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California State Department of Transportation
Project Development Workflow Tasks (PDWT)
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PYPSCAN Milestone 100
Approve Draft Project Report
(Click on highlighted Task to see detailed information.)
TASK P161 (100.A)
Obtain Master Distribution and Invitation Lists
Narrative
Public hearings may be held for projects that have significant social,
economic, or environmental impacts. The hearings are held to inform the
public of the project and to obtain formal public input. The first step
is to obtain a master distribution and invitation list for those groups,
individuals, and entities who may have an interest in the project.
Initiator
Sub-Tasks
- Review list of those who should be invited.
- Review list with the Public Affairs Officer responsible for maintaining
the list and mailing the invitations.
Task Duration
References
TASK P162 (100.A)
Identify Public Comment Period, Date and Location
of Public Hearing
Narrative
Public comment periods for State and federal documents differ, so it
is necessary to determine the applicable controlling schedule.
Initiator
Sub-Tasks
- Ensure that the public comment period for the applicable Draft environmental
document conforms to the criteria established in the Environmental Handbook.
- Meet with the PDT and appropriate entities to discuss possible dates
and locations for the public hearing, taking into consideration the circulation
period of the Draft environmental document.
- Obtain District Director's approval of date and location.
Task Duration
References
TASK P163 (100.A)
Prepare Notices Regarding Public Hearing and Availability
of Draft Environmental Document
Narrative
A public hearing may be held for projects with significant social, economic,
or environmental impacts. Projects with lesser impacts tend to be noncontroversial
and the public or a local entity are not likely to request a public hearing;
for these projects it is usually adequate to provide the public with the
opportunity for a hearing. In either case, the public must be notified
of the availability of the Draft environmental document.
Initiator
Sub-Tasks
- Prepare draft notices of the public hearing (or of the opportunity
for a public hearing) and the availability of the Draft environmental document.
- Review draft notices with the Project Manager and the Public Affairs
Officer.
Task Duration
References
TASK P164 (100.A)
Obtain FHWA Approval to Circulate Draft Environmental
Document
Narrative
The FHWA may have reviewed the Draft environmental document during development
of the Draft Project Report. However, FHWA approval is required to circulate
the Draft environmental document.
Initiator
Sub-Tasks
- Send the following documents to FHWA:
- Cover Sheet signed by District Director
- Five copies of the Draft Negative Declaration or six copies of the
Draft Environmental Impact Report
- Two copies of backup reports
- FHWA signs and returns the Cover Sheet. FHWA approval may be contingent
on some revisions, prior to circulation.
Task Duration
References
TASK P165 (100.A)
Prepare Draft Environmental Document for Circulation
Narrative
After the Draft environmental document has been completed and the District
Director and FHWA (if required) approval to circulate have been obtained,
the document is prepared for circulation.
Initiator
Sub-Tasks
- Prepare and reproduce required copies of the Draft environmental document.
Task Duration
References
- Environmental Handbook
- Task P164
TASK P166 (100.B)
Execute Cooperative Agreement with Local Entities
for PS&E
Narrative
The approved Draft Project Report authorizes Cooperative Agreements
with local entities and specifically identifies items to be covered by
such agreements; such as responsibility for cost and preparation of the
PS&E. Following approval of the draft agreement by OPPD (or by use
of preapproved forms), the Cooperative Agreement is executed by the local
entity and the District Director.
Initiator
Sub-Tasks
- Send three original agreements to the local entity with a request for
execution of the Cooperative Agreement.
- Following return of the executed agreement, route the three originals
to the District Director for signature.
- Send executed agreements to OPPD for legal concurrence and filing.
Task Duration
References
TASK P167 (100.B)
Review Need for Consultant Services for PS&E
Narrative
The process of contracting for consultant services requires the participation
of involved Caltrans' functional units and, when appropriate, the Department
of General Services. After the Draft Project Report has been approved,
a decision must be made whether to develop the PS&E by contract or
with Caltrans' staff.
Initiator
Sub-Tasks
- Meet with the district Consultant Services Unit and the Project Engineer
to discuss the project delivery schedule and resource needs.
- If it is advantageous for Caltrans to procure consultant services,
document the scope of the services and the reasons why use of a consultant
is recommended. Include justification for proposed deviations from standard
contracting procedures.
- Obtain approval of the Deputy District Director for Project Development.
Task Duration
References
TASK P168 (100.B)
Initiate Contracting-Out Process for Consultant
Services for PS&E
Narrative
After the decision has been made to contract out the preparation of
the PS&E, it is important to initiate the process as soon as possible
to avoid potential delays.
Initiator
Sub-Tasks
- Appoint a Contract Manager, who will be responsible for managing the
contracting process, including coordination with involved functional units.
- Contract Manager contacts local entities within the project area to
see if they are qualified and willing to do the work. If so, an agreement
is developed and executed with each local entity.
- Contract Manager prepares a Service Contract Request and submits to
the District Contracts Office.
- Contract Manager prepares a Contracting-Out Report and Contract Schedule
for approval by the Project Manager, the Project Engineer, the District
Consultant Services representative, and the appropriate District Deputy
Director.
- District Consultant Services representative verifies that funds are
available for the contract.
