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California State Department of Transportation
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The project development process spans that period of time that begins with feasibility studies and ends with the completion of construction. The development process is tied to the legal requirements of environmental laws and regulations; it melds engineering requirements and Caltrans' management approval steps with the environmental process.
Considerable planning is done prior to project development. This results in the development of a planning concept and scope identifying the type or mode of the facility as well as other features relating to the location and length of the project, including the number of lanes and general interchange and intersection spacing. (See Chapter 1 for definitions of "planning concept" and "planning scope".) This planning work focuses on identifying and clarifying the specific transportation system problem, and then looking for practical solutions. Project goals, objectives, and preliminary scoping are established so that preliminary feasibility studies can begin. A Feasibility Planning Estimate may be prepared to validate the proposed project's objectives. (For more information, see Chapter 20, Section 2, "Project Development Cost Estimates".)
The determination of the appropriate transportation mode or modes should occur as part of the planning process for major urban improvements. This results from a Corridor Study and a Major Investment Study.
Project development follows system and regional planning or follows the various management systems and master plans that identify the need for a particular project. The planning concept and scope are reviewed, and updated if appropriate, to define the design concept and scope, including basic design features. (See Chapter 9, Article 2, for definitions of "design concept" and "design scope", as well as "basic design features".
A good statement of the proposed project's purpose & need should flow out of system planning. (For more information on the system planning process, see Chapter 1, Section 4.)
A project must satisfy a clearly defined need and purpose. It must meet State, regional, and local goals and objectives. For capacity-increasing projects, this includes air quality goals.
Alternative solutions are evaluated that avoid or reduce significant adverse environmental impacts. The alternative selected is the one that causes the least environmental damage while still serving the essential transportation need.
Decision to Prepare Project Initiation Document
Prior to committing district resources for the preparation of a project initiation document, a district may prepare a one or two-page decision document discussing the feasibility of initiating a project. This decision document may be called a "Project Proposal Report", a "Project Initiation Proposal", etc.
The decision document usually includes a strip map and a feasibility planning estimate. It is an internal district document; each district determines its own requirements for initiating projects, subject to various required considerations including the Regional Agency's PSR priority listing.
The project development process is initiated by the designation of a Project Manager (PM). The PM secures an Expenditure Authorization (Chapter 8, Section 3) and then begins preparing a Project Work Plan (see Project Management Procedures Manual). The initial Project Work Plan will usually cover only the project initiation process in any detail; following approval of the project initiation document, further development of the Work Plan will take place.
The PM determines the composition of the Project Development Team (PDT) by determining which internal functional disciplines and external representatives are required to plan and carry out the development of the project (see Chapter 8, Section 4). At its first meeting, the PDT determines the tentative Project Development Category (See Chapter 8, Section 5). The Project Manager uses the Project Development Category to prepare the Project Work Plan.
The following types of projects need concept studies and review prior to inclusion in the Project Delivery Schedule or the programming document:
The various project initiation processes and documents are described in Chapter 9.
Programming Precedes Formal Project Studies
Before formal project studies can commence for State-funded projects, the project initiation document must be approved and the project must be programmed in a State programming document (See Chapter 4, "Programming") for Special Funded Projects, an executed Cooperative Agreement or Highway Improvement Agreement must exist (see Chapter 2, Section 5).
Exceptions
Formal project studies may begin earlier when an approved project initiation document contains specific language granting exception to the normal procedures.
In addition, long-lead-time projects may commence prior to programming if they meet all seven steps outlined below. The CTC and Caltrans limit the number of such projects to an absolute minimum, consistent with availability of funds and project development staff available to Caltrans. CTC verifies that all of the following conditions are met.
1. Due to project complexity, estimated project development time exceeds seven years.
2. There are demonstrable practical reasons why certain phases of the project development work should be done early.
3. Substantial cost savings will be realized as a result of early start on the project development work.
4. Work is limited to what is necessary to make the project eligible for inclusion in a subsequent programming document.
5. The work does not interfere with or delay work on projects included in an adopted programming document.
6. Funding for the work is provided in the Budget Act.
7. A request to perform the project development work is submitted to the CTC, along with supporting documents.
Schedules for all major projects are listed in the Project Delivery Schedules. This Delivery Schedule is developed by the Office of Statewide Project Management and Control in the Project Management Program. Note that it includes all major projects, not just those listed in the STIP.
This section provides an overview of the project development
process with respect to the Major PYPSCAN Milestones illustrated
in the flowchart below.
Each of the following chapters in Part 2 describes major events or phases in the project development process and is introduced by a brief explanation and flowchart illustrating where it fits in the sequence of PYPSCAN Milestones.
The individual tasks required to complete a project as it proceeds through the project development process are described in the Project Development Workflow Tasks Manual. The PDWTM tasks are based on these same PYPSCAN milestones. Chapter 5 in the PDPM provides specific details on the PYPSCAN system.
In addition to the PDPM and Project Development Workflow Tasks Manual, other manuals are needed for reference throughout the project development process and are listed as a general reference.
The discussion in this section is a general guide through the project development process. This guide, for a specific project, needs to be modified depending on the specific circumstances of the project. To determine the details for completing a specific project, consult other chapters in this manual, the Project Development Workflow Tasks Manual, the other manuals referenced in Chapter 1, Section 2, and applicable district procedures.
System and Regional Transportation Planning
The planning concept and scope for major transportation improvements are developed during the system planning process. The Regional Transportation Plan (RTP) presents the proposed improvements for the region after completing required Major Investment Studies (MIS), air quality conformity analysis, and a preliminary environmental evaluation. This is the first phase for screening project alternatives and it is documented in the CEQA environmental document that the Regional Transportation Planning Agency (RTPA) prepares for the RTP. Management Systems, Master Plans, and prioritizing processes identify other project needs.
