Caltrans PDPintro

8/12/2019 Caltrans PDPintro

1/39

Caltrans Division of Design

Project Development Process

Introduction to the Project Development Process........................................................................iv What is Project Development?............................................................................................. iv A problem-solving process that involves collecting and verifying information, and gatheringand analy ing input................................................................................................................. iv A process to build consensus and ma!e decisions on solutions...........................................iv Where do projects come from?.............................................................................................v Pavement "anagement #ystem $P"#% stores Pavement &ondition #urvey information. .. .v #tructures 'eplacement and Improvement (eeds $#)'AI(% report stores the currentconditions of state high*ay bridges..........................................................................................v

What does the PDP do? .....................................................................................................vi +nsures the uality of projects............................................................................................. vi "eets e pectations of sta!eholders and customers ...........................................................vi "inimi es impacts on the environment and the surrounding community..............................vi Provides the greatest benefit to the community *ith the least amount of harm ...................vi Provide shared vision of the project goal..............................................................................vi +nsure effective communication among agencies and communities....................................vi &larify roles and responsibilities of participants.................................................................... vi 'educe last-minute changes throughout the project life.......................................................vi 'esult in effective use of resources......................................................................................vi "a imi e funding options and sources.................................................................................vi Improve project uality ........................................................................................................ vi

What does the PDP involve?................................................................................................ vi )he Project 'eport $P'%, a document based on the PID, serves as the engineering anddecision-ma!ing document for approval of a single preferred alternative. )he P' detailsproject impacts in studies of the alternatives..........................................................................vii )he accompanying environmental document $+D% summari es environmental impacts ofthe proposed alternatives.......................................................................................................vii What is the Project Development )eam? ............................................................................vii Project sponsor...................................................................................................................viii Project engineer $P+%..........................................................................................................viii Project manager $P"%.........................................................................................................viii unctional unit representatives........................................................................................... viii Advisors and consultants.................................................................................................... viii &oordinators.......................................................................................................................viii Who is on the PD)?............................................................................................................viii /rgani es, analy es and compiles information submitted by functional units.....................viii Presents viable alternatives and an implementation plan to the PD)..................................viii #igns and seals the project development documents.........................................................viii &oordinates the cost, scope and schedule of the project....................................................viii 0eads the project development team..................................................................................viii +nsures that all steps in the PDP are properly completed....................................................i Where do I find more information?.......................................................................................i

123452626.doc i


2/39

Project Initiation......................................................................................................................... 44 What is Project Initiation?....................................................................................................44 What is a Project Initiation Document?............................................................................... 44 Identifies the purpose, need and feasibility of a project.......................................................44 #erves as a record of agreement on project cost, scope and schedule..............................44 Is used for programming funds........................................................................................... 44 Why use a PID?.................................................................................................................. 44 What are the steps in Project Initiation?..............................................................................41 What is the PID format?...................................................................................................... 42 Who does *hat for PID approval?.......................................................................................47

Programming.............................................................................................................................48 What is programming?........................................................................................................ 48 What funding programs are available?................................................................................48 When does programming ta!e place in the PDP?...............................................................49 #)IP.................................................................................................................................... 49 #:/PP...............................................................................................................................49 )IP; #)IP.........................................................................................................................49 0ocal or Private................................................................................................................... 49 What are the PID re uirements for project funding?...........................................................46 #)IP and #:/PP Adoption #chedule.................................................................................1< What are the steps in the programming process?...............................................................14

Project Approval = +nvironmental Document............................................................................13 What is PA=+D?.................................................................................................................13 What is the outcome of the PA=+D?.................................................................................. 17 Discusses the engineering studies and analysis of the various alternatives........................17 &ontains sufficient detail from functional units to formulate the cost, scope and schedule foreach alternative......................................................................................................................17 Includes a *or!plan and summary of the ris! management plan for each alternative.........17 Air, noise, *ater.................................................................................................................. 18 Wetlands, par!lands, coastal ones.................................................................................... 18

Wildlife and plants............................................................................................................... 18 :istoric and recreation areas.............................................................................................. 18 &ultural and visual aspects................................................................................................. 18 #ocial, economic and land-use issues................................................................................18 Potential ha ardous *aste concerns...................................................................................18 'ight of *ay impacts........................................................................................................... 18 Discloses the results of studies........................................................................................... 18 &ompares potential environmental impacts caused by project alternatives to impacts of notbuilding the project................................................................................................................. 18 &ontains conditions and re uirements made through negotiations *ith other agenciesre uiring permits and approvals............................................................................................. 18 Addresses public comment obtained from a public hearing and formal public revie*.........18

