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California State Department of Transportation
Project Development Workflow Tasks (PDWT)
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PYPSCAN Milestone 010
Approve Project Study Report
(Click on highlighted Task to see detailed information.)
TASK P045 (010.A)
Identify Candidate List
Narrative
All projects proposed by Caltrans must compete for limited available
funding. Separate priority lists are normally maintained for each highway
program (Safety, Rehabilitation, New Facilities, etc.). Each program has
an independent priority rating system, usually involving calculation of
a Priority Index Number (PIN).
Initiator
Sub-Tasks
- Review Project Study Report, Project Scope Summary Report, Noise Barrier
Scope Summary Report, or other project initiation document for programming
discussion and priority rating information.
- Contact the Project Engineer to update or obtain additional priority
rating information.
- Place the project on the appropriate candidate list (Caltrans, regional,
tax measure authority, local agency) in priority order for programming.
- For urgent projects between programming cycles, the Project Engineer
contacts Program Management to initiate urgent programming (e.g., STIP
amendment, SHOPP amendment, etc.)
- For Minor projects, the Project Engineer submits the request for programming
during the annual Minor program development cycle.
Task Duration
References
- Project Development Procedures Manual -- Chapter
4
- Project Candidate List Development Manual
- Task P038
TASK P046 (010.A)
Identify Draft Programming Document
Narrative
Projects on the State Highway System are proposed for programming in
various draft documents. The PSTIP, Proposed Toll Bridge Program, draft
SHOPP, and draft TSM Plan are prepared by Caltrans. The RTIP is prepared
by the regional agency. Sales tax measure authorities prepare draft Expenditure
Plans. Local entities may also have budget plan proposals.
Initiator
- District Program Management or Division of Transportation Programming
- Regional authority
- Tax measure authority
- Local entity
- Developer
Sub-Tasks
- Based on the type of project and environmental document, identify the
applicable PSTIP, RTIP, draft SHOPP, TSM list, draft Expenditure Plan,
etc.
Task Duration
References
- Project Development Procedures Manual -- Chapter
4
- Project Candidate List Development Manual
- CTC STIP/RTIP Development Guidelines
- Task P045
TASK P047 (010.A)
Initiate Tax Measure Project
Narrative
Local transportation authorities are responsible for the development
of county sales tax measures to fund transportation projects; however,
this is a partnership arrangement with Caltrans. Caltrans' role is to provide
support and assistance, especially when concepts, and estimates for scope
and cost are developed for specific projects prior to preparation of the
sales tax measure ballot.
Initiator
Sub-Tasks
- Upon request, Caltrans will provide the following information, as appropriate:
- Prepare estimates.
- List of projects that are candidates for funding by sales tax revenues
- Project Study Reports for candidate projects, if prepared
- Cost estimates for right of way and construction
Task Duration
NOTE: This activity duration will increase if the Project Study Report
is not yet prepared.
References
- Project Development Procedures Manual -- Chapter
2, Section 5
- Procedures Manual for Special Funded State Highway Projects
TASK P048 (010.A)
Obtain Data from Tax Measure Authority
Narrative
Specific project information is required for initiating sales tax funded
projects following approval by the voters. Most of this information comes
from the Project Study Report (PSR) prepared by Caltrans. However, there
may be instances where considerable time has elapsed since the PSR was
prepared and the tax measure ballot approved. A supplemental PSR may be
required and additional data is requested from the local entity.
Initiator
Sub-Tasks
- Request the following data from the local entity (usually a tax measure
authority):
- Expenditure plan
- Strategic plan
- Other information, such as additional maps
Task Duration
References
- Procedures Manual for Special Funded State Highway Projects
- Task P047
TASK P049 (010.A)
Prepare Supplemental Project Study Report for
Tax Measure Projects
Narrative
If resources are available, Caltrans prepares supplemental Project Study
Reports (PSR) at its own expense, for projects on the State Highway System
that are financed by county sales taxes. The purpose of the supplemental
PSR is to define a programmable project, by combining preliminary project
concepts from the PSR together with current engineering and fiscal constraints.
Initiator
Sub-Tasks
- Review information and materials obtained from the tax measure authority.
- Review PSR or other feasibility studies conducted prior to the tax
measure vote.
- Prepare estimate.
