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California State Department of Transportation
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The districts' Transportation Planning Unit is responsible for the implementation of Caltrans policies, programs, and procedures for regional and systems planning, and for travel forecasting and analysis. Transportation Planning is known by various names in different districts, including, but not limited to, Transportation Planning, Regional Planning, Systems Planning, Transportation Studies and Transportation Analysis.
The Transportation Planning Unit is the liaison to Headquarters' Planning Program for regional and system planning issues, and the liaison to Headquarters' Office of Traffic Forecasting and Analysis of the Transportation System Information Program for matters pertaining to travel forecasting and analysis.
Refer to Chapter 1, Section 4, for more information on Transportation Planning. See also the System Planning Guidelines and the Regional Planning Delegation Handbook.
System Planning is Caltrans long-range planning process that identifies deficiencies on the state highway system, prioritizes improvements for programming funds for implementation, and manages each district's overall state highway network. Each stage of the process corresponds to a system planning document. The deficiency and improvement identification stage is through the Route Concept Report (RCR); prioritization of funding (20 years) and implementation strategies occur through the Transportation System Development Program; communication of Caltrans priorities and strategies for route and system development to local agencies, and within the department occur through the District System Management Plan.
The need and purpose for a project will often result from the system planning process. The Design or Advance Planning Unit uses information contained in System Planning products as a starting point in initiating the project development process. System planning processes are described in more detail in Chapter 1, Section 4, of this manual.
Regional Planning Coordination
Coordination with the Regional Transportation Planning Agencies (RTPAs) and the Metropolitan Planning Organizations (MPOs) is done by the Transportation Planning Unit. This includes monitoring their compliance with federal and State legal requirements and input into their planning and programming process with system planning data. This Unit should provide project development with all necessary data concerning the Regional Transportation Plans (RTPs), Regional Transportation Improvement Programs (RTIPs), Air Quality conformity, Major Investment Studies, and other regional planning information. The regional planning process along with areas for coordination are discussed in Chapter 1, Section 4.
Transportation Studies Services
Traffic forecasting is usually performed in the districts by the Transportation Studies Unit. The forecasts are essential for all project studies that propose to increase the capacity or improve the operations of a facility to carry traffic. The following information is included in traffic forecasting:
Traffic Volumes
- average annual daily traffic
- peak hour and directional split for each alternative
- level of service for existing conditions
Traffic Forecasts
- average annual daily traffic for each alternative
- peak hour and directional split for each alternative
- turning movements at proposed interchanges or intersections
- level of service for each alternative
Since all transportation projects in California must comply with CEQA, and other environmental laws, regulations, and executive orders, the project development process requires close coordination between the Project Engineer (PE), the Project Manager (PM), and the Environmental Unit representative to determine project schedules and to identify project issues, criteria, constraints, and impact mitigation.
The district's Environmental Unit is responsible for the implementation of Caltrans policies, programs and procedures concerning environmental considerations, analysis and compliance with environmental laws and regulations. This function is known by various names in different districts, including, but not limited to, Environmental, Environmental Planning, Environmental Analysis, Environmental Testing, Environmental Technical Studies, Environmental Engineering, Environmental Oversight, and Environmental Reports.
The Headquarters Environmental Program develops environmental policy and procedure, recommends training to implement an enhanced environmental awareness in all employees, and provides direct project assistance in the areas of biology and cultural studies.
Refer to Chapter 2, Section 6, and Chapter 10, Section 3, of this manual for more information.
Refer to the Environmental Handbook, Volume 1 for a full description of environmental involvement in the project development process.
Project Development Team Member
A representative of the Environmental Unit is a required member of the Project Development Team.
Preliminary Environmental Evaluation
The Preliminary Environmental Evaluation (PEE) is performed and prepared by the Environmental Unit when requested by the Design Unit as input to a project initiation document. It identifies environmental issues that could impact the project cost and schedule. Refer to page 9 of the CTC-approved Guidelines for the Preparation of Project Study Reports included in Appendix L for a description of the PEE.
Environmental Studies, Reports, & Documents
The Environmental Unit is very deeply involved during the project planning phase of project development in those projects that require an environmental document, and is involved to some degree on projects that are Categorically Exempt and Categorically Excluded. Upon request of the Design Unit, the Environmental Unit publishes notices, conducts a number of environmental studies, and prepares reports on them, prepares a Draft environmental document, and following public input prepares the Final environmental document.
For those projects not exempt under CEQA or excluded under NEPA (where applicable) an initial level of environmental study was completed at the Project Study Report (PSR) stage which resulted in the preparation of a PEE. The results of this evaluation dictate the next level of documentation necessary. Under CEQA, for those projects with no potential for significant impact, or which exhibit potential for modification such that the project as proposed will reduce any potential significant impacts to a level of insignificance, an Initial Study (IS) is prepared. The results of this effort provide the administrative record to substantiate issuance of a Negative Declaration (ND). Projects which clearly exhibit potential for residual or unmitigable significant impacts will require an EIR. Under NEPA, projects with significant impacts, as concluded under the concept of context and intensity (see Section 2-3.6 of the Environmental Handbook), require the preparation of an EIS. All other projects can be determined to be categorically excluded. Depending upon the nature and degree of a project's potential impacts, a Finding of No Significant Impact (FONSI) which is the CEQA Negative Declaration equivalent, may be prepared by FHWA.