What types of +nvironmental +valuations are there?.......................................................... 15 &ategorical + emption........................................................................................................ 15 (egative Declaration...........................................................................................................15 +nvironmental Impact 'eport.............................................................................................. 15 When is PA=+D carried out?..............................................................................................15 Project description, purpose and scope..............................................................................19 Approved Project Initiation Document.................................................................................19 Draft target dates and schedule..........................................................................................19 (ames of !ey sta!eholders and project sponsors............................................................... 19

123452626.doc ii


3/39

Any other relevant information from the Project :istory ile................................................19 What are the re uirements for approval?............................................................................16 A ne* alignment for an e isting route.................................................................................2< +stablishment of a location for an un-constructed route......................................................2< &onversion of a conventional high*ay to a free*ay or a controlled access high*ay...... ....2< Designating a traversable high*ay..................................................................................... 2< )emporary connections.......................................................................................................2etting approval for agreement$s%...................................................................................... 24 &ompleting the final design document Plans, #pecifications and +stimate $P#=+% .........24 Products of Design..............................................................................................................24 Ac uired permits needed to complete the project...............................................................24 ully developed plans, specifications and estimates $P#=+%..............................................24 'ight of *ay needed for construction is obtained................................................................24 #ecured project funding ..................................................................................................... 24 A*arded contract................................................................................................................24 @efore submitting the P&', all impacted : program advisors or their coordinators must beconsulted. ............................................................................................................................. 21 @efore finali ing the P&', the district also must have preliminary conversations *ithappropriate local or regional agencies and : personnel......................................................21 Who is involved in design?..................................................................................................21 'ecommends a*ard *ithin 7 days after bid opening.......................................................... 22 Participates in preparing the a*ard recommendation letter................................................22 Prepares contract documents............................................................................................. 23 Advertises for bids..............................................................................................................23 Analy es contractor bids..................................................................................................... 23 A*ards the contract to the lo*est competitive bidder..........................................................23

:o* is design completed?.................................................................................................. 23 Project engineer leads the design effort for P#=+ details. )he P+ includes input frome ternal revie*s..................................................................................................................... 23 +nvironmental generalist *or!s *ith various permitting agencies to obtain environmentalpermits...................................................................................................................................23 )he district right of *ay branch settles matters of right of *ay, including clearing right of *ay and relocating people and utilities as needed........................................................................ 23 /ther functional units prepare plans applicable to their areas $e.g., #tructures, )raffic,+lectrical, and 0andscape%.....................................................................................................23 )he &)& approves previously programmed funds for construction.....................................27 Project engineer submits the re uired documents to the D+#-/+ for approval. ................27

&onstruction = &loseout............................................................................................................ 28

What is involved in &onstruction and &loseout?.................................................................28 @uilding the project ............................................................................................................ 28 /pening the facility to the public.........................................................................................28 #ettling remaining right of *ay actions................................................................................28 Archiving as-builts and project files ....................................................................................28 &ompleting environmental commitments............................................................................28 'esolving all claims............................................................................................................ 28 Who does *hat during construction?.................................................................................. 25

123452626.doc iii


4/39

&onstruction transforms the project from a vision and a plan into a functional transportationfacility. Bsing the all the *or! completed in previous steps, the contractor, resident engineer,and project engineer collaborate to ma!e sure the final product serves the public needsaccording to plan....................................................................................................................25 "aterials comply *ith specified uality .............................................................................. 25 Wor!manship and construction methods comply *ith contract specifications.....................25 Administrative re uirements are carried out .......................................................................25 What are the steps in &onstruction?................................................................................... 25 :o* is the project closed?.................................................................................................. 29

Introduction to the Project Development Process

What is Project Development?

)he Project Development Process $PDP% is the frame*or! by *hich &altrans identifies atransportation problem on the state high*ay system, and see!s to initiate and carry out specificprojects to address the problems. )he PDP is

A problem-solving process that involves collecting and verifying information, andgathering and analy ing input

A process to build consensus and ma!e decisions on solutions

)he PDP, *hich begins *ith the identification of a project and ends *hen construction iscomplete, merges legal re uirements, engineering re uirements, and &altrans managementapprovals. All projects, *hether small or large, follo* the project development process.

One Vision, One Mission

&altransC mission is to improve mobility across &alifornia.

)he goal of the PDP supports this mission by integrating and balancing community, aesthetic,historic, and environmental values *ith transportation safety, maintenance and performance.

)hrough a collaborative, interdisciplinary approach, the process involves all projectsta!eholders, including the community.