- If new exceptions to Mandatory and Advisory Design Standards are identified
during development of the supplemental PSR, review them with the Project
Development Coordinator, Geometric Reviewer or Traffic Operations Liaison
Engineer, and the FHWA Transportation Engineer, if appropriate.
- Prepare draft Fact Sheets for exceptions to Mandatory and Advisory
Design Standards.
- Review the draft supplemental PSR, the estimate, and the draft Fact
Sheets with the Project Manager.
- Finalize the draft supplemental PSR, estimate, and draft Fact Sheets.
Task Duration
References
TASK P050 (010.A)
Circulate Supplemental Project Study Report
Narrative
Preparation of a draft supplemental Project Study Report (PSR) and the
draft Fact Sheets required input from Caltrans units and affected tax measure
authority. Final review should now be obtained.
Initiator
Sub-Tasks
- Preparation of a draft supplemental Project Study Report (PSR) and
the draft Fact Sheets required input from Caltrans units and affected tax
measure authority. Final review should now be obtained.
- Review drafts with the PDT, FHWA, and tax measure authority, as appropriate.
- Review drafts with the Project Development Coordinator.
- Send the draft supplemental PSR to relevant HQ functional units, if
review is desired.
- Discuss issues with responding Caltrans units and reconcile differences.
- Incorporate comments into the drafts or document reasons for omission;
then transmit to the responding Caltrans unit or tax measure authority.
Task Duration
References
TASK P051 (010.A)
Approve Supplemental Project Study Report
Narrative
The final step in the supplemental Project Study Report (PSR) process
is to obtain approval from the District Director.
Initiator
Sub-Tasks
- Obtain applicable approvals as follows:
- District concurrence on the Fact Sheet for exceptions to Mandatory
Design Standards; approval of the Fact Sheet for exceptions to Advisory
Design Standards
- Project Development Coordinator approval of the Fact Sheet for exceptions
to Mandatory Design Standards
- For Interstate System projects, obtain FHWA conceptual approval of
the project; as well as approval of the Fact Sheet for exceptions to Mandatory
Design Standards, if appropriate
- For Interstate System projects, obtain FHWA conceptual approval of
the project; as well as approval of the Fact Sheet for exceptions to Mandatory
Design Standards, if appropriate
- Route the final supplemental PSR to the Project Manager, Deputy District
Directors, and District Director for approval.
- Enter supplemental PSR estimate in the PMCS.
- Transmit 3 copies of approved supplemental PSR to OPPD and additional
copies to appropriate local entities.
Task Duration
- 3 - 5 days (except for FHWA approvals)
References
TASK P052 (010.A)
Execute Cooperative Agreement for Preliminary
Studies
Narrative
Approval of the Project Study Report for a locally funded or a sales
tax measure funded project authorized negotiations for a Cooperative Agreement
with applicable local entities. This agreement initiates preliminary studies
and establishes funding for a cooperative project. After approval of the
draft agreement by OPPD (or by use of pre-approved forms), the agreement
should be executed by the local entities and the District Director.
Initiator
Sub-Tasks
- Transmit three original agreements to the local entity, with a request
for execution of the Cooperative Agreement. The transmittal should request
certified copies of a resolution, minute order, or other decree adopted
by the governing body approving the agreement and authorizing the execution
of the agreement by a local entity official.
- After reviewing local entity documents for conformity, route original
agreements to the District Director for execution.
- Transmit executed agreements to OPPD for legal approval and filing
of one original agreement.
- Transmit executed agreement to local entity when received from OPPD.
Task Duration
References
TASK P053 (010.A)
Approve Programming of Project in Appropriate
Document
Narrative
Projects on the State Highway System, funded in part or in whole with
State and federal funds, are programmed in either the STIP, the Toll Bridge
Program, the SHOPP, or the TSM Plan.
Tax measure funded projects are programmed in the tax measure authority's
expenditure plan.
Locally funded projects are programmed by a local entity funding commitment,
which may be supported by an expenditure plan proposed by the entity.
Developer funded projects, if not sponsored by a local entity, are committed
to by a letter from the developer.
Initiator
- Division of Transportation Programming / CTC Staff
Sub-Tasks
- Project programming is approved as follows:
- CTC staff prepares recommendations for STIP proposals.
- CTC adopts STIP, SHOPP, and Toll Bridge Program.
- Caltrans approves the TSM Plan; CTC allocates the funds.