If a project is determined to be Categorically Exempt under CEQA, it will usually be Categorically Excluded under NEPA. However, exempt/excluded CEQA/NEPA projects may still be subject to other State and federal environmental laws, and may still require permits from regulatory agencies.
The Environmental Unit participates in most public participation activities conducted during the project planning phase of project development, including any public hearing that is held. The environmental review processes are an outgrowth of the demand that environmental concerns be fully considered in project decisions and that the public have an opportunity to be involved.
The Environmental Unit may obtain permits that are required by environment laws, regulations, and executive orders. See Chapter 13 for a listing.
The Environmental Unit conducts an Environmental Reevaluation when needed prior to advertising for construction.
The Environmental Unit is involved throughout the project development process, even through construction, and beyond during maintenance and operation, whenever environmental issues arise. They must review any changes that might affect the environment and they must ensure that all environmental commitments are met.
The project planning and the design phases of project development both require appropriate mapping and field surveys. These services provide for all project land controls and base maps for development of contract plans and the acquisition of right of way.
The district's Surveys Unit is responsible for the implementation of Caltrans policies, and procedures concerning surveys and for conducting the surveys. This function is known by various names in different districts, including, but not limited to, Surveys, Right of Way Engineering and Surveys, and Engineering Services.
The Surveys Unit is a liaison between the Geometronics Branch of the Office of Engineering Technology in the Engineering Service Center, which is the headquarters functional Unit with responsibility for the development of Caltrans policies, programs and procedures in this areas, and the Design Unit.
Refer to pages 7 and 11 of the "Guidelines for the Preparation of Project Study Reports" in Appendix L of this manual for a discussion of mapping requirements for project initiation, to Chapter 10, Section 2, of this manual for a discussion of mapping during formal engineering studies during project planning, and to Chapter 14, Section 1, of this manual for a discussion of the development of geometric base maps during the design phase. Refer to the Surveys Manual for more detailed information on the surveys function.
Project Development Team Member
A representative of the Surveys Unit serves on the Project Development Team to provide input on mapping and surveying issues.
Caltrans Photogrammetry includes the Photogrammetry Section of the headquarters Geometronics Branch, district Surveys Units and the district Photogrammetry Coordinator, with assistance from private photogrammetry contractors. Caltrans Photogrammetry provides a wide range of photogrammetric services to Units within Caltrans. The primary focus of Caltrans Photogrammetry is to provide engineers with mapping services for project development, but they also provide reproduction products and services using Caltrans' extensive film library. The responsibilities of these Units are listed next.
District Surveys Unit
District Photogrammetry Coordinator
Headquarters Photogrammetry Section
Private Photogrammetry Contractors
Refer to the User's Guide to Photogrammetric Products and Services for further information.
Survey needs should be evaluated and identified early in the project initiation phase and throughout the entire project development process when needed. After the first evaluation of survey needs, the PE should submit the initial survey request accompanied by a strip map. The extent of the survey will depend on the type of project, existing information available, sensitivity of the area of potential effect, and the number of viable project alternatives.
The Right of Way Branch and the Environmental Unit require accurate mapping in order to properly carry out their functions, so their needs need to be carefully considered when evaluating survey needs.
During the Design phase the PE should assemble the survey data and compile a Survey File and transmit it to the Surveys Unit for use in construction surveys. The PE should contact the Construction and Surveys Units and discuss what information should be included. See the Survey File Checklist in Appendix GG.
Since most transportation projects in California require right of way, utility easements, rights of entry, or some other right of way activity, the project development process requires close coordination between the Project Engineer (PE), the Project Manager (PM), and representatives of the Right of Way Engineering Unit and the Right of Way Branch to determine project schedules and cost estimates, and to assure the acquisition of all necessary property rights.
The district's Right of Way Branch is responsible for the implementation of Caltrans policies, programs and procedures concerning right of way and utility considerations and compliance with State and federal laws and regulations. This function consists of various branches in the districts under a District Division Chief for Right of Way, except for the Right of Way Engineering Unit which is generally located under another District Division Chief. (Refer to Chapter 3, Section 13, for Utilities, and Section 5 for Real Property Asset Management.)
The Right of Way Branch is a liaison between Headquarter's Right of Way Program, the headquarters functional Unit with responsibility for the development of Caltrans policies, programs and procedures in this area, and the Design Unit.
Right of Way lead times frequently control the project design schedule. Generally, the preparation of project plans, calculation of quantities, and development of the PS&E require less time than obtaining the Right of Way Certification.
