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California State Department of Transportation
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This section provides an overview and rationale for the Project Development Uniform File System. Chapter 7, Section 2, provides a directory and instructions for the project development records that are filed in the Uniform File System.
Responsibility for Managing the File System
The Uniform File System is to be used for all Caltrans projects - regardless of the size or type of project. The originating unit should start the file system as soon as preliminary studies can identify the project. The originating unit may retain copies of material needed for backup on their own studies, but the basic categorized file should be transferred to the Project Engineer (PE) at the appropriate time.
For projects that are transferred between districts or the Office of Central Design, the source district and the consulting unit should determine, at the time of transfer, how their respective units will maintain the project's file system. Local agencies and private consultants shall use the Uniform File System classification scheme for any records exchanged with Caltrans.
Many letters and reports cover more than one project issue. Consequently, items will be classified and filed according to the source that generated them, rather than by subject. (Filing by subject area would result in extensive duplication of materials because correspondence and reports would have to be updated for all relevant subject areas.)
The PE should use personal discretion when creating sub-categories for filing purposes. Large projects generate enough correspondence in some categories to require creation of subcategories. No master index will be required, as the categories in the Uniform File System provide adequate identification for timely retrieval.
Projects that are staged into separate contracts for construction (e.g., for grading, paving, or structures) should share the same project file. Material should be duplicated for the respective Resident Engineer's file, but the Project History File (permanent project file) should not be assembled until after completion of all stages.
Projects considered to be initial development for an ultimate future project (e.g., initial two-lane expressway to be expanded to full freeway) should have their own, completed Project History Files. The files should include sufficient data to allow for the future project development - even if the work is not yet programmed.
Projects that are split from larger projects into more manageable segments, should stand on their own: a Resident Engineer's file and a permanent Project History File should be assembled for each segment. It is prudent to break out or duplicate material at an early date, for use as a working file for the PE, and as a source for subsequent files.
A Project History File (the permanent project file) should be compiled for all completed projects. The file consists of selected project development records and final project construction records. These are to include all letters, memos, reports, etc. that document project decisions, or that would be useful (or required) to develop a subsequent project.
The Uniform File System Directory (Chapter 7, Section 2) indicates which project development records should be included in the Project History File. The Legal Division has approved these designated items, and the file should not be cluttered with routine records not officially designated for inclusion.
When the construction project is completed, the PE should initiate assembly of the Project History File by transmitting designated records to the Construction Unit. The Construction Unit should either compile the Project History File or transmit the data to the assigned district unit for compilation. The completed Project History File should be permanently filed in a convenient, central file location within the district.
As-built plans will continue to be stored on microfilm for permanent records. The automated records management system now under study is anticipated to be able to digitize "as-builts" with equipment such as optical scanners. This system will produce first-quality reproductions and will alleviate present storage problems.
These instructions pertain to the directory for the project development records that should be filed in the Uniform File System. The directory follows these instructions.
The first heading in the directory is "CATEGORY." The Project Development Uniform File System has six major categories, as follows:
100 Project Control
200 Project Approval Process
300 External Project Design Correspondence
400 Intra-District Project Design Correspondence
500 Contract Preparation
600 Project Miscellaneous
These categories shall be used for all projects, regardless of size. Major projects shall use the complete system as shown. Smaller projects, with limited amounts of correspondence, may not require the total breakdown.
The second heading in the directory is "RECORD TYPE." This column describes the material to be included in each category.
The third heading (PHF) stands for "PROJECT HISTORY FILE." This column indicates if the record should be filed in the Project History File.
Category 100 covers project control.
Category 200 is a resource file covering the Project Approval Process. The file should contain only the specified documents and should not be cluttered with routine correspondence. All routine correspondence leading to the various project approval documents should be filed in Categories 300 and 400, as applicable.
Category 300 should contain correspondence between all district sources and external sources, except as noted above. Copies of project correspondence between HQ units should be filed under Category 310.
Category 400 is a source file to contain correspondence between district units.
Category 500 should contain all plans and calculations for design. Preliminary studies and plans should be filed in Category 200. All other plans, whether flat filed in drawers or rolled and placed in bins, are labeled with the appropriate Category 500 breakdown. Likewise, calculation sheets, whether in binders or file cabinet folders, should be labeled accordingly.
Category 600 covers miscellaneous items and is self-explanatory.
