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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 gathering
and analying 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 current
conditions 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
"inimies 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-imie 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 and
decision-ma!ing document for approval of a single preferred alternative. )he P' details
project impacts in studies of the alternatives..........................................................................vii
)he accompanying environmental document $+D% summaries environmental impacts of
the 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
/rganies, analyes 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-
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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 for
each 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 haardous *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 not
building the project................................................................................................................. 18
&ontains conditions and re,uirements made through negotiations *ith other agencies
re,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
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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....................................................................................................... 2<
Design....................................................................................................................................... 24
What is Design?.................................................................................................................. 24
/btaining right of *ay......................................................................................................... 24
.inaliing environmental permits......................................................................................... 24
>etting 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 :A program advisors or their coordinators must be
consulted. ............................................................................................................................. 21
@efore finaliing the P&', the district also must have preliminary conversations *ith
appropriate local or regional agencies and :A 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
Analyes 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 from
e-ternal revie*s..................................................................................................................... 23
+nvironmental generalist *or!s *ith various permitting agencies to obtain environmental
permits................................................................................................................................... 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
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&onstruction transforms the project from a vision and 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 product serves the public needs
according 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 a
transportation problem on the state high*ay system, and see!s to initiate and carry out specific
projects to address the problems. )he PDP is?
 A problem-solving process that involves collecting and verifying information, and
gathering and analying 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 is
complete, merges legal re,uirements, engineering re,uirements, and &altrans management
approvals. 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 project
sta!eholders, including the community.
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PDP Philosophy
)he project development philosophy provides the people of &alifornia *ith a degree of mobility
*hile minimiing 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 and
minority groups
 +liminate or minimie adverse effects on the environment, natural resources, public
services, 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, or
emergencies. "ost projects originate from &altrans transportation planning processes, *hich
involve?
4. &altransD system management tools
1. 0ocal and regional planning
ystem management tools
&altrans uses management tools to inventory and monitor the conditions of bridges, building
facilities, operations, safety, congestion, pavement, and intermodal facilities. )*o e-amples of
tools 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 current
conditions of state high*ay bridges.
!ocal and regional planning
Prior to the initiation of a project, planning occurs at
the local level. "etropolitan Planning /rganiations
$"P/s% and 'egional )ransportation Planning
Agencies $')PAs% are responsible for planning the
development and operation of an integrated transportation system in an urbanied area.
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'eference?
'egional )ransportation :andboo!
'eference
PDP" &hapter 4
What does the PDP do?
)he process and policies that support the PDP originate from state and federal regulations. )he
process creates a balance bet*een competing interests and serves as a roadmap for
developing 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
 "inimies 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 and
project 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-imie funding options and sources
 Improve project ,uality
What does the PDP involve?
All projects on the state high*ay system follo* the project
development process. )hroughout the PDP, prior commitments
and understandings are confirmed at each step, and change
conditions are evaluated.
It is important to note that the activities involved in the PDP and
naming 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 and
support through design and construction.
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Project "valuation and upport includes four steps aimed at defining, assessing and funding
a project for transportation improvements.
4. Project initiation ? )his is the first formal step in developing a solution for a specific
transportation problem. )he project initiation step follo*s system and regional planning
activities that identify and prioritie local, regional and state*ide transportation
objectives. )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 prioritie projects and to determine if it is in
a regionDs or the #tateDs best interest to fund continued development of the project. .or
some projects, this programming step provides funding through construction.
2. Project approval and environmental document $PA=+D% ? &altrans usually ma!es a
formal re,uest for public input during this step so the project can be designed to meet
the communityDs needs. )he public provides input based on the draft P' and draft +D for
projects *ith significant impact or controversy.
 )he Project 'eport $P'%, a document based on the PID, serves as the engineering
and 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% summaries environmental
impacts of the proposed alternatives.
3. #econd programming ? &omple- projects re,uire a second programming step. )his step
uses reports from the PA=+D to select a preferred alternative that meets the purpose
and need of the transportation problem, and to decide *hether to fund the project
through construction. A project is ready for the ne-t step once it is funded through
construction or programmed.