Refer to the Right of Way Manual for a full description of right of way involvement in the project development process.
Also refer to page 11 of the CTC approved Guidelines for the Preparation of Project Study Reports included in Appendix L of this manual; Chapter 10, Section 5; Chapter 13, Article 7; Chapter 14, Section 1, Article 4, and Section 2, Article 2, and Section 3, Article 3; Chapter 25; Chapter 26; and Chapter 28 of this manual for more information.
Project Development Team Member
A representative of the Right of Way Branch is a required member of the Project Development Team (PDT).
The Right of Way Branch provides valuable information at the initiation of studies. Once the project limits have been tentatively determined, property ownership maps can be developed by the Right of Way Engineering Unit. Preliminary right of way estimates are required to properly develop and analyze project alternatives. Adequate mapping is required, as well as a realistic project scope.
The R/W Data Sheet (See Appendix JJ for an example) should be requested as soon possible after project alternatives have been developed. The R/W Data Sheet is prepared during the project initiation phase and also during the formal project studies phase, and is required attachment to the PSR, the PR, and most other project initiation and project approval documents. The information in the R/W Data Sheet is vital to the process since it details all types of parcel information and the right of way estimate.
The Right of Way Branch participates in most public participation activities conducted during the project planning phase of project development if right of way acquisition is involved.
The PE and the Right of Way Engineering Unit work closely together in establishing the right of way lines. Once the geometric base maps are completed, the PE sets the lines (including permanent and temporary easements) and delineates access lines if appropriate. A Certificate of Sufficiency is requested by the Right of Way Appraisals Unit when each appraisal report is completed stating that all right of way and access control needs are required for the project and correctly shown on the appraisal maps and that all properties have been cleared of hazardous waste. The PE, PM, and District Division Chief for Design must sign this certification.
Identifying the right of way needs and completion of the R/W Parcel map allows the R/W Branch to appraise the property, negotiate with the property owner for acquisition, conclude the acquisition by purchase or by starting the condemnation process, and to provide for relocation assistance for the occupants and clearance of the property for construction. During this process there should be active coordination between the PE and the R/W Agent for each parcel required for the project. The acquisition agent will need to explain the project to the property owner and the need for that particular parcel. If the parcel is a partial acquisition of the property or an easement over the property, the R/W Agent will need to explain how the property owner's remaining property will be effected by the project. The R/W Agent may call upon the PE to join in meeting with the property owner to assist in explaining the project.
If the acquisition is not successfully accomplished by purchase, a Resolution of Necessity will have to be submitted to the CTC requesting authority to initiate condemnation action in court. If the property owner chooses to challenge the Resolution of Necessity by appearing before the CTC to protest the need for the project or the parcel, then both the PE and the R/W Agent will be involved in providing information for the Appearance Information Sheet and participating in the First and Second Level Review procedures required by Caltrans policy (see Chapter 28 and Appendix JJ).
The acquisition may also require work to be accomplished to make adjustments to the property. These obligations should be placed in the R/W Contract by the R/W Agent and a method of accomplishing them must be agreed upon between the R/W Agent and the PE. If they are to be included in the construction contract, the PE must assure that the work is included in the contract and documented in the RE Pending File. If they are to be done by service contract, the PE will need to assure that they are accomplished in a timely manner and will not interfere with the construction contract. If they are included by payment to the property owner, then this must also be documented in the RE Pending File.
The PE and the Right of Way Branch work closely together in many other project development tasks. In addition to the PDT, there is team participation for hazardous waste cleanup, value analysis studies and asset management. Materials agreements involve the Right of Way Branch. Fence review, excess land review, identifying water wells to be abandoned, disposal of operating right of way, and use of airspace are other areas of involvement.
Right of way acquisition and the relocation of displacees lead to a Right of Way Certification, which must be provided by Right of Way before a project can be advertised. These activities involve legally mandated lead times. Changes in right of way requirements for a project can delay the date by which a Certification can be provided if they occur late in the project development process.
The Asset Management Program in the Right of Way Program (RWP) is responsible for ensuring optimum use of current real property assets and for obtaining informed investment decisions for transportation support facilities. RWP's goal is to improve support operations and generate revenue from joint development, shared facilities, exchanges, privatization, or other innovative approaches utilizing Caltrans' real property assets. RWP is also the liaison with other State agencies in coordinating joint asset management activity to meet legal requirements and to comply with the Governor's Executive Order to improve the State's management of its real estate portfolio.
Input During Planning & Design
During the planning and design stages it is important that the Project Engineer contact the District Asset Manager for input on support facility needs such as park-and-ride lots, traffic operations centers, offices, maintenance stations, etc.
The District Asset Manager would normally not be a member of the Project Development Team, but should be invited to team meetings to assess potential real estate uses and address any facility needs based on master plans.