123452626.doc iv


5/39

PDP Philosophy

)he project development philosophy provides the people of &alifornia *ith a degree of mobility*hile minimi ing economic, social and environmental impacts. )he process see!s to

Improve transportation safety and efficiency

Achieve community goals and objectives

Address transportation needs of lo* mobility andminority groups

+liminate or minimi e adverse effects on the environment, natural resources, publicservices, aesthetic features, and the community

#upport the #tateCs economic development

Provide realistic financial estimates

+nsure cost effectiveness

Where do projects come from?

)ransportation projects can originate from &altrans district transportation planning branches,local and regional agency planning, public comments, political interests, developer interests, oremergencies. "ost projects originate from &altrans transportation planning processes, *hichinvolve

4. &altrans system management tools

1. 0ocal and regional planning

ystem management tools

&altrans uses management tools to inventory and monitor the conditions of bridges, buildingfacilities, operations, safety, congestion, pavement, and intermodal facilities. )*o e amples oftools that help &altrans to initiate preservation and protection projects are

Pavement "anagement #ystem $P"#% stores Pavement &ondition #urvey information.

#tructures 'eplacement and Improvement (eeds $#)'AI(% report stores the currentconditions of state high*ay bridges.

!ocal and regional planning

Prior to the initiation of a project, planning occurs atthe local level. "etropolitan Planning /rgani ations$"P/s% and 'egional )ransportation Planning

Agencies $')PAs% are responsible for planning thedevelopment and operation of an integrated transportation system in an urbani ed area.

123452626.doc v

'eference'egional )ransportation :andboo!

'eferencePDP" &ha ter 4


6/39

What does the PDP do?

)he process and policies that support the PDP originate from state and federal regulations. )heprocess creates a balance bet*een competing interests and serves as a roadmap fordeveloping and e ecuting successful projects.

ollo*ing a standard process provides these benefits

+nsures the uality of projects

"eets e pectations of sta!eholders and customers

"inimi es impacts on the environment and the surrounding community

Provides the greatest benefit to the community *ith the least amount of harm

)he PDP integrates multiple processes such as transportation planning, programming andproject approval into one cohesive process designed to

Provide shared vision of the project goal

+nsure effective communication among agencies and communities

&larify roles and responsibilities of participants

'educe last-minute changes throughout the project life

'esult in effective use of resources

"a imi e funding options and sources

Improve project uality

What does the PDP involve?

All projects on the state high*ay system follo* the projectdevelopment process. )hroughout the PDP, prior commitmentsand understandings are confirmed at each step, and changeconditions are evaluated.

It is important to note that the activities involved in the PDP andnaming conventions for the PDP steps do not coincide one-to-one*ith phases in other processes, such as Project "anagement or

Accounting.

)he si -step PDP process ta!es a project from evaluation andsupport through design and construction.

123452626.doc vi


7/39

Project "valuation and upport includes four steps aimed at defining, assessing and fundinga project for transportation improvements.

4. Project initiation )his is the first formal step in developing a solution for a specifictransportation problem. )he project initiation step follo*s system and regional planning

activities that identify and prioriti e local, regional and state*ide transportationobjectives. )he outcome of the project initiation step is a programmable project *ith a*ell-defined scope, cost and schedule documented in the Project Initiation Document.

1. Programming Programming uses the PID to prioriti e projects and to determine if it is ina region s or the #tate s best interest to fund continued development of the project. orsome projects, this programming step provides funding through construction.

2. Project approval and environmental document $PA=+D% &altrans usually ma!es aformal re uest for public input during this step so the project can be designed to meetthe community s needs. )he public provides input based on the draft P' and draft +D forprojects *ith significant impact or controversy.

)he Project 'eport $P'%, a document based on the PID, serves as the engineeringand decision-ma!ing document for approval of a single preferred alternative. )he P'details project impacts in studies of the alternatives.

)he accompanying environmental document $+D% summari es environmentalimpacts of the proposed alternatives.

3. #econd programming &omple projects re uire a second programming step. )his stepuses reports from the PA=+D to select a preferred alternative that meets the purposeand need of the transportation problem, and to decide *hether to fund the projectthrough construction. A project is ready for the ne t step once it is funded throughconstruction or programmed.

Design and Construction includes t*o steps in *hich all the documents produced so far areused to finali e design details, dra* up construction plans for bidding, ac uire the necessaryproperty rights and permits, and build the project based on the selected alternative.

7. Design Bpon obtaining project approval the design step begins. Design involvesobtaining subse uent approvals and agreementsE forming a buildable and biddableprojectE *riting an engineered construction contract documentE identifying and ac uiringright of *ayE and securing environmental permits. During this step, the project Plans,#pecifications and +stimates $P#=+% are developed.