Design and Construction includes t*o steps in *hich all the documents produced so far are
used to finalie design details, dra* up construction plans for bidding, ac,uire the necessary
property rights and permits, and build the project based on the selected alternative.
7. Design ? Bpon obtaining project approval the design step begins. Design involves
obtaining subse,uent approvals and agreementsE forming a buildable and biddable
projectE *riting an engineered construction contract documentE identifying and ac,uiring
right 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 sources
provide funding, and the contract is advertised and a*arded. During construction, the
selected contractor builds the project. )he project reaches a complete status *hen any
claims 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 development
team $PD)%. In collaboration, the project manager $P"%
and the PD) carry out the project plan involving
resources, tas!s and schedule.
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)he PD) is responsible for communicating project decisions and commitments throughout the
life of a project.
)he PD) includes functional representatives *ithin &altrans as *ell as the community, local
agencies, .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 project
manager. Depending on the nature of the project, the PD) may be made up of some or all of
these 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 *riting
the project development documents? project initiation document, project report and
project specifications and estimates.
As an integral part of the PD), the P+?
 /rganies, analyes and compiles information submitted by functional
units
 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
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'eferences?
• PDP" &hapter 1
• PDP" &hapter 9
• Wor!plan #tandards >uide
• P" :andboo!
 +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 their
respective areas, and for providing information about the project, project need and
potential constraints. )he project engineer usually represents the design unit.
G&onstruction
G+nvironmental
G0andscape Architecture
G"aintenance
G'ight of Way
$Btilities, Ac,uisition, et al.%
G#urveys
Division of +ngineering #ervices H
/ffice +ngineer $D+#-/+%
.:WA
:ydraulics
"aterials;>eotechnical
Public information officer
$community outreach%
#tructures Design
G)raffic
G)ransportation planning
District /ffice +ngineer $D/+%
G &ore PD) members.
'dvisors and Consultants
When needed, advisors or consultants outside of &altrans provide technical advice on
their areas of e-pertise related to the project. +-amples of advisors are?
&:P
0egal
0ocal;regional agencies
Public
)unnel e-pert
&onstruction contractors
Coordinators
&oordinators have delegated $from Deputy Director% approval authority for certain project
features 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 summaries numerous references found in other
guidance materials used to develop projects. 0isted belo* are
samples of the resources available to you.
• A policy on >eometric Design of :igh*ays and
#treets $AA#:)/ >reen boo!%
• @ridge "emo to Designers "anual
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• &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
• BserDs >uide to Photogrammetric Products and #ervices
• Wor!plan #tandards >uide 5.<c $previously W@# >uide%
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Project Initiation
What is Project Initiation?
Project initiation is the first formal step in developing a
solution for a specific transportation problem. )his step
follo*s system and regional planning activities that identify
and prioritie local, regional and state*ide transportation
objectives. )he outcome of the project initiation step is a
programmable project *ith a *ell-defined project scope,
cost and schedule.
)he project initiation document $PID% summaries project
information and recommendations. )he PID is used to
obtain one or more of the follo*ing?
• "anagement approval for inclusion in a
programming document
• &onceptual approval of the IPurpose and (eedI
and range of alternatives
• )he potential area of impact $footprint% for
alternative development or the combination of
alternatives that *ill be studied
A PID is re,uired for all major projects prior to inclusion in a state programming
document. When a district director approves a PID, the action approves the definition of
the project as a candidate projectE this approval does not ensure that the candidate
project *ill successfully compete *ith other projects for programming.
What is a Project Initiation Document?
)he project initiation document $PID% is an engineering decision document that?
 Identifies the purpose, need and feasibility of a project
 #erves as a record of agreement on project cost, scope and schedule
 Is used for programming funds
)he PID lin!s transportation planning to programming for &altrans-sponsored projects, and
provides conceptual approval of locally funded projects. )he project initiation step sets the stage
for solving a transportation problem. /nce a project is programmed, the PID recommendations
for scope, cost and schedule become the delivery commitments.
Why use a PID?
)he purpose of the PID is to?
• Describe need and purpose of a transportation project
Programming Page 44
'eference?