Materials and geotechnical information is needed for every project. The Project Engineer (PE) uses this data to develop and analyze alternatives and estimate costs for use in project initiation and approval documents, and to prepare detail design and specifications for both new construction and rehabilitation projects. The District Materials Unit is involved throughout the project development process.
Refer to the Standard Test Methods and the Engineering Service Center Service Directory.
At the Project Initiation stage, materials and geotechnical information is needed to adequately develop and assess project alternatives. This early information can usually be acquired from reports or data prepared for previous similar projects at the same location or for nearby projects currently under study. If there are critical unanswered concerns such as stability of slopes, foundation problems, seismic, percolation, availability of materials, etc., preliminary studies should be performed by the District Materials Unit. Deflection tests are required for all flexible pavement rehabilitation work.
After the project has been initiated, requests are made of the District Materials Unit to update materials information and provide other useful information, such as side slope recommendations, wetland locations, slide locations, etc. Some services from the Office of Materials Engineering and Testing Services (METS), of the Engineering Service Center (ESC) may also be needed. Refer to the ESC Service Directory for a listing of services available. As studies progress, additional materials investigations may be needed to expand previously identified alternatives or to develop new alternatives. It is essential that enough materials information is available so that all viable project alternatives are evaluated equally in the Draft Project Reports and Project Reports.
A final report on materials and geotechnical issues is not required at this stage, but a draft report would be appropriate.
Following selection of the Preferred Alternative and approval of the project, a Geotechnical Design or Materials Report, as appropriate, is requested from the Materials Unit. It should cover pavement structural section recommendations and all other geotechnical and materials information required to construct the project, such as: geology, soils, seismic, slope stability, foundation, percolation, drains, type and availability of materials, solid waste disposal, borrow sites, disposal sites, etc. (See Highway Design Manual Topics 113 and 114 for Geotechnical Design Report and Materials Report policy and Chapter 600 for design of pavement structural sections. See "California Test Method 130" in the Standard Test Methods - Volume 1 for content of Material Reports.)
Surface Mining and Reclamation Act (SMARA)
Design of a cost-effective project usually requires balanced earthwork quantities. In some cases commercial material must be used or an offsite borrow source acquired for imported borrow. Materials for the structural section must also be investigated to determine source locations and availability. Coordination with the Environmental Unit and the SMARA coordinator is needed to ensure that sites are environmentally approved and that SMARA requirements are met. The SMARA coordinator should have the current edition of the Department of Conservation's AB 3098 list of SMARA compliant operations, which is updated and published quarterly. In many areas, only commercial material or contractor-cleared materials sites are available. (For policies and procedures concerning material and disposal sites, see Topic 111 in the Highway Design Manual.)
The Traffic Unit's major role in the project development process is providing expertise and guidance to ensure that a project will adequately move traffic safely and efficiently, both during and after construction. This is primarily accomplished by incorporating safety features and upgrades, developing traffic handling plans delineating signing, striping and other traffic control measures and developing transportation management plans (TMP). The Traffic Unit's input should begin at the conceptual phase of the project to determine if a TMP is necessary.
The Traffic Units are known by various names in different districts including, but not limited to Traffic, Traffic Safety, Traffic Operations, Traffic Engineering, Traffic Design, Traffic Management, Electrical Design, and Freeway Operations.
Refer to the Traffic Manual, the High Occupancy Vehicle (HOV) Guidelines, the Highway Capacity Manual, the Ramp Meter Design Guidelines, and the Transportation Management Plan (TMP) Guidelines.
Project Development Team Member
A representative of the Traffic Unit serves on the Project Development Team to provide input on traffic-related issues.
The Traffic Unit provides capacity studies and operational analyses and develops safety and delay indices. It is imperative that they determine whether the project alternatives will function adequately if constructed. Questions to be answered by the Traffic Unit include the following:
For projects that propose HOV lanes, Section 149 (Carrell Act) of the Streets and Highways Code and Section 21655.5 of the Vehicle Code requires Caltrans to conduct competent engineering estimates of the effect of HOV lanes on safety, congestion, and highway capacity - prior to construction. This is reported in the Project Report. The HOV information is normally prepared by the Traffic Unit and is provided for inclusion in the Project Report. See the HOV Guidelines.
The Traffic Unit is requested to review the geometric layouts to ensure that signing requirements, stage construction, intersection operation, end of freeway plan, temporary connection plans, etc., are adequate for the safety of the motorists and of the construction and maintenance workers.
The Traffic Unit is provided with skeleton layouts and requested to prepare the traffic-related portions of the PS&E and related project items. This normally consists of the following elements:
The Traffic Unit's involvement in project development does not end with the award of a construction project. At various times throughout the construction project, the Unit is expected to review closure schedule change requests, proposed traffic control measures and signing and safety elements to ensure that public safety and convenience are considered. Stage construction, detours, and temporary connections may require modification to the TMPs in cooperation with the district TMP coordinator. Traffic should be consulted prior to making changes in the TMP.