Chapter 1, Section 4, and Chapter 3, Section 1, of the PDPM describe system and regional transportation planning in further detail. In addition, the following Caltrans manuals and guidance should be referred to: System Planning Guidelines; Regional Transportation Plan Guidelines; and Highway Capacity Manual.
Milestone 000 to Milestone 020
Determine Project Alternatives and Approve Project Study Report (PSR)
The Project Manager begins the project development process by preparing a project workplan for the proposed project and by coordinating the designation of a Project Development Team (PDT). The Project Engineer obtains preliminary data for the project engineering work. Projects with potential for significant environmental impacts requiring formal consideration of alternatives, usually are initiated by documentation in a Project Study Report (PSR). However, other project initiation processes are available, depending upon the project type and specifics. Many of these optional processes provide project approval at this point - which allows the project to bypass subsequent milestones and proceed directly to Milestone 200 and the initiation of project design.
Prior to PSR approval (Milestone 010), sufficient information is needed to determine if project alternatives should be formally considered when the environmental document is prepared. If formal consideration is required, additional studies will be necessary to fully document the purpose and need and to identify the design concept and scope of the full range of possible project alternatives. A deliberate evaluation of the full range of project alternatives is required, to assure that alternate and multimode options are considered, that feasible avoidance alternatives are identified (if required), and that the costs of alternatives are evaluated. From these alternatives, the viable alternatives are studied in detail and are identified and documented in the PSR. One of the viable project alternatives is selected for programming the project's cost, design concept and scope, and schedule.
Following PSR approval and programming, and prior to initiating the environmental studies (Milestone 020), geometric plans and R/W maps should be prepared in greater detail to identify the areas of potential effects.
Chapter 9 of this manual provides details on the project development policies and procedures relating to project alternatives, PSRs, and other project initiation documents. Other information on project development tasks required between Milestones 000 to 020 may be found in the Project Development Workflow Tasks Manual. The following Caltrans documents should be referred to: Environmental Handbook; Cooperative Agreement Manual; Procedures Manual for Special-Funded State Highway Projects; Encroachments Permit Manual; Project Management Procedures Manual; Highway Design Manual; Transportation Management Plan Guidelines; Major Damage Restoration Coordinator's Handbook; Photogrammetric Products and Services; and Project Candidate List Development Manual.
Milestone 020 to Milestone 140
Complete Detailed Environmental & Engineering Studies for Project Alternatives (as needed)
After reviewing the project alternatives, and prior to Milestone 040 (initiation of Draft Project Report & Draft environmental document), impact mitigation measures are identified. Upon completion of the appropriate environmental studies and identification of potential significant adverse impacts, the need for additional alternatives should be determined.
When the environmental studies for the viable alternatives are complete, the Draft Project Report is finalized, approved (Milestone 100), and the Draft environmental document is circulated to the public (Milestone 120). A preferred alternative is not recommended at the Draft environmental document stage. However, if presented, the discussion of the preferred alternative should document factors considered in its selection.
The least environmentally damaging, practicable alternative (LEDPA) must be identified when a draft EIR is prepared. If the "no-project" alternative is identified as the LEDPA, the Draft EIR must identify a LEDPA from among the "build" alternatives.
Chapter 10 describes the project development policies and procedures relating to the completion of environmental and engineering studies for project alternatives. For the project development tasks required between Milestones 020 to 140, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Environmental Handbook; Project Management Procedures Manual; Highway Design Manual; and Surveys Manual.
Milestone 140 to Milestone 160
Conduct Public Hearing (as needed)
Following circulation of the Draft environmental document (the public review period), a public hearing is held (Milestone 140). After analyzing the public hearing comments, a preferred Alternative is normally selected, which allows the preparation and approval of the Final environmental document (Milestone 160) which is attached to the PR.
Chapter 11 describes the project development policies and procedures relating to a public hearing. For the project development tasks required between Milestones 140 to 160, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Environmental Handbook; Project Management Procedures Manual; and Caltrans Media Handbook .
Milestone 160 to Milestone 200
Approve the Preferred Project Alternative
Selection of the Preferred Alternative authorizes the completion of the PR for project approval. When an EIS has been prepared, an Environmentally Preferred Alternative is identified in the Record of Decision (ROD) that is published in the Federal Register.
Chapter 12 describes the project development policies and procedures for selecting and approving the Preferred Alternative and for project approvals. For the project development tasks required between Milestones 160 to 200, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Environmental Handbook and Project Management Procedures Manual.
Milestone 200 to Milestone 260
Initiate Project Design
Once the preferred alternative has been chosen and the project has been approved, project design (preparation of PS&E) can be initiated. Data from the Materials Report, survey information, Preliminary Drainage Report, geometric base maps and other sources are used by the PE for project design. Skeleton layouts and typical cross sections are developed (Milestone 260). Quantity calculations are started for contract items. Structure Site Submittals, Utility Plans for the utility companies, and Right of Way Maps are sent to the appropriate individuals for use in preparing their design contributions to the project.
Chapter 14, Section 1, of the PDPM describes the project development policies and procedures for initiating the design of a project. For the project development tasks required between Milestones 200 to 260, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Highway Design Manual; CADD Users Manual; Drafting and Plans Manual; Standard Plans; Standard Specifications; Plans, Specifications and Estimates Guide; Project Management Procedures Manual; Bridge Manuals; and Right of Way Manual.