- District Consultant Services representative sends a copy of the completed
Contracting-Out Report to the HQ Consultant Services Branch. HQ Consultant
Services Branch will process the report through the Office of Civil Rights
to address goals for Disadvantaged Business Enterprises or Minority Business
Enterprises and Women Business Enterprises.
- Contract Manager, in coordination with the Project Engineer, initiates
development of a detailed Statement of Work for the contract, as well as
a Caltrans estimate of hours and costs for the work.
Task Duration
References
- Project Development Procedures Manual -- Chapter
2, Section 8
- A & E Consultant Services Manual
- Services Contracts Manual
- Task P167
TASK P169 (100.B)
Advertise for Consultant Services for PS&E
Narrative
Caltrans has standardized procedures for advertisement, to ensure a
wide distribution to qualified firms and to ensure compliance with applicable
laws. In almost all cases, the advertising process is handled by the HQ
Consultant Services Branch, in cooperation with the HQ Contracts Service
Office.
Initiator
Sub-Tasks
- The HQ Consultant Services Branch prepares a Request for Qualifications
(RFQ), which includes a description of work to be performed by the consultant
and specifies requirements for the Statement of Qualifications that is
submitted by consultants in response to the RFQ. The RFQ is based on the
information contained in the Contracting-Out Report.
- The HQ Consultant Services Branch mails the RFQ to firms on the Caltrans
Consultant Roster and ensures that the availability of the RFQ is advertised
in the California State Contracts Register and is made available to appropriate
engineering organizations.
- The Project Manager and Contract Manager ensure that district personnel
do not respond to consultant requests for information about the contract,
except through appropriate channels. All contacts and responses must be
documented.
Task Duration
References
TASK P170 (100.B)
Select Consultant for PS&E
Narrative
The Consultant Selection Committee evaluates the consultants' qualifications
in order to select the best-qualified firm.
Initiator
Sub-Tasks
- Appoint a Consultant Selection Committee (CSC). Appointments must be
approved by the District Director (or HQ Division Chief).
- The CSC evaluates consultant Statements of Qualifications following
criteria published in the Request for Qualifications. The CSC then establishes
a list of the best qualified firms.
- The District Contracts Officer, in coordination with the Contract Manager,
prepares a draft contract (including the Statement of Work) for approval
by the Project Manager and the Project Engineer.
- The District Contracts Officer mails the draft contract to the firms
on the list, who are invited to make a presentation to the CSC.
- The CSC conducts reference checks and interviews; then establishes
the final ranking of those firms who made a presentation. The Contract
Manager ensures that the firms and the HQ Consultant Services Branch are
notified of the final ranking.
Task Duration
References
TASK P171 (100.B)
Negotiate Consultant Contract for PS&E
Narrative
Negotiations with the highest-ranked consultant firm begin after the
selection process is completed. The objective of negotiations is to obtain
consultant services at a cost that is fair and reasonable to both the state
and to the consultant. Negotiations are confidential; only those with a
need to know should have access to the consultant's cost proposal and the
Caltrans estimate.
Initiator
Sub-Tasks
- Request the District Contracts Officer to send the selected consultant
a copy of the draft contract along with instructions for preparing and
submitting a cost proposal.
- Appoint a Caltrans Negotiations Board selected from members of the
Consultant Selection Committee. Appointments must be approved by the District
Director.
- If the contract scope and schedule need to be refined, schedule a scoping
meeting with the consultant prior to submittal of the cost proposal.
- The Contract Manager, in coordination with the Project Engineer, finalizes
the Caltrans cost estimate.
- The consultant submits a cost proposal to the District Contracts Officer
(or other designee specified in the cost proposal instructions). The District
Contracts Officer sends the proposal to HQ Audits and Security for a pre-award
audit and also to the Division of Civil Rights for evaluation of the consultant's
compliance with Disadvantaged Business Enterprise goals.
At the same time, the Negotiations Board evaluates the consultant's
cost proposal in comparison with the Caltrans estimate.
- The Negotiations Board meets with the consultant to negotiate the contract.
Additional rounds of negotiation may be required. If Caltrans and the consultant
fail to agree, negotiations are terminated. Caltrans then initiates negotiations
with the second-ranked firm.
Task Duration
References
TASK P172 (100.B)
Execute Consultant Contract for PS&E
Narrative
After negotiations are complete, the consultant contract is completed
and executed. This requires review and approval by the district, HQ Contracts
Service Office, Legal Division, and if required - the Department of General
Services. The contract is not fully executed until required approvals have
been obtained. The consultant may not commence work until it has been fully
executed and Caltrans authorizes the consultant to proceed.
Initiator
Sub-Tasks
- After negotiations are complete, request the District Contracts Officer
to prepare a final draft of the contract.
- After review of the final draft by the appropriate units, obtain approval
from the Project Manager and the Project Engineer.
- Following approvals, submit the draft to the District Contracts Officer
for final preparation and processing.
- The District Contracts Officer prepares the final contract, ensures
that funds are encumbered, obtains the consultant's signature, obtains
required district approvals, and transmits the contract package to HQ Contracts
Service Office.
- The HQ Contracts Service Office is responsible for the HQ review process.
If required, the office transmits the contract package to the Department
of General Services for final approval.
- After execution, the contract is returned to the District Contracts
Officer for distribution.
Task Duration
References
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This web site last modified August 11, 1997.