The Office of Structure Design (OSD) of the Division of Structures (DOS) of the Engineering Service Center (ESC) is a partner in the project development process. Their responsibilities include the following:
Bridges:
Special Structural Design:
Special Functions:
OSD has assigned an ESC Project Functional Manager to each district who should be contacted prior to any direct dealings with OSD.
Refer to the series of Bridge Manuals for specific Bridge Design information.
A representative from OSD should be on the Project Development Team (PDT) for projects with extensive structure involvement. In this capacity, the representative will assist in the development and analysis of project alternatives. This includes developing architectural treatments and providing cost estimates for each viable alternative.
OSD is responsible for preparing Advanced Planning Studies as part of the Project Study Report (PSR) process. These studies should encompass all aspects of structure work, such as new structures, widening or lengthening of existing structures, raising existing structures, rehabilitating and/or retrofitting existing structures, removing existing structures, etc. These studies can be extensive, as they have to be performed for all viable project alternatives. Efforts should be made to submit to OSD as much accurate data as possible to help achieve a reasonable assessment of cost and constructability.
The district submits profiles, typical cross sections, and span and clearance controls for all project alternatives. OSD responds with alternative structural solutions and cost estimates.
OSD continues to be involved during the remaining phases of obtaining project approval. This involvement consists of continuing membership in the PDT, the preparation of advanced studies to address additional project alternatives developed during the environmental studies stage, and the updating of structures data for the Preferred Alternative during the project approval process.
The design process for structures involves continuous communication between the districts and OSD. The district starts the process by submitting a Bridge Site Data Submittal (see Chapter 14, Section 1, Article 3, and Appendix KK). This submittal occurs after geometrics are finalized. Other site submittals may also be required for retaining walls and noise barriers (see Appendix KK).
OSD will develop a Bridge Preliminary Report when bridge work is required. This Report translates the bridge site data submittal into a technical report that is used by the structure design engineer, and into a map showing the proposed site, contours, and structure control data. The PE should review this report very carefully to ensure that it accurately depicts project requirements.
After OSD finalizes the Bridge Preliminary Report, the Bridge General Plan is prepared for the proposed structure. The General Plan should be reviewed by the PE, including for traffic, right of way, and utility requirements. The District Right of Way Branch should be contacted, as appropriate. Foundation Studies and a Foundation Report are also a part of the process at this time. After district concurrence with the Bridge General Plan, OSD may proceed with the detail design.
During PS&E development, OSD will submit Bridge Unchecked Details to the district. These have been prepared by one structures designer but have not been checked by a second designer. This gives the district a chance to review, check, or revise the details.
Just prior to completion of Structures PS&E, OSD will submit Bridge Checked Details to the district. This is the final chance to review and revise the details.
The last step in the process is for OSD to transmit their PS&E package to the district. The district combines the Structures PS&E with the district PS&E, which is then submitted to the Office of Office Engineer in the ESC to develop into a bid package.
OSD performs many additional services, including the following:
Liaison with Railroad Companies
OSD performs the direct liaison work with the various railroad companies. The District Railroad Liaison Agent helps coordinate this work, but the majority of the work and ultimate approval comes from OSD.
Negotiations with railroad companies are usually long and involved. Therefore, it is necessary to determine the extent of involvement as soon as practical. The District Railroad Liaison normally sends a strip map to the OSD for projects in the vicinity of railroads to determine potential involvement. This is then followed by a submittal showing preliminary alignment plans at crossing locations. The OSD identifies the railroad involvement and obtains verification from the railroad. It is also appropriate to obtain railroad approval of the geometrics at this stage.
PUC Approvals
OSD serves as a liaison for obtaining approvals from the PUC. There are usually two types of approvals: (1) changes in at-grade crossings with railroads (district prepares the exhibit maps); and (2) underpasses/overheads (OSD prepares the exhibit maps). OSD submits the proposals to the PUC and notifies the district when approvals have been received. After approval, estimates are prepared showing the breakdown in costs between the Railroad and the State.
The responsibility for hydraulic design policies and procedures rests with the Design and Local Program; the unit that performs the project drainage design is responsible for their implementation. District organizations differ, but for the purpose of this manual, it is assumed that the Project Engineer (PE), under the direction of the Project Manager, is responsible for assuring that proper project drainage design is performed. This will typically require the active participation in, or the review of, the design by the Hydraulics Unit.
Refer to Chapters 800 through 890 of the Highway Design Manual for information on Highway Drainage Design. Refer to the Caltrans Storm Water Quality Handbooks Planning and Design Staff Guide for information on incorporating storm water quality controls into a project.
Detailed drainage design, such as accurate sizing and location of culverts, storm drains and roadway drainage, does not begin until after selection of the preferred alternative and approval of the project. However, the Hydraulics Unit should be involved during the project planning phase. Their input in the Project Study Report process is invaluable, particularly in recommending facility types and estimating costs of large facilities.