Milestone 260 to Milestone 300
Conduct Detailed Project Design
During this time frame, design details, plans, quantity calculations, and contract specifications for the project are developed by the involved functional units. The PE consolidates the work of functional units into a draft set of plans and specifications. Once all of the project data are consolidated, the project plans are circulated for review and comment in the District (Milestone 300).
Chapter 14, Section 2, of the PDPM describes the project development policies and procedures relating to project design. For the project development tasks required between Milestones 260 to 300, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Highway Design Manual; CADD Users Manual; Drafting and Plans Manual; Traffic Manual; High Occupancy Vehicle (HOV) Guidelines; Ramp Meter Design Guidelines; Standard Plans; Standard Specifications; Plans, Specifications and Estimates Guide; and Project Management Procedures Manual.
Milestone 300 to Milestone 380
Complete Project Design
When all of the district comments are returned to the PE, the final design phase for the project begins. These comments are considered, a Safety Review is conducted, and the project Plans, Specifications and Estimate (PS&E) are finalized. An environmental reevaluation should be conducted to confirm that the project design is within the framework of the project approval document, which includes the environmental document for the project. The project PS&E is then submitted to the District Office Engineer Unit. After combining with Structures PS&E, it is sent to the Office of Office Engineer of the Engineering Service Center (Milestone 380).
Chapter 14, Section 3, of the PDPM describes the project development policies and procedures for the completion of project design. For the project development tasks required between Milestones 300 to 380, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Highway Design Manual; Environmental Handbook; CADD Users Manual; Drafting and Plans Manual; Standard Plans; Standard Specifications; Plans, Specifications and Estimates Guide; and Project Management Procedures Manual.
Milestone 380 to Milestone 500
Prepare and Advertise Project Contract
Once the project reaches this stage, the design work should be complete. However, some additional details need to be completed prior to advertising the contract. Right of Way Certification and a CTC Funds Request approval must be obtained. The final project documents and bid package are then assembled to prepare the project for advertising. After the project has been advertised and the bids have been opened, the PE reviews the bidding process and recommends that the contract be approved (Milestone 500) and awarded, if appropriate.
Chapter 14, Section 3, and Chapter 15, Section 1, of the PDPM describes the project development policies and procedures concerning the preparation, advertisement and award of the project contract. For the project development tasks required between Milestones 380 to 500, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Plans, Specifications and Estimates Guide; Construction Manual; and Project Management Procedures Manual.
Milestone 500 to Milestone 700
Conduct and Complete Construction Project
Contract approval authorizes construction of the project. The project is constructed and the contract is administered according to the PS&E that was developed by the PE. However, if any design changes are required during the construction of the project, the PE will be consulted and usually requested to prepare the engineering details and calculations required to adequately construct the project changes. The Resident Engineer for the project prepares the Final Construction Project Records when the project is complete (Milestone 600). The Final Contract Estimate, Project History File and the As-Built Plans for the project are completed before the project is complete (Milestone 700).
Chapter 15, Sections 2 and 3, of the PDPM describe the project development policies and procedures for project construction. For the project development tasks required between Milestones 500 to 700, see the Project Development Workflow Tasks Manual. In addition, the following Caltrans manuals and guidance should be referred to: Construction Manual and Project Management Procedures Manual.
Project Development costs for personnel and support are captured by charging to the appropriate Expenditure Authorization (EA) and Subjob, with work activity breakdown details captured by Activity Codes, Management Systems Activities (MSA) codes, and Special Designation codes. EAs shall be issued for each project study prior to undertaking any work.
A general description of EAs is listed below. Further details may be found in the Coding Manual, Volume 1, Chapter 11.
Charges for owner-operator work, project overhead, and project-direct work are accounted for by the establishment of an EA in the Expenditure Authorization Table. A six-digit code identifies the EA. EA numbers are assigned to the following basic groups; with "X" representing either numeric or alpha characters:
0X00XX - 4X99XX = Multiphase Projects
5X0001 - 5X9999 = Maintenance
600001 - 699999, RXXXXX, TXXXXX, CXXXXX = Special Projects
700001 - 899999 = Prepayment and Receipt
900001 - 999999 = Single Phase Expenditure Authorizations
Refer to the Coding Manual, Volume 2, for details on EA codes and procedures.
The District Project Control Unit assigns an EA number to each project. Projects are coded using multiphase EA numbers, as shown below:
Project Number:
The first four digits of the EA number identify the basic project. The Project Number is assigned at the beginning of the Project Initiation process and is retained throughout the life of the project, involving all phases of work.
Segment Code:
Large projects may ultimately be segmented into several construction projects. The fifth digit of the EA number is used to identify individual construction projects derived from the basic project. For example, the beginning portion of a route would be segment "1", the ninth segment would be segment "9". EA number "244351" would be the fifth construction project. If a project is not segmented, the numeral "0" is used in the fifth position of the EA.
Phase Code:
The sixth digit of the EA is used to identify the phase of a project. The numbers "0" through "9" or the alpha characters "H", "K", or "R" are used to identify the functional phase within the work segment. The phases are described below:
CODE PHASE K Begin Work Through Project Initiation Document Approval 0 Environmental Review and Project Approval (PR) 1 Design (PS&E) 2 Right of Way - Operations (Capital Outlay Support only) 3 Construction Engineering 4 Major Contract Capital Payments 5 Minor Contract Capital Payments 6 Vacant 7/8 Miscellaneous or Cooperative Agreements 9 Right of Way - Capital Outlay (Normal) H Right of Way - Hardship or Protection Capital R Right of Way - Rental Property Management - Support
The following paragraphs describe capital outlay support activities that may be charged to the various phases of a multi-phase EA.