- Caltrans prints the approved programming documents.
- Division of Transportation Programming distributes the documents.
Task Duration
References
- Project Development Procedures Manual -- Chapter
4
- CTC STIP/RTIP Development Guidelines
- Task P046
TASK P054 (010.A)
Obtain "0" (zero) Phase Expenditure
Authorization
Narrative
The "K" phase Expenditure Authorization (EA) is used to record
the costs of preparing the Project Study Report (PSR) and the supplemental
PSR. The "0" (zero) phase EA is used to develop the project through
the project approval phase.
Initiator
Sub-Tasks
- Process Form No. FA-47 with resources identified to deliver the project.
- Revi
Task Duration
References
TASK P055 (010.A)
Request Placement of Project in Federal State
Transportation Improvement Program
Narrative
Projects using federal funds must be included in the Federal State Transportation
Improvement Program (FSTIP) in order to be eligible for funding through
the FNM-76 process. Projects located in urbanized areas must also be covered
by the Annual Element of the region's RTIP prior to requesting funds for
a specific project.
Initiator
- District Program Management
Sub-Tasks
- After adoption of the programming documents, request the Division of
Transportation Financing (Office of Federal Resources) to place the project
in the FSTIP.
Task Duration
References
TASK P056 (010.A)
Review PSR Scope, Cost, and Person-Year Requirements
Narrative
During project development, periodic reviews must be made to validate
that the project still satisfies project goals and objectives, and to ensure
that there are sufficient resources for timely delivery.
Initiator
Sub-Tasks
- Review scope to determine if the Project Study Report (PSR) adequately
addresses the project's goals and objectives. If a scope change substantially
revises geometric features, a supplemental or new PSR may be required.
- Determine if changes to the project's scope, schedule, or cost are
necessary.
- Determine if personnel are available to deliver the project on schedule.
If personnel are not available, then a project schedule change may be required.
- Review proposed changes with appropriate local entities.Process a Project
Change Request, if required.
Task Duration
References
TASK P057 (010.B)
Obtain Mapping and Surveys
Narrative
It was important to use accurate mapping for the Project Study Report
(PSR), but time requirements may make it difficult to obtain aerial contour
mapping. If this was the case, mapping should be ordered when the PSR is
approved, in order to provide accurate base maps for environmental studies
and the Project Report.
Initiator
Sub-Tasks
- Review mapping used for the PSR for adequacy.
- Meet with Surveys Unit or the Photogrammetry Coordinator to discuss
mapping needs.
Task Duration
References
- Task P011
- Users Guide to Photogrammetric Products and Services
TASK P058 (010.B)
Identify Tentative Project Development Category
Narrative
Project development categories identify projects with similar processing
requirements. The PDT determines the project category for a project. On
locally initiated projects, the local entity should be involved in the
determination.
Initiator
Sub-Tasks
- Conduct a PDT meeting to discuss and identify a tentative project development
category and determine process requirements.
Task Duration
References
TASK P059 (010.B)
Update Materials Information and Traffic Data
Narrative
During development of the Project Study Report, available materials
information was obtained. Current and forecasted traffic data were also
obtained for use in developing alternatives. This information must be updated
before starting environmental studies.
Initiator
Sub-Tasks
- Review existing materials information as well as current and forecasted
traffic data.
- Request updated materials and traffic information.
Task Duration
References
TASK P060 (010.B)
Review Preliminary Alternatives, Costs, and Schedules
Narrative
The planning process is dynamic; it requires continuous review. Project
alternatives must be reviewed to determine if additional features or alternatives
should be studied. The Value Analysis (VA) process is one technique that
can be used in evaluating alternatives.
Initiator
Sub-Tasks
- Review the project alternatives identified in the Project Study Report,
as well as other studies.
- If changes need to be made to satisfy project goals and objectives,
consider conducting VA study to improve existing alternatives or develop
new alternatives. Eliminate alternatives that do not satisfy project goals
and objectives.
- Update or prepare, as necessary, cost estimates and schedules for the
revised preliminary alternatives.
- Send a summary of proposed changes to alternatives, costs, and schedules
to the Project Manager and the PDT.
Task Duration
References
TASK P061 (010.C)
Prepare Community Involvement Plan
Narrative
A Community Involvement Plan is used to facilitate ongoing dialogue
with public entities, organizations, private groups, and the public. This
plan should cover project features, issues, and impacts.