Purpose and (eed 'eport
• 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 obtain
t*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 of
funds, effort or materials bet*een &altrans and another agency. )he PID *ill be the authoriing
document for the cooperative agreement. A cooperative agreement, ready to sign, must be
attached to the PID.
What are the steps in Project Initiation?
When a project sponsor identifies a need or deficiency and
provides &altrans *ith the perceived scope of the proposed
solutions, the sponsor also identifies potential funding sources.
"any parties, including the project sponsor, may be involved in
carrying out the steps. )he project manager coordinates the
steps.
4. /nce the appropriate funding area has the preliminary project information, the deputy
district director in Project "anagement assigns a project manager.
1. )he project manager obtains e-penditure authoriation for the project initiation $JFK
phase%.
2. .unctional managers formulate an initial *or! plan that ensures people, e,uipment and
materials 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 for
the project.
Programming Page 41
'eferences?
PDP" &hapter 9
Plans Preparation "anual
Wor! .lo* )as! "anual
)he cooperative agreement is a legally binding contract that documents the roles and
responsibilities for each party. Although cooperative agreements can be *ritten at
any point in the PDP, it is important to develop it as soon as possible. )he best time
to prepare a cooperative agreement is *hile developing the PID or the P'.
8. PID level design is performedE viable alternatives are generated.
5. )he environmental planner consults the PD) to determine environmental document
re,uirements for each alternative.
9. )he P+ *rites the PID using information provided by the PD). Depending on the nature
of the project, the project sponsor may opt to *rite the PID *ith &altransD 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 $P#'%
is the most common. )he P#' outline serves as
the foundation for all PIDs. )he standard outline
has been adapted into specialied formats for
specific types of funding and transportation needs.
As a rule of thumb, the P#'$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 analyed information that is organied to support or clarify
information in the body of the report. Actual studies *ith ra* data $e.g., )A#A# data,
)able @%, preliminary calculations and any detailed analyses should be part of the project
file, not part of the PID.
4. )able of &ontents
1. Introduction
2. @ac!ground
3. Purpose and (eed
• (eed #tatement
• Purpose #tatement
7. &orridor and #ystem Information
8. Alternatives
5. +nvironmental Determination and +nvironmental Issues
9. 'ight of Way
6. Programming 'ecommendation
4<. .unding;#cheduling
44. District &ontacts
Appendi- H #upporting material
In addition to the standard PID outline, standard tables and focused guidelines have
been developed for projects that use #:/PP funds. )hese tables have been developed
to streamline the effort needed to compile information for non-comple- projects and to
e-tract information needed to manage the #:/PP program.
Although the outline$s% and guidance provide a frame*or! for the PID, each report
should be adapted to present the information necessary to document project
assumptions, decisions and recommendations.
Programming Page 42
'eferences?
PDP" &hapter 3 $funding information%
PDP" &hapter 6 $PID types%
>uidance regarding the format and content for the project initiation document is found in
the Project Development Procedures Manual, Chapter 9, Article 4 – Procedures, Figure
5 and the Appendices.
PID $ormats +y Project type
#IP Projects,
If the "nvironmental "valuation
re-uirement is a,
#he re-uired PID format is,
&ategorical +-ception P#'
(egative Declaration P#'$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 "aintenance
Project 'eport for &AP"
@ridge 'ehabilitation P##' $#tructure 'ehab%
@ridge #eismic 'estoration P##' $#eismic 'estoration%
Brban .ree*ay "aintenance .ree*ay
Access
P##'
#afety Projects P' template modified to include
any information needed for the
PID re,uirement
(e* :igh*ay Planting P#' Data #heet J(e* :igh*ay
PlantingK
:igh*ay Planting 'estoration P#' Data #heet J:igh*ay
Planting 'estorationK
"inor A Project 'eport
"inor @ +A Project 'eport
All /thers P#'
!ocally.funded Projects,
Project comple/ity #he re-uired PID format is,
&omple- P#', P#'$PD#%
Programming Page 43
(on-comple- P++'
Who does )hat for PID approval?
An approved PID is authoriation to continue to initial
programming, or for a local agency to proceed. Approval at
this step does not constitute authoriation to start
environmental studies or any other advancement of *or!.