Phase K - Project Initiation Document
Phase 0 (zero) - Project Report (PR) Environmental Document
Phase 1 - Design
Phase 2 - Right of Way Operations
Phase 3 - Construction Engineering
General supervision is charged to overhead EAs. They are grouped by major work function, as follows:
See the Single Phase EA Descriptions provided to Resource Managers to determine the current EAs.
District Directors have been delegated authority to approve and charge to EAs as follows:
Districts can assign 0-phase EAs whenever a project has been authorized by the CTC and is included in an approved programming document (e.g., the STIP).
Districts can also obtain 0-phase EAs for projects that have not been authorized by the CTC or Caltrans and are not in an approved programming document. To do so, the EA must be approved by the District Director. When the adopted programming document includes the project, the EA is activated without review, in the Caltrans accounting system (TRAMS) by the Accounting Service Center.
Successful project management requires effective and precise exchange of information between all the personnel involved throughout all phases of a project. It is essential that individuals performing project work all charge their time in a consistent manner. This consistency is aided by the use of standards which provide a precisely defined structure used by all involved personnel to plan the project, exchange information, and organize reporting. Caltrans has developed three project management standards in the form of breakdown structures, breaking down Caltrans capital outlay support process by work done, resource need and organization structure.
The data generated by the use of these standards provides information that is consistent statewide and is needed to:improve charging practices
Work Breakdown Structure (WBS)
Personnel support charges made to project development EAs are to include all project-oriented activities from initiation of studies through close-out of the construction project. These activities are known collectively as the WBS. The WBS is simply a formal and systematic way of defining and identifying the component parts of a project and the work to be done on them. It is a product oriented structure that organizes and defines the total Caltrans Capital Outlay project work. See the Guide to Caltrans Capital Outlay Support Work Breakdown Structure for a detailed description of the WBS and its use. A detailed listing of the activities is also included in the Coding Manual, Volume 1, Chapter 6. Many of the WBS activities used in project development work also correspond to the individual tasks described in the Project Development Workflow Tasks Manual. See that manual for details.
Resource Breakdown Structure (RBS)
In conjunction with the WBS, the RBS is used to record time expenditures. The statewide standardized RBS codes define personnel resources along functional (not organizational) lines and corresponds to the standard cost center coding structure. The RBS is used to identify functionally who is charging the project EA. See the Briefing Package on Capital Outlay Support Work Breakdown Structure and Resource Breakdown Structure for more information.
Organizational Breakdown Structure (OBS)
In conjunction with the WBS and the RBS, the OBS is also used to record time expenditures. The OBS identifies specific organizational units and the structure is specific to the district or service center.
Other accounting codes used for project development activities, include Subjob Number, Special Designation, Management System Activities (MSA) Code, and Object Code. For further information, refer to the Coding Manual, Volume 1.
The Project Development Team (PDT) is directly involved with the implementation of a transportation project. The original PDT concept was developed in response to the National Environmental Policy Act (NEPA) of 1969 which requires public agencies to "utilize a systematic, interdisciplinary approach which will ensure the integrated use of the natural and social sciences and the environmental design arts in planning and in decision making which may have an impact on man's environment".
The interdisciplinary approach uses interaction of different disciplines in the planning, developing, and evaluating alternatives. Caltrans uses a formal PDT meeting approach for projects in Project Development Categories 1, 2A, 3 and 4A. An informal approach without requiring attendance at meetings is usually used for Categories 2B, 4B and 5. (See Chapter 8, Section 5, for the definitions of Project Development Categories.)
The PDT advises and assists the Project Manager (PM) in directing the course of studies, makes recommendations to the PM and district management and works to carry out the project workplan. Members of the PDT participate in major meetings, public hearings, and community involvement. The PDT also serves as the nucleus for a Value Analysis Team (see Chapter 19). The PDT is responsible for the conduct of studies and the accumulation of data throughout project development to PS&E.
The primary functions of the PDT are listed below:
The PDT Team Leader is typically designated by the District Division Chief for Program/Project Management. If the Team Leader is to be from another functional unit, the appropriate functional District Division Chief will designate the Team Leader. The person selected to be the Team Leader will also be the Project Manager (PM). Project assignments are based on project complexity and the ability, skill level, background, experience, past performance and existing workload of the PM.
The person selected to be the Team Leader (the PM) can be from any of the functional areas. Selection is based on the professional skills required to perform the planning and alternatives analysis that is specific to the assignments for that PDT. The Team Leader should have an overall understanding of the project development process, be able to manage a team, and be able to work effectively with communities, groups, and the staff of local agencies.
Formation of the PDT, selection of the team leader (the PM), and all subsequent modifications to the team must be documented in the project file. (See Chapter 7.)
PDT meetings should be held as necessary. Regularly scheduled meetings assist in maintaining group dynamics and communication. More meetings are probably necessary during initial studies, with need decreasing during the technical studies, and increasing again during completion and analysis of results prior to making specific recommendations for the Draft Environmental Document. PDT members should attend meetings when their involvement is necessary.
Minutes of team meetings are prepared and placed in the project file to document decisions. The detail of minutes varies according to the purpose of the meeting.
Before starting project studies, the core of the PDT is formed for all projects, regardless of size or type of funding. The core PDT guides preliminary studies until the project is defined, which then determines the Project Development Category and the project development process requirements. At a minimum, a PDT is composed of the Project Manager, a representative of the regional transportation planning agency (if involved), and representatives from District Design, Environmental, Traffic, Safety, Surveys, Construction, and Maintenance Units, and the Right of Way Branch. The program manager and/or program advisor should also be considered.
Note: This manual uses the term "Design Unit" to refer to the district functional unit primarily responsible for the development of engineering design features of the project. This includes those units responsible for monitoring or reviewing State-highway-project engineering design features that are developed by outside entities or that are directly contracted out.