Attachments to letters that are too bulky for filing in regular files are referenced to the letter by date and category breakdown and then filed in separate envelopes or bins with the appropriate index label.
File Folders, Index Tabs, Filing Strategy
Index folders or index tabs are not furnished by Headquarters. The following file system directory pages may be reproduced and filed with the project file. Index tabs can be used to identify the six major Uniform File System categories. Copies of the file system directory can be used as dividers, providing a handy reference for correct filing and compilation of the Project History File.
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(100 - 143) |
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| 100 PROJECT CONTROL |
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| 110 EXPENDITURES |
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| 111 Expenditure Authorizations | 111.01 Planning phase (0) |
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| 111.02 Design phase (1) |
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| 111.03 Construction phase (3) |
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| 111.04 Other phases as needed |
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| 111.08 FNM-76 Requests |
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| 112 Personnel Costs | 112.01 Project Design Costs |
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| 112.02 Final Project Design Costs |
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| 112.02 Other department costs, Final Project Costs |
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| 120 DESCRIPTION |
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| 121 Project Description | 121.01 Project Description and how determined |
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| 122 Post Mile Determination | 122.01 Calculations & backup data |
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| 130 PROGRAMMING AND PROGRESS |
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| 131 Programming Data |
131.01 RTIP, PSTIP, STIP, SHOPP, TSM, etc. for project |
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| 132 PYPSCAN | 132.01 PYPSCAN milestone dates |
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| 132.02 Schedule Calculations |
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| 132.03 Schedule Change Approvals |
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| 133 Progress Reports | 133.01 Monthly Project Progress Charts |
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| 140 PROJECT COST ESTIMATES |
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| 141 Project Cost Estimates | 141.01 Log of Project Cost Estimates |
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| 141.02 Cost Estimate Backup Data |
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| 142 Project Cost Increase | 142.01 Cost Change Approvals |
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| 143 Miscellaneous Project Estimates | 143.01 Study Estimates for Project Alternatives, etc. |
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(200 - 223) |
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| 200 PROJECT APPROVAL PROCESS |
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| 210 PRELIMINARY STUDIES |
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| 211 Project Initiation | 211.01 Documents that identify the problem |
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| 211.02 Feasibility, Justification or Concept Report |
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| 211.09 Approvals to proceed |
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| 212 Project Authorization | 212.01 PSR, PSSR, NBSSR, PSR/PR, etc. |
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| 212.09 Concept Approval |
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| 212.10 Scope Change Approval |
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| 212.19 CTC Long Lead Time Concurrence |
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| 212.29 Approval to Cease Work |
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| 213 Planning Studies | 213.01 Written notice of Initiation of Studies |
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| 213.02 Corridor or Route Location Studies |
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| 214 Alternatives | 214.01 Preliminary Plan and Profile Studies of Alternatives |
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| 214.02 Impacts of Alternatives |
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| 214.09 Approval of Alternatives |
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| 220 PROJECT DEVELOPMENT TEAM |
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| 221 PDT Assignments | 221.01 Authorizing Assignment Letter |
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| 222 Project Category Assignment | 222.01 Determination of Project Category, Major/Categorical Exclusion, Significant/Non-Significant |
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| 223 PDT Meeting Memos | 223.01 Minutes or memos |
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| 223.09 Project Approval memos by PDT |
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(230 - 244) |
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| 230 ENVIRONMENTAL |
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231 Draft Environmental Document |
231.01 Environmental Assessment |
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| 231.02 Circulated Draft & cover letter |
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| 231.03 Written notice of EIS preparation |
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| 231.04 Published technical reports |
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| 231.05 Floodplain Evaluations |
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| 231.06 Draft 4(f) Document |
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| 231.09 Approval to Circulate |
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| 231.10 Mailing list |
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| 232 Final Environmental Document | 232.01 Distributed Final and Cover Letter |
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| 232.09 Approval to distribute |
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| 232.19 Findings and Notice of Determination |
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| 232.29 Record of Decision or FONSI |
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| 232.30 Mailing list |
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| 233 Public Notices of Availability | 233.01 Public notices from newspapers |
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| 233.02 Copy of Federal Register entry |
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| 234 Scenic Highway | 234.01 Scenic Highway Study |
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| 234.09 Approvals |
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| 240 PROJECT APPROVAL |
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| 241 Project Work Plans | 241.01 Copies of Project Work Plans |