)he follo*ing steps ta!e place to obtain the district directorDs $or designeeDs% approval?
4. "embers of the project development team chec! schedules and cost estimates for their
respective functions.
1. Project engineer signs and seals the project document
as complete, attesting to the recommendation,
conclusion and decisions in the PID.
2. Project manager signs the coversheet for
recommending approval and submits it for approval.
3. )he district right of *ay deputy director signs a
statement on the cover sheet indicating the 'ight of
Way Datasheet is complete, current and accurate.
7. District director $or designee% approves the PID *ith a
signature.
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)
membersD names in the Project :istory .ile.
Programming Page 47
'eference?
PDP" &hapter 9 $approvals%
Programming
What is programming?

)he Project Development Procedures "anual, &hapter 3, defines
programming as?
The process o setting priorities or unding projects
envisioned in long!range transportation plans, and
committing revenues over multi!"ear periods to these
transportation improvements#
)he Division of )ransportation Programming represents &altrans
in business activities *ith the &alifornia )ransportation
&ommission $&)&%. #pecifically, it manages and administers
transportation programs, and allocates funds for transportation
projects.
)he Division of )ransportation Programming places a project into
one or more of several transportation planning programs
depending in part on the nature of the project and the identified
fund sources.
.rom the project sponsorDs perspective, a programmed project is
a commitment to the users of a transportation facility.
Programming applies only to projects that involve state or federal funds. )he &)& does not
program 4<<L locally or privately funded projects.
While programming is not an official phase, per statutes, it is a vitally important step in getting a
project from inception to completion.
What funding programs are availa+le?
#tate funding programs support projects affecting the state high*ay
system, including projects that originate at the regional level. #ince state
high*ay projects affect the national high*ay system, many state projects
involve matching federal funds. &onse,uently, many projects originating
as state-funded programs are included in a federal funding program.
tate funding programs
#tate funding programs support projects affecting the state high*ay system, including
projects that originate at the regional level.
Interregional #ransportation Improvement Program 0I#IP1
A five-year program developed by &altrans that includes projects developed through
the Interregional 'oad #ystem Plan, Intercity 'ail, #ound *all, )oll @ridge, and
Programming Page 48
'eference?
PDP" &hapter 3
Aeronautics programs. )he I)IP provides continuity in transportation facilities from
one community to another.
&egional #ransportation Improvement Program 0&#IP1
A five-year list of proposed transportation projects submitted to the &)& by the
')PA as a re,uest for #tate funding. ')IP projects involving federal funds also *ill
be in the .)IP once the project is selected for the #)IP.
tate #ransportation Improvement Program 0#IP1
&altrans uses the five-year #)IP program to assess and prioritie state
transportation needs. Project proposed by regional agencies in their o*n ')IPs and
projects proposed by &altrans in the I)IP together create the #)IP.
')IP M I)IP N #)IP
#)IP projects involving federal funding also appear in the .ederal and .ederal;#tate
)ransportation Improvement Programs $.)IP and .#)IP%.
.or additional information on #)IP re,uirements, see the #)IP 'esource Page.
tate (igh)ay Operations and Protection Program 0(OPP1
A four-year program limited to projects related to state high*ay operations, and
focusing primarily on rehabilitation and safety. Any #:/PP projects involving federal
funds also appear in the .)IP and .#)IP.
Other tate Programs
#everal other state funding programs are available. .or more information on those
programs, see the PDP" &hapter 3
$ederal funding programs
#ince many state projects involve matching federal funds, projects that originate as state-funded
programs are included in a federal funding program.
$ederal #ransportation Improvement Program 0$#IP1
)he .)IP is a five-year list of all projects proposed for federal funding under the
.ederal )ransportation Act *ithin the planning area of an "P/. An "P/ develops
the .)IP. 'egional .ederal funds are reimbursable federal funds allotted to local
agencies and are separate from the state programming.
#)IP M #:/PP M 'egional .ederal .unds N .)IP
$ederal2tate #ransportation Improvement Program 0$#IP1
)he .#)IP is a five-year list of transportation projects proposed for funding under
.ederal )ransportation Act. )he .#)IP is the product of a cooperative effort bet*een
the #tate and "P/s in consultation *ith local non-urbanied governments. )he
.#)IP includes all .)IP projects as *ell as other federally funded rural projects.