The PDT should make the most efficient use of member's time. For instance, a PDT may be formed to handle all safety and operational improvement projects. This PDT should be able to act through individual review of reports, by Team Leader (PM) telephone contact, or by having one meeting to cover several projects at one time.
Representatives from Safety, Construction, Surveys, Traffic and Maintenance are included for all projects to ensure that appropriate consideration is given to design features that limit exposure of employees, contractor personnel, and the traveling public to traffic during construction, maintenance, and all other normal operations.
Team members may be full-time or part-time, depending on the magnitude of the impacts or the fields in which they specialize.
The selection of additional team members depends on the scope and complexity of the proposed project. The interdisciplinary skills of the district, Headquarters, FHWA, and local and regional agencies are requested as needed to ensure that engineering, social, economic, and environmental aspects are adequately assessed, and reasonable evaluations and decisions are made.
On locally funded projects, representatives from the project sponsor should be included on the PDT, as appropriate. The Caltrans PM should be provided a list of names from the project sponsor indicating the external participants they would like as PDT members (typically their PM and functional specialists or consultants). The Caltrans PM will then determine the appropriate composition of internal functional disciplines to complete the PDT.
The California Highway Patrol (CHP) Division Commander should be requested to assign a representative whenever the project could have an impact on CHP enforcement of public safety. Example projects include: striping right or left shoulders as auxiliary lanes, narrowing shoulders or lanes, striping any section of freeway or expressway for high occupancy vehicle (HOV) operation, noise barriers adjacent to shoulders, ramp meters, weigh stations, or paving a truck brake check area at the summit of a grade.
If significant utility investigation and relocation are involved, a representative of the Right of Way Utilities Unit may be used on the PDT.
For a project with extensive structure involvement, a representative of the Office of Structure Design should be on the PDT to assist in development and analysis of alternatives.
To ensure that aesthetics, visual impacts, conservation and management of roadside vegetation, and site planning are appropriately addressed, the District Landscape Architect (LA) or Project LA should be a member of the PDT for all projects which involve or affect planting, access and safe working conditions for vegetation management, roadside rest areas, noise barriers, and scenic highways; also the opportunity to participate on all other types of projects should be offered.
For projects with noise barriers or unique structures, a bridge architect should be considered for membership on the PDT to assist in development of architectural treatments. Assistance in the selection should be requested from the Engineering Service Center, Division of Structures, Office of Structure Design.
In addition, existing advisory groups established by local agencies should be consulted to ensure due consideration of aesthetic issues. Examples of such groups include: Architectural Review Boards, Design Review Committees, Community Advisory Boards, etc. Where such groups do not exist, consult the local agency as to the appropriate method for obtaining citizen participation on aesthetic issues.
The District Community Involvement Coordinator or Public Information Officer should be invited to participate on the PDT, as appropriate, to assist in developing an appropriate public participation and citizen involvement program. (See Chapter 22, "Community Involvement".)
Additional members may be selected from, but are not limited to, the following:
Representatives from District Real Property Asset Management are normally not members of the PDT, but should be invited to the PDT meetings. The District Asset Manager will attend Team meetings on those projects with potential for multiple use or special uses of right of way.
The PD Coordinator and the Environmental Coordinator (from the Environmental Program), while usually not official members of the PDT, should be called upon as needed to provide liaison between the District and Caltrans Headquarters Units and FHWA.
On projects that may potentially have environmental impacts, Advisory Committees may be used to obtain semi-formal, specialized community interaction. They serve as adjunct committees to the PDT. Committee types and typical roles are described as follows:
Example of a Caltrans Advisory Committee
An example of an advisory committee might be an Aesthetic Advisory Committee composed of representatives from the local community's architectural review board, design review committee, other interested advisory boards, etc. and individual citizens.
Appointment of Caltrans Advisory Committee Members
When a timely study is needed, and when project funding appears to be available, advisory committees may be appointed by the local government. Such a committee is responsible to the appointing local government. The local government should be encouraged to appoint members that represent a broad spectrum of community interest, including those of the physically challenged and minorities. The local government should also devote adequate staff time to the committee. A subcommittee can be appointed for specific phases, such as traffic studies, analysis of project alternatives, etc.
Functions of a Caltrans Advisory Committee
Advisory committees, if used properly, can help to identify problems and clarify key issues. They are not and should not be considered decision-making bodies. They can be used to:
Any PDT contemplating use of an advisory committee should develop a written charter for the committee. The charter should indicate that the advisory committee's role is to provide advice to the PDT. The PDT should always consider this advice. Ignoring the advice risks creating a hostile relationship between the PDT and the advisory committee.
Advisory committees may attempt to assume a role beyond their role described in the charter. If this happens, it may be necessary to have the committee review its charter and refocus on its role and purpose. See Chapter 22, Article 8, for more information on Caltrans Citizen Advisory Committees.
Need to Develop Working Relationship
When using an advisory committee, a close working relationship should be developed with the chair and members individually. Controversies and differences should be informally resolved (one-on-one) so that the advisory committee operates as smoothly as possible. An action contrary to the advice given by the committee may reflect badly on the project or compromise Caltrans' future relationship with the whole community.
Proper Use of Caltrans Advisory Committees
Advisory committees should be used properly. For instance, an advisory committee should not be used to inform the public of project activities and plans. A more practical method to inform the public of project activities, plans and schedules is to use a project newsletter or a strong media program. See Chapter 22, Articles 9 and 11, for more details on providing the public project information.
