California State Department of Transportation

Project Development Workflow Tasks (PDWT)

PYPSCAN Milestone 000

Identify Project Need and Begin Project Studies

(Click on highlighted Task to see detailed information.)

 Planning
Task
Number

Planning Tasks (P001-P044) 

Milestone
Task Group
 
 Last Update

P001
Select Project Manager

(000.A)

11/28/94

P002
Prepare Preliminary Project Work Plan

(000.A)

11/28/94

P003
Identify Transportation Problem and Initial Project Scope

(000.A)

11/28/94

P004
Select Project Development Team

(000.A)

11/28/94

P005
Conduct Field Review of Project Site

(000.A)

11/28/94

P006
Review Route Concept Report and District Systems Management Plan

(000.A)

11/28/94

P007
Review Related or Adjacent Studies

(000.A)

11/28/94

P008
Obtain "K" Phase EA and Initiate Project

(000.A)

11/28/94

P009
Initiate Engineering Studies

(000.B)

11/28/94

P010
Obtain Input from Local Entities

(000.B)

11/28/94

P011
Obtain Appropriate Mapping

(000.B)

11/28/94

P012
Obtain Existing Data

(000.B)

11/28/94

P013
Identify Project Alternatives

(000.B)

11/28/94

P014
Request Right of Way Data Sheet

(000.B)

11/28/94

P015
Request Traffic Forecasts

(000.B)

11/28/94

P016
Request Available Materials Information

(000.B)

11/28/94

P017
Request Preliminary Environmental Evaluation

(000.C)

11/28/94

P018
Review Need to Conduct an Initial Site Assessment

(000.C)

11/28/94

P019
Prepare Initial Site Assessment

(000.C)

11/28/94

P020
Identify Potential Funding Sources

(000.C)

11/28/94

P021
Review for State­Only Funding

(000.C)

11/28/94

P022
Prepare Concept Geometrics

(000.C)

11/28/94

P023
Prepare Traffic Management Plan for Concept Geometrics

(000.C)

11/28/94

P024
Obtain Advance Planning Studies for Structures

(000.C)

11/28/94

P025
Obtain Preliminary Materials Information

(000.C)

11/28/94

P026
Conduct Value Analysis Study (PSR)

(000.C)

11/28/94

P027
Review Project Alternatives

(000.C)

11/28/94

P028
Complete Preliminary Environmental Evaluation

(000.C)

11/28/94

P029
Review Project for Potential Permit Requirements

(000.C)

11/28/94

P030
Prepare Draft Project Study Report (PSR)

(000.D)

11/28/94

P031
Circulate Draft PSR for Review

(000.D)

11/28/94

P032
Prepare Appropriate Fact Sheet for Exceptions to Design Standards

(000.D)

11/28/94

P033
Approve Fact Sheet for Exceptions to Advisory Design Standards

(000.D)

11/28/94

P034
Approve Fact Sheet for Exceptions to Mandatory Design Standards

(000.D)

11/28/94

P035
Review of PSR by Project Development Team

(000.D)

11/28/94

P036
Complete PSR

(000.D)

11/28/94

P037
Obtain FHWA Concept Approval for Interstate System Projects

(000.D)

11/28/94

P038
Obtain PSR Approval

(000.D)

11/28/94

P039
Prepare Draft Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

P040
Request District Units to Review Draft Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

P041
Request Local Entity to Review Draft Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

P042
Prepare Revised Draft Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

P043
Request OPPD Approval of Draft Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

P044
Complete Cooperative Agreement for Preliminary Studies

(000.E)

11/28/94

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

- Will the project be compatible with Caltrans' overall goals?
- Will the project be acceptable to the community?
- Person Years (PYs) available now? Available later?
- Can consultants be used advantageously?
- Will project be programmable?
- Can local agencies help?
- Project Engineer (for some districts - Transportation Studies Unit Engineer)
- Project Development Unit and support units
- Combine project features and potential project resources into Preliminary Project Work Plan, including proposed schedule.

Task Duration

References

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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

Sub-Tasks

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

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

- Request Right of Way Branch participation.
- Take photographs.
- Identify features that may become controls.
- Review the scoping assumptions.

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

- Process Form No. FA-47 through the Project Management and Administration Units and obtain District Director approval.
- Review the scoping assumptions.
- What may be done to solve the problem?
- Are the goals compatible with Caltrans' overall goals?
- 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.
- When appropriate, the District Transportation Planning Branch should validate the decisions and recommendations for highway improvements.
- 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

Task Duration

References

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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

Sub-Tasks

- 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.

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

- 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.
- 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.

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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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

Sub-Tasks

Task Duration

References

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This web site last modified August 12, 1997.

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