8. &onstruction and closeout @efore construction can begin, the &)& or other sourcesprovide funding, and the contract is advertised and a*arded. During construction, theselected contractor builds the project. )he project reaches a complete status *hen anyclaims are resolved, project records completed, and right of *ay commitments fulfilled.

What is the Project Development #eam?

)he project development process uses a multi-disciplinary approach called the project developmentteam $PD)%. In collaboration, the project manager $P"%and the PD) carry out the project plan involvingresources, tas!s and schedule.

123452626.doc vii


8/39

)he PD) is responsible for communicating project decisions and commitments throughout thelife of a project.

)he PD) includes functional representatives *ithin &altrans as *ell as the community, localagencies, ederal :igh*ay Administration $ :WA%, and other state and federal agencies.#pecific tas! assignments for the PD) members vary by the nature of the tas!.

Fey points of contact on the team are the project sponsor, project engineer and projectmanager. Depending on the nature of the project, the PD) may be made up of some or all ofthese parties

Project sponsor

Project engineer $P+%

Project manager $P"%

unctional unit representatives

Advisors and consultants

&oordinators

Who is on the PD#?Project ponsor

Project sponsors finance project development or a portion of the project, and may be a&altrans district, #tate :igh*ay /perations and Protection Program $#:/PP% manager,a local agency, regional transportation agency, a private developer, or &altrans)ransportation Planning contact.

Project "ngineer

)he project engineer $P+% is a licensed professional responsible for developing or *ritingthe project development documents project initiation document, project report andproject specifications and estimates.

As an integral part of the PD), the P+

/rgani es, analy es and compiles information submitted by functionalunits

Presents viable alternatives and an implementation plan to the PD)

#igns and seals the project development documents

Project Manager

)he project manager

&oordinates the cost, scope and schedule of the project

0eads the project development team

123452626.doc viii

'eferences PDP" &hapter 1 PDP" &hapter 9 Wor!plan #tandards >uide P" :andboo!


9/39

+nsures that all steps in the PDP are properly completed

$unctional %nit &epresentatives

unctional unit representatives are responsible for carrying out tas!s related to theirrespective areas, and for providing information about the project, project need andpotential constraints. )he project engineer usually represents the design unit.

G&onstructionG+nvironmentalG0andscape ArchitectureG"aintenanceG'ight of Way $Btilities, Ac uisition, et al.%G#urveysDivision of +ngineering #ervices H /ffice +ngineer $D+#-/+%

:WA:ydraulics"aterials;>eotechnicalPublic information officer

$community outreach%#tructures DesignG)rafficG)ransportation planningDistrict /ffice +ngineer $D/+%

G &ore PD) members.

'dvisors and Consultants

When needed, advisors or consultants outside of &altrans provide technical advice ontheir areas of e pertise related to the project. + amples of advisors are

&:P0egal0ocal;regional agenciesPublic)unnel e pert&onstruction contractors

Coordinators

&oordinators have delegated $from Deputy Director% approval authority for certain projectfeatures and processes. )heir role is to facilitate state*ide consistency.

Design &oordinator +nvironmental &oordinator Project "anagement &oordinator 'ight of Way &oordinator

Where do I find more information?

)his course summari es numerous references found in otherguidance materials used to develop projects. 0isted belo* aresamples of the resources available to you.

A policy on >eometric Design of :igh*ays and#treets $AA#:)/ >reen boo!%

@ridge "emo to Designers "anual

123452626.doc i


10/39

&ADD Bsers "anual of Instruction &ontract Item &ost Data #ummary +ngineering #ervice &enter Directory :igh*ay &apacity "anual (igh)ay Design Manual "B)&D and &alifornia #upplement Plans Preparation "anual Project Development Procedures Manual Project Development Procedures Wor*flo) #as*s Project "anagement :andboo! 'ight of Way "anual ')0 >uide #tandard Plans #tandard #pecial Provisions #tandard #pecifications #urvey "anual Bser s >uide to Photogrammetric Products and #ervices Wor!plan #tandards >uide 5.uide%

123452626.doc


11/39


12/39

0in! transportation planning to programming Define the design concept for the project Identify sta!eholders and customers $e.g. community% +nsure viable solutions are consistent *ith the vision for a given corridor +stablish the project cost, scope and schedule Describe the study footprint Provide conceptual approval &ommunicate assumptions and ris!s in remaining project phases

A PID must be *ritten for any improvements proposed on the state high*ay system to obtaint*o items

4. &altrans management approval as a candidate project for program funding, or

1. &onceptual approval of a proposal to be funded by others

A cooperative agreement is re uired *hen a future PDP phase *ill involve the e change offunds, effort or materials bet*een &altrans and another agency. )he PID *ill be the authori ingdocument for the cooperative agreement. A cooperative agreement, ready to sign, must beattached to the PID.