It is recognized that all projects are not of the same magnitude, nor will they have similar effects due to differing geographic location, population densities, and other unique characteristics. The project development process must provide a methodology to address these economic, social, environmental, and transportation differences. It must also address applicable federal and State legal requirements.
Similar Projects Equal Similar Process
Project Development Categories have been established to assure that project-related differences and State and federal requirements are addressed in the project development process. Each category consists of groups of projects having similar characteristics and therefore similar development procedures. The following characteristics were selected for categorizing highway projects:
1. Whether or not there is access control
2. Whether or not the project is on new alignment
3. Whether or not substantial new right of way is required
4. Whether or not there is substantial increase in traffic capacity
5. Whether or not the project is initiated by, and is under the jurisdiction of, a local agency
By definition, Categories 1 through 4 apply only to State highways; Categories 5 and 6 apply to either State or local highways; Category 7 is limited to local highways.
Category 1 Projects
Projects requiring access control, new right of way, adoption of a route location by the CTC, and Freeway Agreements.
Examples: New freeways, expressways, and controlled access highways on new alignment - conversion of conventional highways (with no access control) to freeways - expressways or controlled access highways.
Category 2 Projects
Projects that require a route location adoption by the CTC, and new right of way, but do not require access control or freeway agreements.
Examples: New conventional highways or realignments of conventional highways.
For purposes of determining whether or not an initial Project Development Team (PDT) meeting will be scheduled, Category 2 projects will be informally classified as "2A" or "2B". The proper classification will be determined by the PDT. Guidelines for these classifications are not specific, but would generally be described as below:
2A Projects:
A major project which would normally be one of substantial realignment or providing a substantial increase in traffic capacity. Also, the project would be one of particular significance physically or environmentally, or may be located in an area of critical concern.
2B Projects:
A minor project which would not meet any of the requirements for a major project. Examples include minor safety curve corrections, temporary connections, and other small realignments requiring a route adoption.
Category 3 Projects
Projects on previously constructed access controlled routes requiring a new or revised freeway agreement, but not a route adoption. New right of way may or may not be required. This category does not apply to the subsequent stages of multistage projects. A Category 3 project may be Categorically Exempt.
Examples: New or revised interchanges - new connections - conversion of expressway to freeway - widening an existing expressway, freeway, or controlled access highway, if they involve changes to local roads.
Category 4 Projects
Projects that do not require a location adoption or a Freeway Agreement and do not meet the criteria of Categories 5 or 6.
Because a wide variety of projects will be classified as Category 4, a further classification is made into 4A projects and 4B projects. The purpose of this distinction is to make an early tentative identification of projects whose potential impacts are most likely to be of interest or concern to regional and local jurisdictions.
4A Projects:
Projects requiring substantial new right of way or substantially increasing traffic capacity.
Examples: Widening conventional highway - addition of freeway lanes - interchange reconstruction not requiring a revised freeway agreement - separate safety roadside rest areas
4B Projects:
Projects that do not require substantial new right of way and do not substantially increase traffic capacity.
Examples: Projects that could probably be Category 5 projects except for the fact that they require a Negative Declaration rather than being Categorically Exempt under CEQA.
Category 5 Projects
Projects of minimal economic, social, or environmental significance. These projects would include those Categorically Exempt under CEQA. The Environmental Handbook contains a complete listing of Categorical Exemptions, along with guidelines for their applicability to a project.
Category 6 Projects
Projects urgently needed because of a national emergency, natural disaster, catastrophic failure, or immediate threat to life or property. Caution should be exercised for projects lasting over 30 days that have potential Section 106 (National Historic Preservation Act) involvement.
Even though there are no specified procedures for State-administered emergency restorative work, projects should involve interested local agencies when practicable. For major permanent replacement work involving studies of alternative locations, development of plans, right of way acquisition, betterments, etc., the procedures of the appropriate project category will apply, unless otherwise approved by the FHWA.
Category 7 Projects
Federal-aid projects initiated by local agencies on highways under their jurisdiction, not classified as Category 5 or 6.
The assignment of a particular category is usually a PDT function, but the responsibility rests with the District Director, or in the case of locally initiated projects, with the local agency.
As further data is gathered, the project category assignment is subject to change. Input into the determination will be provided by both the Design and Environmental Units.
As soon as the project category assignment is made, a comment should be entered in the next Status of Projects in the "Remarks" column.
It is possible that different project alternatives will call for different project categories; for example, a new alignment alternative would be Category 1 or 2, whereas a "fix-the existing" alternative for the same study might be Category 4A or 4B. In these cases, the highest-order category will be selected to assure that recycling of the process will not be required later should the higher-order project be selected. The category assignment is always subject to change as project alternatives are added or dropped. However, dropping down in order should only be done after very careful consideration.
Matrix to Project Planning Steps
The relationship between the project category and the key steps in the project planning portion of the project development process are shown on Figure 1. This Figure summarizes the requirements for each Caltrans project category as stated in other chapters of this Part of this manual, and relates them to the various program types. In addition, Figure 2 relates the various program codes to the different types of project initiation and project approval documents.
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(Chapter 8 Section 1) |
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(Chapter 8 Section 1) |
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(Chapter 8 Section 1) |
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[1] |
[1] |
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(Chapter 10 Section 2) |
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(Chapter 9) |
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(Chapter 10 Section 3 and Chapter 22 Article 5) |
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(Chapter 10 Section 3 and Chapter 22 Article 10) |
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[3] |
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[2] |
[2] |
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(Chapter 10 Section 5) |
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[2] |
[2] |
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(EH) |
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[2] |
[2] |
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(Chapter 11) |
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[2] [4] |
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[4] |
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[3] |
[3] |
[3] |
[3] |
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(Chapter 12) |
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(Chapters 13 and 23) |
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(Chapters 13 and 24) |
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(Chapter_Section_) = Project Development Procedures Manual (EH) = Environmental Handbook
See Footnotes on next page.