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| 242 Draft Project Report | 242.01 Drafts with intradistrict comments |
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| 242.02 Draft Project Report |
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| 243 Preferred Alternative | 243.01 Preferred Alternative Selection |
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| 244 Project Report | 244.01 Project Report |
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(245 - 262) |
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| 245 Design Standard Exceptions | 245.09 Documentation of Exceptions from Mandatory Design Standards |
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| 245.10 Documentation of Exceptions from Advisory Design Standards |
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| 246 Route Adoption | 246.09 CTC Report, Resolution, Map |
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| 247 New Connections | 247.09 CTC Report and Resolution |
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| 247.10 FHWA Approval |
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| 250 PUBLIC HEARING PROCESS |
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| 251 Pre-Hearing Meetings | 251.01 Initial Meeting documentation |
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| 251.02 Scoping Meeting documentation |
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| 251.03 Map Showings, Informational Meetings, other Pre-Hearing documentation |
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| 252 Hearing Arrangements | 252.01 Notices of Hearing to HQ |
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| 252.02 Arrangements for Hearing Officer |
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| 253 Public Hearing Notices | 253.01 Public notices from newspapers |
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| 254 Record of Hearing | 254.01 Transcript, comments, etc. |
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| 254.02 Record of Hearing |
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| 260 PROJECT AGREEMENTS |
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| 261 Cooperative Agreements and Reports | 261.01 Cooperative Agreement Report |
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| 261.09 Draft Agreements(s) and submittals to HQ |
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| 261.10 Approvals from HQ |
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| 261.11 Executed Agreements |
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| 262 Freeway Agreements | 262.01 Draft and submittals to HQ |
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| 262.09 Approvals from HQ |
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| 262.10 Executed Agreements with map |
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(263 - 274) |
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| 263 Interagency Agreements | 263.01 Drafts and submittals to HQ |
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| 263.09 Approvals from HQ |
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| 263.10 Executed Agreements |
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| 264 Highway Improvement Agreements | 264.01 Drafts and submittals to HQ |
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| 264.09 Approvals from HQ |
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| 264.10 Executed Agreements |
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| 265 Maintenance Agreements | 265.01 Drafts and submittals to HQ |
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| 265.09 Approvals from HQ |
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| 265.10 Executed Agreements |
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| 270 PERMITS |
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| 271 State Agency Permits | 271.01 Drafts |
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| 271.09 Approvals |
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| 271.10 Executed permits |
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| 272 Federal Permits | 272.01 Drafts |
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| 272.09 Approvals |
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| 272.10 Executed permits |
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| 273 Local Agency Permits | 273.01 Drafts |
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| 273.09 Approvals |
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| 273.10 Executed permits |
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| 274 Encroachment Permits | 274.01 Drafts and submittals to HQ |
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| 274.09 Approvals by HQ and FHWA |
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| 274.10 Executed permits |
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(300 - 341) |
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| 300 EXTERNAL PROJECT DESIGN CORRESPONDENCE |
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| 310 HEADQUARTERS & DISTRICT CORRESPONDENCE |
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| 311 Headquarters (except Division of Structures) | 311.01 Memos between the district and various HQ units |
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| 312 Districts | 312.01 Memos between districts |
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| 320 DIVISION OF STRUCTURES CORRESPONDENCE |
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| 321 Structures | 321.01 Memos to and from Structures Design |
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| 321.09 Approval memos from HQ |
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322 Structure Studies and Reports |
322.01 Advanced Planning Studies |
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| 322.02 Bridge Site Submittal |
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| 322.03 Preliminary & Foundation Reports |
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| 322.04 General Plans |
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| 322.05 General Details |
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| 322.06 Retaining Wall Site Submittal & Plans |
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| 322.07 Noise Barrier Site Submittal and Plans |
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| 322.08 Structural Adequacy Studies |
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| 322.09 Special Studies |
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| 330 FEDERAL AGENCY CORRESPONDENCE |
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| 331 Federal Agencies | 331.01 Letters to and from various federal agencies |
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| 331.09 Letters affecting project decisions |
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| 340 STATE AGENCY CORRESPONDENCE |
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| 341 State Agencies | 341.01 Letters to and from various State agencies |
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| 341.09 Letters affecting project decisions |