The Hydraulics Unit also should be involved in the environmental studies. Early coordination between the two functional groups is important. Many projects, by necessity, will include water quality enhancement features or encroach on wetlands, floodplains, etc. When flood plain encroachment is involved the Hydraulic Unit should be involved in preparing the location hydraulic studies. Historical drainage maps often depict the extent of the encroachment and help determine which project alternatives should be considered. Documentation of these features must be included in the Draft Project Report.
Preparation of the Drainage Report by the Hydraulics Unit following project approval usually signifies the start of detailed drainage design. This report covers rainfall, runoff, existing flood records, gauging stations, debris and any other pertinent drainage information. The report is transmitted to the PE so that pertinent drainage design can be started. See Chapter 14, Section 1, Article 1.
Inclusion of necessary drainage information in the PS&E is the responsibility of the PE. To effectively carry out this responsibility, the PE should maintain communication with, and involvement by, the Hydraulics Unit in the various elements of the drainage design. Although it may not be feasible for the Hydraulics Unit to perform the drainage design, the more complex types of analyses should, at a minimum, be thoroughly reviewed by the Hydraulics Unit. Some of the items that necessitate Hydraulics Unit involvement are:
Hydraulics Unit involvement in the design process will ensure that proper drainage design methodology and material are utilized, that the design conforms to policy, and that other specialty units such as Structures Hydraulics are involved as necessary.
To facilitate this involvement, the Hydraulics Unit should comment on proposed geometrics, typical sections, contour grading, erosion control, bridge or drainage structure General Plans, etc., as they are developed. The Drainage Report, when finalized by the Hydraulics Unit, should be included by the PE in the Resident Engineer's File.
The Hydraulics Unit in the Division of Structures (DOS) of the Engineering Service Center (ESC) evaluates hydraulic issues (scour potential, waterway adequacy, etc.) as they relate to bridges. They typically should become involved on a project at the time of the Advance Planning Study (APS) for the bridge. Lead time is crucial for completion of their studies. Not every APS requires a complete hydraulic analysis. Contact the ESC Project Functional Manager as early as possible for assistance when a hydraulic evaluation is required to determine the scope of the hydraulic evaluation.
The Construction Unit is responsible for administering a construction contract for the construction of the project by a contractor to ensure that the final product is in accordance with the plans and specifications, and to deal with any problems that arise in the process.
Refer to the Construction Manual for information on the construction phase.
Project Development Team Member
The Construction Unit is included as a member of the Project Development Team to ensure that construction issues and safety design are considered from project initiation through project design.
The Construction Unit should review the alternatives during the project initiation phase to determine if they are buildable.
During environmental and project studies the Construction Unit should be involved in the determination of measures to reduce or mitigate construction impacts.
During the design stage the Construction Unit should review the project plans and specifications for such things as construction safety, logical staging, the analysis of the number of working days, and special provision usability. If there is a Transportation Management Plan (TMP), the Construction Unit will be heavily involved in its implementation.
It is prudent to review traffic handling design plans with an experienced Resident Engineer (RE) for projects in areas subject to extreme weather.
Prior to the start of construction the Project Engineer (PE) finalizes the RE Pending File. See Chapter 15, Section 2, and Appendix GG.
Prior to start of construction, the PE, along with other involved district units, will go over the project with the RE. The review at this stage will aid in clearing up reasons for design decisions and commitments such as: - right of way obligations - signing and traffic handling - materials sites - selected material - foundation treatment - potential slides - environmental commitments - drainage - potential maintenance problems - erosion control - public notification - proprietary materials - special considerations in contract provisions - etc.
On almost all construction projects, developments in the field will necessitate some design changes. For early resolution of these changes, it is essential that there be timely and effective coordination between the RE, the Project Manager (PM), the PE, and other district units that have a direct interest in the project. It is Caltrans' policy to allow only those changes that are required to complete the work as contemplated at the time the plans and specification were approved. The PD Coordinator must still approve any exception to mandatory design standards.
After completion of the construction contract the PM is responsible for gathering the construction contract records from the RE and the project planning and design data from the PE to put in the Project History File.
The Maintenance Unit will be responsible for maintaining the highway facility once the project is complete. It is essential that the Maintenance Unit be involved in the project development process from conception through construction.
Refer to the Maintenance Manual for details on maintenance of the facility.
Project Development Team Member
A Maintenance representative must be assigned to all Project Development Teams (PDTs) to insure that maintenance issues and safety design are considered. Preferably, the representative should be the field person most familiar with the project site.
Typical Maintenance involvement would be to comment on features such as the following:
In addition to participation on the PDT, the Maintenance Unit should review all major engineering reports such as the Project Study Report, Draft Project Report, Project Report, etc. The Unit should address the previously listed concerns, plus known environmentally sensitive areas.