[1] Formal PDT not required. The determination of significance of environmental impacts and of Project Category will be jointly made by District Project Management, Design, and Environmental Unit.
[2] Not applicable if Categorically or Statutorily Exempt , and/or Categorically Excluded.
[3] Required for projects that present alternatives in an Environmental Document (EIR/EIS or IS/EA).
[4] If no federal Environmental Document is involved, the Project Development Team evaluates and determines the need for a Public Hearing.
[5] The following Project Initiation Documents are applicable, depending on project type or program:
| Program | Type Of Project | Document |
| various | Special Funded, non-complex, > $1M | Combined PSR/PR |
| HA1 | Lands, Buildings, & Facilities Improvement | Facilities PSR |
| HA4S | Seismic Retrofit | PSSR-Seismic |
| HA21 / HA22 | Bridge/Roadway R&R | PSSR |
| HA23 | Major Damage Restoration | DAF |
| HA25 / HB32 | Highway Planting or Restoration | PSR Data Sheet |
| HA28 | Urban Freeway Off-Pavement Access | PSSR-UFOPA |
| HB4N | Operational Improvements (TSM projects) | PIR |
| HB5 | HOV Operational Improvements (TSM projects) | PIR |
| HB6 | Rideshare Facilities (TSM projects) | PIR |
| HB311 | Community Noise Abatement | NBSSR |
Note: Minor A, Minor B, Capital Preventive Maintenance, and other maintenance projects do not require a Project Initiation Document; therefore, a PR initiates a Minor A, a CAPM PR initiates Capital Preventive Maintenance projects, and an EA PR initiates the Minor B and other non-CAPM maintenance projects.
[6] The following Project Approval Documents are applicable, depending on project type or program:
| Program | Type Of Project | Document |
| - - - - - - - | Encroachment Permit < $1M | PEER |
| various | Minor B or Maintenance Projects | EA PR |
| HA22 | Capital Preventive Maintenance Projects | CAPM PR |
| HA25 / HB32 | Highway Planting or Restoration | PR-HP&R |
| HA26 / HB33 | Safety Roadside Rest or Restoration | PR-SRR |
These Project Initiation Documents are equivalent to a PR if they have the following approved attachments:
| Document | Attachments |
| NBSSR | CE (or ND if necessary) and Noise Study |
| Combined PSR/PR | Approved ED |
| PSSR | CE (or ND if necessary) |
| PSSR-Seismic | CE |
| PSSR-UFOPA | CE |
| DAF | CE |
[7] Category 7 relates to local projects on local facilities only. (See Local Programs Manual.)
| CAPM PR | Capital Preventive Maintenance Project Report |
| CPSR/PR | Combined Project Study Report /Project Report |
| DAF | Damage Assessment Form |
| DO | Director's Order |
| DPR | Draft Project Report |
| EA PR | Expenditure Authorization Project Report |
| FPSR | Facility Project Study Report (Lands & Buildings) |
| NBSSR | Noise Barrier Scope Summary Report |
| PEER | Permit Engineering Evaluation Report |
| PIR | Project Information Report |
| PR | Project Report |
| PR-HP&R | Project Report - Highway Planting & Restoration |
| PR-SRRA | Project Report - Safety Roadside Rest Area |
| PSR | Project Study Report |
| PSRDS-HP | Project Study Report Data Sheet - Highway Planting |
| PSRDS-HPR | Project Study Report Data Sheet - Highway Planting Restoration |
| PSSR-BR | Project Scope Summary Report - Structure Rehabilitation |
| PSSR-PR | Project Scope Summary Report - Pavement Rehabilitation |
| PSSR-SR | Project Scope Summary Report - Seismic Retrofit |
| PSSR-UFOPA | Project Scope Summary Report - Urban Freeway Off-Pavement Access |
See Footnotes at end of Section 5.
Key Project Planning Steps PROJECT DEVELOPMENT CATEGORY 1 2 3 4 5 6 7 A B A B Access control Freeway Agreement YES NO NO YES NO NO NO On new alignment route Adoption YES YES YES NO NO NO NO Substantial new YES YES NO M YES NO NO R/W needed YES NO YES YES NO NO Substantial increase in traffic capacity YES Initated by or under Local jurisdiction YES NO M YES NO Environmental Significance YES Emergency M = maybe (yes or no)
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| CMP | PRG | DESCRIPTION | INITIATION | APPROVAL |
| RAS | HA11 | Equipment Facilities | FPSR | PR [4] |
| HA12 | Maintenance Facilities | FPSR | PR [4] | |
| HA13 | Buildings and Operation Centers | FPSR | PR [4] | |
| HA21 | Bridge Restoration & Replacement | PSSR-BR | PSSR-BR [1] | |
| HA22 | Roadway Reconstruction & Restoration | PSSR-PR | PSSR-BR [1] | |
| HA22 | Capital Preventive Maintenance Projects | CAPM PR | CAPM PR | |
| HA23 | Major Damage Restoration | DAF | DAF | |
| HA25 | Highway Planting Restoration | PSRDS-HPR | PR-HP&R | |
| HA26 | Safety Roadside Rest Area Restoration | PSR | PR-SRRA | |
| HA27 | Urban Freeway Median Barrier Retrofit | PSR | PR | |
| HA28 | Urban Freeway Off Pavement Access | PSSR-UFOPA | PSSR-UFOPA | |
| HB42 | Protective Betterments | PSR [3] | PR [3,4] | |
| HA4S1 | Phase 1 Structures Seismic Retrofit | PSSR-SR | PSSR-SR | |
| HA4S2 | Phase 2 Structures Seismic Retrofit | PSSR-SR | PSSR-SR | |
| HB1 | Safety Improvements | PSR [3] | PR [3,4] | |
| OHC | HB32 | Highway Planting | PSRDS-HP | PR-HP&R |
| HB33 | Safety Roadside Rest Areas | PSR | PR-SRRA | |
| HB34 | Roadside Enhancement (Vista Points) | PSR [3] | PR [3,4] | |
| HB4N | Operational Improvements (non-capacity increasing) | PSR [3] | PR [3,4] | |
| HB711 | New Curb Ramp (ADA) | PSR | PR | |
| HB712 | Park & Ride Lot (ADA) Modifications | PSR | PR | |
See Footnotes at end of Section 5.