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(350 - 382) |
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| 350 LOCAL AGENCY CORRESPONDENCE |
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| 351 Cities | 351.01 Letters to and from various cities |
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| 351.09 Letters affecting project decisions |
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| 352 Counties | 352.01 Letters to and from various counties |
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| 352.09 Letters affecting project decisions |
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| 353 Area-Wide Agencies | 353.01 Letters to and from various area-wide agencies (COG, etc.) |
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| 353.09 Letters affecting project decisions |
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| 354 Other Agencies or Special Districts | 354.01 Letters to and from various agencies or districts (school districts, assessment districts, etc.) |
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| 354.09 Letters affecting project decisions |
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| 360 ELECTED-OFFICIAL CORRESPONDENCE |
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| 361 Elected Officials | 361.01 Letters to and from elected officials |
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| 361.09 Letters affecting project decisions |
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| 370 PUBLIC CORRESPONDENCE |
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| 371 Individuals | 371.01 Letters to and from individuals |
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| 371.09 Letters affecting project decisions |
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| 372 Private Groups | 372.01 Letters to and from Private Groups |
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| 372.09 Letters affecting project decisions |
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| 380 MEMOS TO FILE (EXTERNAL) |
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| 381 Phone Call Documentation | 381.01 Phone call documentation |
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| 381.09 Phone call documentation affecting project decisions |
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| 382 Informal Meetings/Discussions | 382.01 Notes of informal meetings |
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| 382.09 Notes affecting project decisions |
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(383 - 386) |
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| 383 Headquarters Reviews | 383.01 Notes of reviews |
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| 383.09 Notes affecting project decisions |
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| 384 FHWA Reviews | 384.01 Notes of reviews |
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| 384.09 Notes affecting project decisions |
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| 385 CHP Reviews | 385.01 Notes of reviews |
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| 385.09 Notes affecting project decisions |
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| 386 Other Agency Reviews | 386.01 Notes of reviews |
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| 386.09 Notes affecting project decisions |
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(400 - 453) |
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| 400 INTRADISTRICT PROJECT DESIGN CORRESPONDENCE |
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| 410 DRAINAGE |
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| 411 Drainage Correspondence | 411.01 Memos to and from Hydraulics Unit |
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| 411.02 Preliminary Drainage Report |
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| 411.03 Justification of Alternatives |
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| 411.04 Final Drainage Review |
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| 412 Drainage Studies | 412.01 Design Discharge Calculations |
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| 412.02 Floodplain encroachment |
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| 412.03 Rock slope protection sizing |
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| 412.04 Special Studies |
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| 420 ENVIRONMENTAL |
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| 421 Environmental Correspondence | 421.01 Memos to and from Environmental Unit |
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| 430 LANDSCAPING |
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| 431 Landscaping Correspondence | 431.01 Memos to and from Landscaping Unit |
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| 440 MATERIALS |
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| 441 Materials Correspondence | 441.01 Memos to and from Materials Unit |
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| 441.02 Materials Reports |
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| 441.03 Pavement Deflection Studies |
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| 441.04 Special Materials Studies |
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| 450 OPERATIONAL |
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| 451 Maintenance Correspondence | 451.01 Memos to and from the Maintenance Unit |
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| 452 Construction Correspondence | 452.01 Memos to and from the Construction Unit |
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| 453 Traffic Operations Correspondence | 453.01 Memos to and from Traffic Operations Unit |
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| 453.02 Final Operational Report |
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(460 - 492) |
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| 460 RIGHT OF WAY |
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| 461 Right of Way Correspondence | 461.01 Memos to and from R/W Branch |
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| 462 Utilities Correspondence | 462.01 Memos to and from Utilities Unit (including letters to utility companies) |
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| 463 Railroad/Utility Agreements | 463.01 Agreements with utility companies, railroads, etc. |
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| 464 Utility Relocation Plans | 464.01 Relocation plans for gas, power, etc. |
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| 465 Determination of Liability | 465.01 Studies for utility/non-utility prior rights |
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| 466 Right of Way Contracts | 466.01 Contracts, obligations, etc. |
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| 467 Right of Way Maps | 467.01 Parcel, ownership, excess land, etc. |
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| 468 Cost Estimates | 468.01 Fences, driveways, etc. |
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| 469 Resolution of Necessity | 469.01 Resolution of Necessity data |