Initiator
Sub-Tasks
- Identify project issues and impacts that may affect groups, individuals,
or public entities.
- Determine need for Initial Public Meeting.
- Prepare a Community Involvement Plan. Consider the use of newsletters
and the scheduling of workshops.
- Obtain plan concurrence from the PDT and involved public entities.
Task Duration
References
- Project Development Procedures Manual -- Chapter
22
TASK P062 (010.C)
Conduct Value Analysis Study (Project Report)
Narrative
Most projects should be developed using the Value Analysis (VA) process.
For these projects, a VA team will be established. This VA team conducts
a VA study of the project.
Initiator
Sub-Tasks
- Review Value Analysis procedures.
- Assist the district VA Coordinator in identifying VA team members.
- Contact OPPD VA/Resource Conservation for assistance.
- Schedule study and arrange resources.
- Conduct 40 to 60 hour VA study.
- Present recommendations to district management and the PDT.
- Submit a VA Workbook and Report to OPPD VA/RC.
Task Duration
References
TASK P063 (010.D)
Review Need for Consultant Services
Narrative
The process of contracting for consultant services requires the participation
of involved Caltrans functional units and, when appropriate, the California
Department of General Services. After the Project Study Report and project
programming have been approved, a prompt decision should be made regarding
the need for contracting out engineering or environmental studies, as the
contracting process can take considerable time.
Initiator
Sub-Tasks
- Meet with District Consultant Services Unit, Environmental Team Leader,
and Project Engineer to discuss the project delivery schedule.
- If the decision is made for Caltrans to utilize consultant services,
prepare a memo documenting the scope of the services, the reasons why use
of a consultant is recommended, and the justification for any proposed
deviations from standard contracting procedures.
- Obtain approval from the Deputy District Director for Project Development.
Task Duration
References
TASK P064 (010.D)
Initiate Contracting-Out Process
Narrative
If a decision has been made to contract for engineering or environmental
studies, the contract process should be initiated 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
determine if they are qualified and willing to do the work. If so, an agreement
is prepared and executed with the local entity.
- If not, 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 or Environmental
Team Leader, the District Consultant Services representative, and the appropriate
Deputy District 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 Office. HQ Consultant
Services Branch will process the report through the Office of Civil Rights
to address Disadvantaged Business Enterprises goal-setting criteria.
- Contract Manager, in coordination with the Project Engineer or Environmental
Team Leader, 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
- Service Contracts Manual
- Task P063
TASK P065 (010.D)
Advertise for Consultant Services
Narrative
Caltrans has developed standardized procedures for advertising for consultant
services to ensure a wide distribution to qualified firms and compliance
with applicable laws. Generally, 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.
It also 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. It also ensures that the RFQ is available to appropriate
engineering or environmental organizations by advertising in the California
State Contracts Register.
- The Project Manager and Contract Manager ensure that district personnel
do not respond to consultant requests for information regarding the contract,
except through appropriate channels. All contacts and responses must be
documented.
Task Duration
References
TASK P066 (010.D)
Select Consultant
Narrative
The Consultant Selection Committee evaluates the consultants' qualifications
in order to select the most qualified firm.
Initiator
Sub-Tasks
- Appoint a Consultant Selection Committee (CSC). Appointments must be
approved by the District Director or the appropriate Division Chief for
HQ Contracts.
- The CSC evaluates consultants' Statements of Qualifications, following
criteria published in the Request for Qualifications. The CSC then establishes
a list of the most 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 or Environmental Team Leader.
- 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 P067 (010.D)
Negotiate Consultant Contract
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 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.
- In coordination with the Project Engineer or Environmental Team Leader,
finalize the Caltrans cost estimate.
- The consultant submits a cost proposal to the District Contracts Officer.
The District Contracts Officer sends the proposal to HQ Audits and Security
for a pre-award audit, and 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-rankedfirm.
Task Duration
References
TASK P068 (010.D)
Execute Consultant Contract
Narrative
After negotiations are complete, the consultant contract can be finalized
and executed. This requires review and approval by the district, Contracts
and Services Office, Legal Division, and if required - the California Department
of General Services. The contract is not fully executed until required
approvals have been obtained. The consultant may not commence work until
the contract 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, obtain the approval of the Project
Manager and the Project Engineer or Environmental Team Leader.
