Duration

• 15 - 20 days

References

• Project Development Procedures Manual -- Chapter 16
• Cooperative Agreement Manual

TASK P044 (000.E)

Complete Cooperative Agreement for Preliminary Studies

Narrative

After receiving comments and approval from OPPD, the final agreement should be prepared for submittal to the participating parties for execution.

Initiator

• Project Engineer

Sub-Tasks

• Review OPPD's comments.
• Provide the participating party with an explanation of the revisions. Subsequent changes or recommendations must be approved by OPPD.
• Complete the cooperative agreement for execution.

Task Duration

• 2 - 5 days

References

• Cooperative Agreement Manual
• Task P043

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This web site last modified August 12, 1997.