The Maintenance Unit should also review the proposed geometric layouts, typical sections, and final plans. Maintenance Units may have input on shoulder backing materials, drainage, erosion problems, access to buildings, access for landscape facilities, access to encroachments for utility facilities, access for maintenance of noise barriers, fence and excess land review, etc. Maintenance Units should also participate in the preparation of maintenance agreements (setting maintenance control limits).
The Maintenance Unit field representatives have a unique insight to local problems and maintenance and safety concerns. This insight must be utilized in the project development process. As the last link in the process, give the Maintenance Unit a chance to minimize future maintenance problems and potential lawsuits.
The district's Landscape Architecture Unit is responsible for the implementation of Caltrans' policies, procedures, and programs for Highway Planting and Restoration, Safety Roadside Rests, Roadside Enhancements (e.g., Vista Points, Historical Markers), erosion control, revegetation, wetlands/habitat restoration, and may in some cases be responsible for implementing policies, procedures, and programs for Transportation Enhancement Activities (TEA), Environmental Enhancement and Mitigation (EEM), Transportation Art, Scenic Highways, and Blue Star Memorial Highways.
In addition, the district's Landscape Architecture Unit provides functional support to the Project Development Team for a wide variety of projects that include, but are not limited to, highway construction, multi-modal transportation facilities, Park-and-Ride lots, noise barriers, maintenance stations, toll plazas, and other projects requiring expertise in scenic resource evaluation, visual impact assessment, aesthetics, natural resource protection and mitigation, roadside vegetation management, water conservation, storm water quality requirements, and community involvement.
Refer to Chapter 29 of this manual for more information on Landscape Architecture and policies and procedures regarding Highway Planting and Restoration, Safety Roadside Rests, Vista Points, Aesthetics, Transportation Art, and Blue Star Memorial Highways.
Project Development Team Member
A representative of the Landscape Architecture Unit is offered the opportunity to serve as a member of the Project Development Team on all projects and is a required member for planting, roadside rest and noise barrier projects.
Early and continuous involvement by the Landscape Architect is essential for identifying and resolving project issues that can affect project schedules and estimates, construction, and maintenance considerations.
It is essential that the Project Manager and the Project Engineer be aware of potential involvement by the District Landscape Architect (LA) on all projects, except for routine maintenance and repair projects. During the project study phase, at a minimum, the District LA is given an opportunity to review the aesthetics of a project design and potential changes to the visual environment. Major involvement includes consideration for new highway planting, replacement planting and irrigation modification, and erosion control required as a result of highway construction, and environmental mitigation involving native planting revegetation and wetlands/habitat restoration.
The LA should provide consultation on access and safe working conditions for vegetation management, site planning, and pedestrian accommodation. The LA will be responsible for coordinating initial highway planting and aesthetic reviews, assessing visual impact, and for providing input to the project study process.
The scope of aesthetic reviews and visual impact assessments should include, but is not limited to, consideration of the following:
During preparation of environmental documents, the district's Landscape Architecture unit participates in the development of environmental mitigation, focusing on suitability, constructability, cost effectiveness, and maintainability. This is particularly important when Caltrans' mitigation proposals have been developed to satisfy permit requirements established by federal, State, or local agencies.
The Landscape Architecture Unit takes part in public participation activities for the purpose of receiving public input and communicating Caltrans' policies regarding programs and issues identified under the heading "General" above.
During the design phase of highway projects the Landscape Architecture Unit reviews the proposed geometrics and provides information on prevention of storm water pollution, replacement planting, irrigation system modifications, and erosion control. The Landscape Architecture Unit also conducts an aesthetics review of the project when requested and a summary of recommendations and actions.
The Landscape Architectural Unit prepares the final Plans, Specifications & Estimate to be submitted with the engineering package or as a separate project for contract advertisement.
Most transportation projects affect existing utilities or are constructed close to them. These utilities must be identified and located, and may need to be relocated prior to construction or protected during construction. The Utilities Relocation Unit in the district Right of Way Branch, through the assigned Utilities Coordinator, is responsible for coordination and negotiation with the Utility Companies involved to determine the location of facilities and to determine responsibility for relocation costs, to decide who does the relocation, to identify design requirements for any work that must be included in the project's contract plans, and to negotiate utility agreements with the companies.
Refer to Chapter 17 and Appendix LL for the treatment of utilities within the right of way. See the Right of Way Manual - Chapter 13 "Utility Relocation" for details on utility relocation.
Project Development Team Member
If significant utility investigation and relocation are involved, a representative of the Right of Way Utilities Unit may be added to the Project Development Team.
The Utilities Unit provides utilities information and estimates for the R/W Data Sheet (see Appendix JJ for an example). If extensive Utility relocation may be required by any of the viable alternatives under consideration, a thorough investigation of the relocation requirements must be done during the project initiation phase to obtain realistic costs and schedules.
The Right of Way Utilities Unit should assist the PE in verifying the location of all existing utilities. Under normal procedures, the PE plots all known utilities that can be identified from field inspection, as built plans, encroachment permits, files, etc. The Utility Unit then transmits the maps to the various utility companies for checking and for the addition of any facilities not shown on the maps.