- 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 the
Contracts Service Office.
- The 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
TASK P069 (010.E)
Conduct Initial Public Information Meeting
Narrative
The initial public information meeting is a key part of the Community
Involvement Plan. During preparation of the Project Study Report, contacts
were made with the staff of affected local entities. The initial public
information meeting initiates involvement of the general public. Affected
public and private groups and the media should also be invited.
The meeting is mandatory for Category 1 and Category 2A projects. For
Category 2B, Category 3, and Category 4A projects, the meeting should be
held if requested or if there appears to be sufficient interest. For Category
4B projects, the meeting should only be held if requested by the local
entity. This meeting may also be the scoping meeting for projects involving
an EIS.
Initiator
Sub-Tasks
- Prepare exhibits that show the project features for the various alternatives,
including right of way requirements.
- Contact the local entities to arrange for a site and date.
- Send news releases and invitations to appropriate parties (legislators,
citizens groups, etc.).
- Determine meeting format and select individuals to make presentations.
- After the meeting, prepare a summary noting substantial items discussed,
consensus reached, and list of attendees.
- Review the summary of the public information meeting with PDT.
Task Duration
References
TASK P070 (010.E)
Prepare and Distribute Written Notice of Studies
Narrative
Written notification of initiation of studies is prepared and sent to
interested parties after there is agreement on the study process. This
notification is concurrent with the beginning of the environmental process.
Initiator
Sub-Tasks
- In conjunction with the PDT, determine that environmental studies should
commence.
- Prepare and distribute the written Notice of Initiation of Studies
to potentially interested federal, State, and local entities, other organizations,
and private individuals.
Task Duration
References
TASK P071 (010.E)
Update Alignments and Geometrics
Narrative
Before proceeding with environmental studies, alignments and geometrics
should be updated so the impacts may be more accurately determined.
Initiator
Sub-Tasks
- Review proposed alignments and geometrics.
- Review control features observed during field trips and subsequent
studies (local entity input, etc.).
- Update alignments and geometrics.
Task Duration
References
TASK P072 (010.E)
Obtain Project Development Coordinator's Review
of Updated Alignments and Geometrics
Narrative
At this stage, concurrence with updated alignments and geometrics should
be obtained from the Project Development Coordinator.
Initiator
Sub-Tasks
- Meet with Project Development Coordinator to review the updated alignments
and geometrics.
- Review previous exceptions to Mandatory Design Standards to determine
if additional exceptions should be considered.
- Revise alignments and geometrics, as appropriate.
Task Duration
References
TASK P073 (010.E)
Prepare Maps for Environmental Evaluation
Narrative
Environmental effects may be difficult to identify. Many natural resources
(trees, parks, etc.) are easily recognized; however, certain plants and
animals, as well as wetlands, vernal pools, etc., can only be identified
at specific times of the year. To facilitate environmental studies, maps
should be prepared that identify areas of potential impacts.
Initiator
Sub-Tasks
- Prepare Area of Potential Impact (API) maps that show the proposed
areas of disturbance for each project alternative selected for study.
- Review API maps with the Environmental Unit.
- Reconcile differences with the Environmental Unit and update maps.
Task Duration
References
TASK P074 (010.E)
Request Environmental Studies
Narrative
Environmental studies may control the project schedule between Project
Study Report and project approval. Studies must be performed on alternatives
selected for study. Some studies, such as an archaeological survey or endangered
species study, could take two or more years to complete. The date of request
for environmental studies is one of five dates that must be reported to
the California Legislature.
Initiator
Sub-Tasks
- Send Area of Potential Impact maps to the Environmental Unit and request
that they commence environmental studies.
- Inform district's Project Control Unit of the date of request for environmental
studies.
Task Duration
References
TASK P075 (010.E)
Obtain Access for Environmental and Engineering
Studies
Narrative
The need for rights of entry must be reviewed at this time. Before environmental
studies begin, permission must be obtained to enter private properties.
Initiator
Sub-Tasks
- Arrange a meeting with Caltrans personnel who will require access to
private property: Environmental Unit, Right of Way Branch, Materials Unit,
Surveys Unit, etc.
- Request the Right of Way Branch to obtain rights of entry.
- Furnish mapping.
Task Duration
References
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This web site last modified August 12, 1997.