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| 470 SURVEYS |
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| 471 Surveys Correspondence | 471.01 Memos to and from Surveys Unit |
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| 472 Survey Data | 472.01 Aerial monuments, bench marks, etc. |
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| 480 TRAFFIC |
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| 481 Traffic Correspondence | 481.01 Memos to and from Traffic Unit |
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| 482 Traffic Forecasts | 482.01 Present/design year ADT, peak hour, etc. |
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| 483 Warrants | 483.01 Signal warrants, median barrier warrants, lighting warrants, etc. |
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| 490 MEMOS TO FILE (INTRA-DISTRICT) |
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| 491 Phone Call Documentation | 491.01 Phone call documentation |
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| 491.09 Phone call documentation affecting project decisions |
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| 492 Informal Meetings/Discussions | 492.01 Notes of informal meetings |
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| 492.09 Notes affecting project decisions |
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(500 - 524) |
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| 500 CONTRACT PREPARATION |
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| 510 PLANS |
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| 511 Basic Plans | 511.01 Contour mapping, skeletons, contour grading, interchanges, intersections, profiles, superelevations, etc. |
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| 512 Drainage | 512.01 Drainage plans, profiles, structure list, etc. |
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| 513 Traffic | 513.01 Signing, Pavement Delineation Plan, electrical plans |
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| 513.09 Approval of Pavement Delineation Plan |
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| 514 Traffic Handling | 514.01 Staging and detour plans, traffic control, etc. |
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| 515 Fencing | 515.01 Types & locations, gates, etc. |
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| 516 Erosion Control | 516.01 Plans with erosion control details and locations |
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| 517 Structures Plans | 517.01 Final Structure Plans |
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| 518 Landscape Plans | 518.01 Landscape Plans |
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| 519 Special Details | 519.01 Construction notes, pavement markers, survey monuments, etc. |
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| 520 CALCULATIONS |
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| 521 Quantities | 521.01 Checked contract items calculations |
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| 522 Earthwork Computations | 522.01 EDP printouts or quantity sheets |
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| 522.02 Terrain Lists |
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| 522.03 Template Notes |
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| 522.04 Staking Notes, superelevations, etc. |
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| 523 Traverses | 523.01 Computer printouts |
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| 524 Profiles | 524.01 EDP printouts or grade sheet |
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(530 - 538) |
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| 530 PS&E PROCESSING |
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| 531 PS&E Report | 531.01 Report or Transmittal to Office Engineer for district or HQ |
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| 531.02 Liquidated damage calculations |
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| 532 Preliminary Estimate of Cost | 532.01 BEES printout, bid price justification, segregations, etc. |
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| 532.02 Final Engineers Estimate |
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| 533 Special Provisions | 533.01 Specifications |
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| 534 Dummy | 534.01 Proof special provisions, transmittal letters, etc. |
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| 534.02 Addenda |
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| 535 Request for Funds | 535.01 Request and Justification |
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| 535.02 FNM-76 Approval |
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| 536 CTC Vote of Funds | 536.01 Fund authorization by CTC |
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| 537 Resident Engineer Information | 537.01 Copies of working data for Resident Engineer |
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(600 - 622) |
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| 600 PROJECT MISCELLANEOUS |
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| 610 SPECIAL STUDIES |
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| 611 Bicycle | 611.01 Completed studies and/or reports |
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| 612 Park and Ride | 612.01 Completed studies and/or reports |
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| 613 Bus Loading Facilities | 613.01 Completed studies and/or reports |
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| 614 Resource Conservation | 614.01 Completed studies and/or reports |
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| 615 Value Analysis | 615.01 Completed studies and/or reports |
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| 616 Hazardous Waste | 616.01 Completed studies and/or reports |
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| 617 HOV Report | 617.01 Completed studies and/or reports |
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| 620 PROJECT SAFETY |
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| 621 Safety Analysis | 621.01 Completed studies and/or reports |
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| 622 Design for Safety Recommendations | 622.01 Recommendations, memos, etc. |
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| 622.02 Decision documents, memos |
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| 623 Safety Reviews | 623.01 Safety reviews and/or reports |
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| 630 PHOTOGRAPHS |
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| 631 Project Photos | 631.01 Preconstruction photos |
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| 632 Special Photos | 632.01 Accidents, storm damage, etc. |
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For questions or feedback
concerning this web site email: ranjeet.bagha@dot.ca.gov
This web site last modified July 1, 1999.
This web site last modified August 12, 1997.
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