.)IP M federally funded rural projects N .#)IP
&altrans approves funds for rural projects included in the .#)IP.
Programming Page 45
When does programming ta*e place in the PDP?
A project is ready for programming once the district director has approved the PID and the
project 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. Possible
funding sources include?
 #)IP
 #:/PP
 .)IP;.#)IP
 0ocal or Private
In most cases, the Project Initiation Document $PID% provides an indication of the need for either
one or t*o programming steps. )his is only a rule of thumbE many circumstances can lead to
e-ceptions to the rule.
#IP $unding
#)IP funded projects have t*o programming options?
4. &omple- projects re,uiring environmental studies
OP#'$PD#%P are programmed first for support costs up to
the Project Approval = +nvironmental Document step. A
second programming step is needed for design and
construction steps.
1. Projects that can be completed or constructed *ithin the
7-year #)IP cycle are programmed one time for both
support 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!es
place after the PA = +D step. )his is because, in these
cases, the project initiation and the PA = +D are
combined in the P##'. )hese projects typically re,uire a
&ategorical +-empt;+-clusion.
1. Programming for comple- projects $P#'% that re,uire
environmental studies ta!es place before the PA = +D
step and secures funds through construction.
Programming Page 49
$#IP2$#IP $unding 0$ederal Programming1
Projects proposed to use federal funds or high*ay
trust funds are programmed after the state
programming is completed. )hese projects are
listed on and programmed into the .#)IP, and
approved by .ederal :igh*ay Administration
$.:WA%.
!ocal or Private $unding
)he &)& does not program projects *ith 4<<L local or private funding.
3ote, Whenever there is an e-change of effort, funding, or materials
bet*een the #tate and another local entity for *or! on the #tate :igh*ay
#ystem, a cooperative agreement is necessary.
What are the PID re-uirements for project funding?
)he PID proposes the commitment of funds in a manner that ma-imies the use of
transportation funds. An approved PID is re,uired in order to program project funds into the
#tate )ransportation Improvement Plan $#)IP% or the #tate :igh*ay /perations and Protection
Program $#:/PP%.
In most cases, the project initiation document $PID% used to define the project provides an
indication of the need for either one or t*o programming steps. )his is only a rule of thumbE
many circumstances can lead to e-ceptions to the rule.
tate 4 .unding for projects involving money from the #tate :igh*ay Account must be
programmed by the &)& *ith recommendations provided by &altrans or regional
agencies. #)IP and #:/PP projects use state money and usually include
federal matching funds.
Programming Page 46
!ocal 4 .or a project using 4<<L local money H not state funds H that is not considered
regionally significant, the project sponsor $such as the city, county, developer, ta-
measure, etc.% is responsible for identifying and allocating project funds.
Mi/ed 4 When the project sponsor chooses to mi- local or private funds *ith state funds,
the &)& programs the project in the #tate )ransportation Improvement Program
$#)IP% *ith recommendations from &altrans or the regional transportation
authority.
$ederal 4 "ost projects involving state funds are subsidied *ith federal matching funds,
and any project using federal funds must be programmed and approved by the
.ederal :igh*ay Administration. 'egionally significant projects or projects
involving federal funds must be in an approved .#)IP regardless of the funding
source.
#IP and (OPP 'doption chedule
An understanding of the funding cycles and sources helps the project development team and
the project sponsor produce a *ell-planned and *ell-scoped project *ith properly allocated
funding ready for on-schedule distribution.
+very 1 years, &altransD Division of @udgets reports fund estimates and projections of
anticipated revenues from gas ta-es and other fees for a 7-year period. )he total of the
proposed #)IP and #:/PP projects may not e-ceed the projected revenue from the 7-year
estimates. )he #tate submits the #)IP and #:/PP to the &alifornia )ransportation
&ommission $&)&% for adoption and approval, respectively.