What are the steps in Project Initiation?When a project sponsor identifies a need or deficiency andprovides &altrans *ith the perceived scope of the proposedsolutions, the sponsor also identifies potential funding sources."any parties, including the project sponsor, may be involved incarrying out the steps. )he project manager coordinates thesteps.

4. /nce the appropriate funding area has the preliminary project information, the deputydistrict director in Project "anagement assigns a project manager.

1. )he project manager obtains e penditure authori ation for the project initiation $JFKphase%.

2. unctional managers formulate an initial *or! plan that ensures people, e uipment andmaterials are available to complete the project initiation step on schedule.

3. )he project manager forms the project development team $PD)%.

7. )he PD) formulates the need and purpose of the project, revie*s the project *or!plan,determines the project development category, and selects the appropriate PID format forthe project.

Programming Page 41

'eferencesPDP" &hapter 9Plans Preparation "anualWor! lo* )as! "anual

)he cooperative agreement is a legally binding contract that documents the roles andresponsibilities for each party. Although cooperative agreements can be *ritten atany point in the PDP, it is important to develop it as soon as possible. )he best timeto prepare a cooperative agreement is *hile developing the PID or the P'.


13/39

8. PID level design is performedE viable alternatives are generated.

5. )he environmental planner consults the PD) to determine environmental documentre uirements for each alternative.

9. )he P+ *rites the PID using information provided by the PD). Depending on the natureof the project, the project sponsor may opt to *rite the PID *ith &altrans direction.

6. )he project manager submits the PID for approval.

What is the PID format?

#everal formats are available for project initiation documents, and the project study report $P#'%is the most common. )he P#' outline serves asthe foundation for all PIDs. )he standard outlinehas been adapted into speciali ed formats forspecific types of funding and transportation needs.

As a rule of thumb, the P#'$PD#% is the preferred PID format.tandard PID Outline

)he PID outline is designed so that it is easy to locate important information in the te t. Attachments contain analy ed information that is organi ed to support or clarifyinformation in the body of the report. Actual studies *ith ra* data $e.g., )A#A# data,)able @%, preliminary calculations and any detailed analyses should be part of the projectfile, not part of the PID.

4. )able of &ontents1. Introduction2. @ac!ground3. Purpose and (eed

(eed #tatement Purpose #tatement

7. &orridor and #ystem Information8. Alternatives5. +nvironmental Determination and +nvironmental Issues9. 'ight of Way6. Programming 'ecommendation4


14/39

>uidance regarding the format and content for the project initiation document is found inthe Project Development Procedures Manual, Chapter 9, Article 4 Procedures, Figure5 and the Appendices .

PID $ormats +y Project type

#IP Projects

If the "nvironmental "valuationre-uirement is a

#he re-uired PID format is

&ategorical + ception P#'

(egative Declaration P#'$PD#%

+nvironmental Impact 'eport P#'$PD#%

$or (OPP Projects

Program #ype of PID

Projects for + uipment acilities acility 'eport

'oad*ay 'ehabilitation P##' $Pavement 'ehab%

Pavement Preservation J&apital Preventive"aintenanceK

&apital Preventative "aintenanceProject 'eport for &AP"

@ridge 'ehabilitation P##' $#tructure 'ehab%

@ridge #eismic 'estoration P##' $#eismic 'estoration%

Brban ree*ay "aintenance ree*ay Access

P##'

#afety Projects P' template modified to includeany information needed for thePID re uirement

(e* :igh*ay Planting P#' Data #heet J(e* :igh*ayPlantingK

:igh*ay Planting 'estoration P#' Data #heet J:igh*ayPlanting 'estorationK

"inor A Project 'eport

"inor @ +A Project 'eport All /thers P#'

!ocally.funded Projects

Project comple/ity #he re-uired PID format is

&omple P#', P#'$PD#%

Programming Page 43


15/39

(on-comple P++'

Who does )hat for PID approval?

An approved PID is authori ation to continue to initial

programming, or for a local agency to proceed. Approval atthis step does not constitute authori ation to startenvironmental studies or any other advancement of *or!.)he follo*ing steps ta!e place to obtain the district director s $or designee s% approval

4. "embers of the project development team chec! schedules and cost estimates for theirrespective functions.