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| CMP | PRG | DESCRIPTION | INITIATION | APPROVAL |
| FCR | HB4N | Operational Improvements (non-capacity increasing) | PSR [3] | PR [3] |
| HB4C | Operational Improvements (capacity increasing) | PSR [3] | PR [3,4] | |
| HB5 | HOV Facilities | PSR [3] | PR [3] | |
| HB6 | Transit-Related & Ridesharing Facilities | PSR [3] | PR [3] | |
| IRS | HB4N | Operational Improvements (non-capacity increasing) | PSR [3] | PR [3] |
| HB4C | Operational Improvements (capacity increasing) | PSR | PR [4] | |
| HE11 | New Facilities: New Connections & Cross-Traffic Improvements | PSR [3] | PR [3,4] | |
| HE12 | New Facilities: Upgraded Facilities | PSR [3] | PR [3,4] | |
| HE13 | New Facilities: Lane Additions | PSR | PR [4] | |
| HE14 | New Facilities: New Highways | PSR | PR [4] | |
| SW | HB311 | Community Noise Attenuation | NBSSR | NBSSR [1,2] |
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| CMP | PRG | DESCRIPTION | INITIATION | APPROVAL |
| TSM | HB4N | Operational Improvements (non-capacity increasing) | PIR | PR |
| HB5 | HOV Facilities | PIR | PR | |
| HB6 | Transit-Related & Ridesharing Facilities | PIR | PR | |
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| CMP | PRG | DESCRIPTION | INITIATION | APPROVAL |
| TBF | HA14 | Toll Facilities | FPSR | PR [4] |
| HA21 | Bridge Restoration & Replacement | PSSR-BR | PSSR-BR | |
| HA4S3 | Toll Bridge Seismic Retrofit | PSSR-SR | PSSR-SR | |
| HB4N | Operational Improvements (non-capacity increasing) | PSR [3] | PR [3] | |
| HE11 | New Facilities: New Connections & Cross-Traffic Improvements | PSR [3] | PR [3,4] | |
| HE14 | New Facilities: New Highways | PSR | PR [4] | |
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HE201 to HE209 |
New Toll Bridge Facilities | PSR | PR [4] | |
See Footnotes at end of Section 5.
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| PROGRAM | DESCRIPTION | INITIATION | APPROVAL |
| HM1 to HM5 | Maintenance | EA PR | EA PR |
| All programs | Minor B | EA PR | EA PR [11] |
| All programs | Minor A | PR | PR |
| All programs | Emergency or Urgent | DO/DAF [12] | DO/DAF |
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| DESCRIPTION | INITIATION | APPROVAL |
| Special Funded Projects [6] that don't meet criteria | PSR [3,9] | PR [3,4] |
| Special Funded Projects [6] that meet criteria | CPSR/PR | CPSR/PR |
| Encroachment Permit Projects [7] ($300K or less) | PEER [9] | PEER |
| Encroachment Permit Projects [7] ($300K to $1M) | PEER [5,9] | PEER [5] |
[1] Must have Categorical Exemption or Final Environmental Document attached.
[2] Noise Study must be completed and approved.
[3] Combined PSR/PR could be used if criteria are met.
[4] DPR needed if Draft Environmental Document is prepared by Caltrans.
[5] PEER can be used unless district decides PEER provides inadequate justification and documentation and that a PR is needed. Combined PSR/PR form may be used for PR if criteria are met.
[6] 100 % locally funded projects costing over $1 million within State right of way.
[7] 100 % locally funded projects costing $1 million or less within State right of way.
[8] Jointly funded projects are Projects Authorized in State Programming Documents and are processed in the same manner.
[9] New public road connections: use PSR-New Connection for expressways; use PSR for freeways.
[10] PSR is standard project initiation document. PR is standard project approval document. If the specialized document does not provide adequate coverage, use the standard document.
[11] Traffic-signal projects require cover letter with technical justification, attachments, RE Stamp.
[12] Emergency Projects outside
of HA23 program which will receive a Director's Order may follow
the HA23 procedure.
During the development of all projects, alternatives are considered to the extent necessary to (1) minimize costs and adverse environmental impacts, and to (2) maximize public benefits. In addition, a minimum fundable alternative and stageable alternatives need to be identified (see Chapter 9, Article 2).
Generally, the concept and scope of project alternatives can include location, geometric features, mode, or mix of modes. However, mode or mix of modes should have been determined at an earlier stage, during the system planning process, and only review and documentation of that determination is needed during formal project studies. In addition, some location and geometric variations are not alternatives; instead, they are design variations.
Discussing project alternatives with community groups is an effective way to gain an improved understanding of the goals and objectives of various community interests. It can assist in determining which alternatives have the greatest potential for successful implementation.
Value analysis is the preferred method of developing alternatives, using a systematic application of analytical techniques to identify a projec