The location of all utilities must be shown on the contract plans. If any of the utility facilities are to be relocated after award of the highway contract, both existing and proposed locations must be shown. This is necessary to protect the State in accordance with Section 4215 of the Government Code.
Any necessary coordination with Utilities Companies is done through the Utilities Unit and the Utilities Coordinator. Each district has appointed Utilities Coordinators to implement Caltrans policies on the relocation and removal of utility facilities to clear transportation projects.
When utilities are located within the limits of a project, a determination must be made whether relocation is required either outside of the right of way or within the right of way to avoid conflict with planned construction. Policy concerning utility encroachments within the right of way is discussed in Chapter 17.
Some responsibilities of the PE and the Utility Coordinator during the design phase of a project are discussed in the "Policy on High and Low Risk Underground Facilities Within Highway Rights of Way" in Appendix LL. The PE and Utility Coordinator must provide for a clear and safe right of way through proper placement, protection, relocation, abandonment or removal of underground utility facilities that may pose a safety risk to the highway worker or user.
The PE must be sure that copies of Utility Relocation Plans and Notices to Relocate are included in the RE Pending File. (Refer to Appendix GG.)
The District Office Engineer (DOE) Unit is responsible for insuring that the project design is complete, biddable and buildable. The DOE Unit is expected to ensure the completeness, quality and consistency of all Plans, Specifications and Estimates (PS&E)s submitted to the Engineering Service Center (ESC), Office of Office Engineer (OOE) for processing, regardless of their origin (e.g. District, ESC Division of Structures (DOS), consultant, local agency, etc.). The DOE Unit is also responsible for ensuring that PS&E submittals are prepared and processed in conformance with Caltrans policies, procedures and standards and with the PS&E Guide issued by ESC-OOE.
Refer to Chapter 14, Section 3; Chapter 15, Section 1; Chapter 20, Section 3, Article 5; and Appendix AA, Section 1, of this manual and the PS&E Guide for further information.
During the project planning phase, the DOE Unit advises the Project Engineer (PE) and Project Manager (PM) on the buildability and biddability of the various alternatives, and provides unit prices for estimates.
The DOE Unit advises the PE and PM during the design phase concerning the preparation of the special provisions, identification of contract items, estimating of costs, and the establishment of schedules for completion of PS&E and advertising the project.
PS&E prepared for remediation of hazardous waste in accordance with a Remedial Action Design is processed by the DOE so that the work can be done in a preliminary contract prior to advertising the prime project.
The DOE Unit is responsible for combining the structures PS&E package with the district PS&E package so as to have one combined PS&E package. The DOE Unit is responsible for notifying the ESC-DOS two weeks prior to submitting a combined PS&E to ESC-OOE.
The DOE Unit is responsible for the completeness, quality and consistency of PS&E submittals to ESC-OOE and for verifying that the design is complete, and the project is biddable, and buildable. Submitting all projects to ESC-OOE as "qualified" projects is a goal of Caltrans for each district. "Qualified" projects are projects with PS&E that are sufficiently complete and accurate that they can be used as final contract documents with minimal processing by ESC-OOE.
The DOE Unit is responsible for submitting a current Right of Way Certification Letter, justification and approvals for deviations from adopted standards and policies; copies of permits and agreements with other entities, materials information, and other documents affecting the contractor's performance of the contract, all with the PS&E submittal, or at the earliest possible date following the PS&E submittal to ESC-OOE.
ESC-OOE's draft contract comments, and issues needing resolution, are sent to the DOE Unit for district review and response.
For all Caltrans projects except for Minor B projects, ESC-OOE sets a "Ready to List for Advertisement" (RTL) date after determination that the contract documents have been prepared complete and accurate as to all engineering requirements (PS&E ready) and legal requirements (constraints cleared). If funding has been obtained ESC-OE schedules the project advertisement.
After the contract documents are reproduced, ESC-OOE returns a set of plans marked in red - "redline" plans - to the DOE Unit indicating any changes that have been made to the plans.
Addenda are used to effect any changes to the contract requirements of advertised projects. They are used and distributed to all concerned parties prior to bid opening and should only correct significant errors, omissions, and conflicts. If the PE determines the need for an addendum, a request for approval to issue an addendum is prepared (see the PS&E Guide). Concurrence is obtained from the DOE Unit and the PM, and if appropriate from the PD Coordinator and FHWA and other appropriate organizations. Approval is by the District Division Chief for Design. -OOE- ESC issues the addendum after approval. The request for addendum must be received by OOE-ESC a minimum of three weeks prior to bid opening, if there are plan sheet changes, and two weeks prior to bid opening for other changes, in order to avoid postponing bid opening and delaying the project.
After bid opening, changes can only be accomplished by readvertising as a new project or by contract change order during construction.
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