1. Project engineer signs and seals the project documentas complete, attesting to the recommendation,conclusion and decisions in the PID.

2. Project manager signs the coversheet forrecommending approval and submits it for approval.

3. )he district right of *ay deputy director signs astatement on the cover sheet indicating the 'ight ofWay Datasheet is complete, current and accurate.

7. District director $or designee% approves the PID *ith asignature.

8. Project manager for*ards a copy of the approved PID to the project sponsor.

5. )he project engineer records all decisions, reports, historic reference, and PD)members names in the Project :istory ile.

Programming Page 47

'eferencePDP" &hapter 9 $approvals%


16/39

Programming

What is programming? )he Project Development Procedures "anual, &hapter 3, definesprogramming as

The process o setting priorities or unding projectsenvisioned in long!range transportation plans, andcommitting revenues over multi!"ear periods to thesetransportation improvements#

)he Division of )ransportation Programming represents &altransin business activities *ith the &alifornia )ransportation&ommission $&)&%. #pecifically, it manages and administerstransportation programs, and allocates funds for transportationprojects.

)he Division of )ransportation Programming places a project intoone or more of several transportation planning programsdepending in part on the nature of the project and the identifiedfund sources.

rom the project sponsor s perspective, a programmed project isa commitment to the users of a transportation facility.

Programming applies only to projects that involve state or federal funds. )he &)& does notprogram 4


17/39


18/39

When does programming ta*e place in the PDP?

A project is ready for programming once the district director has approved the PID and theproject sponsors have received a copy. Programming ta!es place in one or t*o steps,depending in part on the comple ity of the project and the identified funding source. Possiblefunding sources include

#)IP

#:/PP

)IP; #)IP

0ocal or Private

In most cases, the Project Initiation Document $PID% provides an indication of the need for eitherone or t*o programming steps. )his is only a rule of thumbE many circumstances can lead toe ceptions to the rule.

#IP $unding

#)IP funded projects have t*o programming options

4. &omple projects re uiring environmental studiesOP#'$PD#% are programmed first for support costs up tothe Project Approval = +nvironmental Document step. Asecond programming step is needed for design andconstruction steps.

1. Projects that can be completed or constructed *ithin the7-year #)IP cycle are programmed one time for bothsupport costs and construction costs up to completion.

ederal programming comes after the state programming.

(OPP $unding

#:/PP funded projects have t*o programming options

4. Programming for non-comple projects $such as a

P##'% that do not re uire environmental studies ta!esplace after the PA = +D step. )his is because, in thesecases, the project initiation and the PA = +D arecombined in the P##'. )hese projects typically re uire a&ategorical + empt;+ clusion.

1. Programming for comple projects $P#'% that re uireenvironmental studies ta!es place before the PA = +Dstep and secures funds through construction.

Programming Page 49


19/39

$#IP2$ #IP $unding 0$ederal Programming1

Projects proposed to use federal funds or high*aytrust funds are programmed after the stateprogramming is completed. )hese projects arelisted on and programmed into the #)IP, andapproved by ederal :igh*ay Administration$ :WA%.

!ocal or Private $unding

)he &)& does not program projects *ith 4


20/39

!ocal 4 or a project using 4


21/39

2. @y April 4 st of even-numbered years, the &)& approves the #)IP for the ne t five fiscalyears. )he funds become available on Quly 4 st .

#)IP projects defined in a P#'$PD#% re uire t*o programming steps, and the five-year cycle begins again at each of the t*o programming steps. After the first step ofprogramming, environmental studies must be complete *ithin five yearsE once thesecond programming step is complete, construction must be complete *ithin the 7-year cycle.

#)IP projects defined using a P#' must be completed *ithin the first 7-year cyclebecause they are programmed once, covering the project through construction.

What are the steps in the programming process?

#IP programming

4. )he project manager for*ards theinformation about the approvedproject to District Planning.

1. )he district transportation planningbranch *or!s *ith the 'egional)ransportation Planning Agency$')PA% to determine district andregional priorities for #)IP funding.

2. )he district transportation planningbranches, the district project

Programming Page 14


22/39

management branch, and ')PAs prioriti e the regional and state projects to formthe 'egional )ransportation Plan $')P% and Interregional #trategic Plan $I#P%. )he')IP is a product of the ')PE the I)IP is a product of the I#P. )he I)IP and ')IPtogether ma!e up the #tate*ide )ransportation Improvement Plan $#)IP%.

3. )he regional agency submits the ')IP portions of the #)IP to the &)& for adoptionE&altrans submits the I)IP portions of the #)IP to the &)& for adoption. #tateprogramming is complete upon adoption of the #)IP.

7. Division of )ransportation Programming enters the project information on the&alifornia )ransportation Improvement Program #ystem $&)IP#%, &altransdatabase. )he information is used to report the e penditures and schedule to the&)&, &altrans and local sponsors.

8. )he "etropolitan Planning /ffice $"P/% also submits a list of projects to the :WAfor inclusion on the ederal )ransportation Improvement Plan; ederal #tate)ransportation Improvement Plan $ )IP; #)IP%. Any project on the state high*aysystem that involves federal funding must be approved by :WA through either )IPor #)IP. )he :WA approves the plan to ensure air uality conformity.

5. Programming updates &)IP# *ith federal programming information.

9. /nce approved by :WA, federal programming is complete.

6. )he Division of )ransportation Programming informs the project manager *hen bothfederal and state programmings are complete.

4


23/39

1. )he project is included in the ederal )ransportation Improvement Plan; ederal#tate )ransportation Improvement Plan $ )IP; #)IP%. Any project on the statehigh*ay system that involves federal funding must be approved by :WA througheither )IP or #)IP. )he :WA approves the plan to ensure air uality conformity.

2. /nce the project is approved by :WA, federal programming is complete.

3. )he Division of )ransportation Programming informs the project manager *hen bothfederal and state programming processes are complete.

7. )he project manager verifies data entry into &)IP# $&altrans project database%.

8. )he project manager informs the project sponsors that the P' and +D have beenapproved.

5. )o !eep the #:/PP up-to-date, each year the project manager updates the project scost estimates $support, right of *ay, construction, environmental%.

9. )he district director $or designee% authori es the ne t step of project development tobegin. or some projects, the ne t step is PA=+DE for others the ne t step is Design.

Programming Page 12


24/39

Project 'pproval 6 "nvironmental Document

What is P'6"D?

)he Project Approval and +nvironmental Document $PA=+D% stepreinforces the philosophy of balancing transportation needs *ithcommunity goals and values. /utputs of the PA=+D step are theProject 'eport and the +nvironmental Document H or e ception tothe environmental documents re uirements H under the &alifornia+nvironmental uality Act $&+ A% or (ational +nvironmentalProtection Act $(+PA%.

Project &eport $P'% N an engineering document

"nvironmental Document $+D% N a disclosure document

During a previous step, the PID identified and described viablealternatives to the transportation problem. During this step,PA=+D, the P' evaluates the various alternatives for selection ofthe preferred alternative.

"nvironmental connection

0a*s, such as (+PA and &+ A, re uire an assessment of potential impacts to theenvironment. )he PA=+D step is complete upon approval of the Project 'eport and+nvironmental Document $or &ategorical + emption;&ategorical + clusion%.

Pu+lic involvement

/n projects *ith potentially significant impacts or controversy, the PA=+D not only documentsthe alternatives and their related impacts, but also provides opportunity for public comment andinput. Public input usually is re uested during this step to ensure the project is designed toconsider community needs.

Public N Advisors

ollo*ing public comment and a hearing, &altrans selectsthe preferred alternative.

&onstruction = &loseout Page 13

'eferencePDP" &hapter 44PDP" &ha ter 11


25/39

What is the outcome of the P'6"D?

)he primary results of an approved and programmed PA=+D step are the approved Project'eport $P'% and +nvironmental Document $+D%. In some cases, an environmental document isreplaced *ith a &ategorical + ception and;or &ategorical + clusion e plaining the reason theproject is e empt from environmental documentation re uirements.

Bpon the district director, or designee, approving the draft P', the Draft +D is then authori ed tobe released for public comment.

After selection of a preferred alternative, the District Director approves the P'. When applicable,the District Director and the &alifornia )ransportation &ommission $&)&% or ederal :igh*ay

Administration $ :WA% provides final approval for the +D.

Project &eport

)he P' summari es the alternative analysis and engineering studiesE it e plains theproject purpose and need, provides practical solutions to the need, and describes *hichsolutions service the greater public *ith the least amount of harm. An effective Project'eport $P'% clearly documents the rationale for selecting the preferred alternative, andprovides sound reasoning for e cluding the other alternatives.

or comple projects, the P' may be used to programfunds for the P#=+ and &onstruction steps. In suchcases, funding covers both capital costs and schedulefor construction.

)he project engineer $P+% and project developmentteam $PD)% develop the Project 'eport to summari edecisions and the analyses of alternatives. )he P'

Discusses the engineering studies and analysis ofthe various alternatives

&ontains sufficient detail from functional units toformulate the cost, scope and schedule for eachalternative

Includes a *or!plan and summary of the ris!management plan for each alternative

#ee Appendi F in the PDP" for P' preparation guidelineshttp ;;***.dot.ca.gov;h ;oppd;pdpm;apd Rhtm;apd R!;apd R!.htm


'eferencePDP" &hapter 4>


36/39

Construction 6 Closeout

What is involved in Construction and Closeout?

)he construction step begins after a*arding the construction contract.)his step involves all activities from approval of the contract through thetransfer of the facility to "aintenance.

During construction, transportation planning and design ideas becomereality.

&onstruction tas!s are

@uilding the project

/pening the facility to the public

#ettling remaining right of *ay actions

Archiving as-builts and project files

&ompleting environmental commitments

'esolving all claims

Construction and visi+ility

&onstruction is the only step in the PDP that the traveling publicsees. &onse uently, the public s perception of &altrans depends onthe impression of the construction activities.

During previous steps, the various PD) members involve the publicto identify community needs and address concerns before any *or!begins at the project site. During the construction, those concernsare in the public vie*. &arrying out construction activities accordingto the prescribed plans H plans developed in partnership *ith thecommunity H minimi es the impact of ongoing road*or! and trafficdisruptions.

ite safety

#afety on the construction site is paramount. (ot only are safe *or!practices and safe *or! environments important to the *or!ers, but also to

the travelers using the areas around the *or!site.

ollo*ing state and federal safety guidelines, and maintaining on-sitesafety practices protect everyone involved in or affected by the projectconstruction.



37/39

Who does )hat during construction?&onstruction transforms the project from a visionand a plan into a functional transportation facility.Bsing the all the *or! completed in previous steps,the contractor, resident engineer, and project

engineer collaborate to ma!e sure the final productserves the public needs according to plan.

Contractor

)he contractor builds the project according to the prescribed engineering plans andspecifications the P#=+.

&esident "ngineer

'epresenting a functional area during construction, the resident engineer $'+%$&onstruction manual &h. 7% administers the contract. )he '+ assures

"aterials comply *ith specified uality

Wor!manship and construction methods comply *ith contractspecifications

Administrative re uirements are carried out

Project Manager

)he P" monitors cost, scope and schedule throughout the project, and remains theprimary contact for the PD).

Project "ngineer )he project engineer $P+% and '+ evaluate possible changes to the project as theyarise.

Project Development #eam

When changes are identified, *hether unforeseen or proposed, the P+ consults *ith thePD) to confirm that the nature of the changes do not conflict *ith previously madeagreements or commitments. )he entire team also addresses any impacts to cost,scope and schedule.

What are the steps in Construction?

/nce the D+#-/+ a*ards the contract, construction begins.

4. Project manager establishes the e penditureauthori ation to begin construction *or!.

1. )he construction unit assigns a resident engineer $'+% to administer the contract.


'eferenceWor!flo* )as! "anualWor!flo* #tandards >uide


38/39

2. )he '+ holds t*o J!ic!-offK meetingsa. irst meeting is *ith the PD)b. #econd meeting is *ith the PD) and contractor

3. )he contractor carries out construction activities under the '+ s administration.Depending on the nature of the project, the facility may be closed to traffic during all orpart of the construction activities.

7. )he '+ and district maintenance branch compile the closeout punch list for thecontactor.

8. &ontractor completes the tas!s on the punch list.

5. '+ resolves contract claims $if any%. &ontract claims are disputes bet*een thecontractor s and the '+ s interpretations of the contract details.

9. When the project is complete according to the contract, the '+ prepares final payment.

6. '+ and PD) compile and archive project documentsa. As-builts document *hat *as actually builtb. '+ reports $e.g., claims reports, progress reports, '+ diaries%c. 0essons learnedd. Project files

4


39/39

2. Project manager documents the lessons learned. Tarious PD) members involved indesign and construction of the project develop the 0essons 0earned document. utureproject teams use the lessons learned to prevent repeating issues that can beaddressed during the design step on projects *ith similar features.

3. )he 'ight of Way unit *raps up all right of *ay transactions and activities.

7. )he district environmental branch clears all permit re uirements and discloses them tothe district maintenance branch.

8. All construction claims must be resolved before the e penditure authori ation can beclosed. )he resident engineer, claims engineer, construction engineer and the legaldivision, among others, may be involved in claim resolution.

5. Project manager closes the e penditure authori ation.

Caltrans PDPintro

Documents

Transcript of Caltrans PDPintro