)he &)& adopts the #:/PP first follo*ed by #)IP. If a PID is not approved in time for inclusion
in a specific funding program H the I)IP or ')IP H then the project is at ris! for being held up for
the ne-t program adoption cycle. /ften times, before a project can be included in the I)IP or
')IP, it may need other pre-submittal approvals. )he important point here is that it ta*es time
to get an approved project on the #IP or (OPP5
4. In odd-numbered years, the districts and regional agencies submit the I)IP and ')IP for
inclusion in the #)IP. )he I)IP and ')IP are submitted on the December 47
th
preceding
#)IP adoption.
1. @y Qanuary 24
st
of even-numbered years, the &)& adopts the #:/PP for the ne-t four
fiscal years. #ince #:/PP funds cover the project through completion, all phases of
#:/PP project must be completed *ithin the 3-year cycle.
Programming Page 1<
2. @y April 4
st
of even-numbered years, the &)& approves the #)IP for the ne-t five fiscal
years. )he funds become available on Quly 4
st
.
• #)IP projects defined in a P#'$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 of
programming, environmental studies must be complete *ithin five yearsE once the
second 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 cycle
because 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 the
information about the approved
project to District Planning.
1. )he district transportation planning
branch *or!s *ith the 'egional
)ransportation Planning Agency
$')PA% to determine district and
regional priorities for #)IP funding.
2. )he district transportation planning
branches, the district project
Programming Page 14
management branch, and ')PAs prioritie the regional and state projects to form
the '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 ')IP
together 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. #tate
programming is complete upon adoption of the #)IP.
7. Division of )ransportation Programming enters the project information on the
&alifornia )ransportation Improvement Program #ystem $&)IP#%, &altransD
database. )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 .:WA
for inclusion on the .ederal )ransportation Improvement Plan;.ederal #tate
)ransportation Improvement Plan $.)IP;.#)IP%. Any project on the state high*ay
system that involves federal funding must be approved by .:WA through either .)IP
or .#)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 both
federal and state programmings are complete.
4<. )he project manager informs the project sponsors that the P' and +D have been
approved.
44. )he district director $or designee% authories the ne-t step of project development to
begin. .or some projects, the ne-t step is PA=+DE for others the ne-t step is Design.
41. )o !eep the #)IP up-to-date, each year the project manager, in partnership *ith the
project development team, or PD), updates the projectDs cost estimates for support,
right of *ay, construction, environmental, and any major changes that have been
identified and approved.
(OPP programming
4. District #:/PP manager and :A
#:/PP manager prioritie the
project according to the state*ide
needs, subject to the #:/PP
performance objectives and
priorities. )his project is then given a
priority as part of the future #:/PP
plan. )he project cannot proceed to
the ne-t step until a priority is set.
Programming Page 11
1. )he project is included in the .ederal )ransportation Improvement Plan;.ederal
#tate )ransportation Improvement Plan $.)IP;.#)IP%. Any project on the state
high*ay system that involves federal funding must be approved by .:WA through
either .)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 both
federal and state programming processes are complete.
7. )he project manager verifies data entry into &)IP# $&altransD project database%.
8. )he project manager informs the project sponsors that the P' and +D have been
approved.
5. )o !eep the #:/PP up-to-date, each year the project manager updates the projectDs
cost estimates $support, right of *ay, construction, environmental%.
9. )he district director $or designee% authories the ne-t step of project development to
begin. .or some projects, the ne-t step is PA=+DE for others the ne-t step is Design.
Programming Page 12
Project 'pproval 6 "nvironmental Document
What is P'6"D?
)he Project Approval and +nvironmental Document $PA=+D% step
reinforces the philosophy of balancing transportation needs *ith
community goals and values. /utputs of the PA=+D step are the
Project 'eport and the +nvironmental Document H or e-ception to
the environmental documents re,uirements H under the &alifornia
+nvironmental Auality Act $&+AA% or (ational +nvironmental
Protection 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 viable
alternatives to the transportation problem. During this step,
PA=+D, the P' evaluates the various alternatives for selection of
the preferred alternative.
"nvironmental connection
0a*s, such as (+PA and &+AA, re,uire an assessment of potential impacts to the
environment. )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 documents
the alternatives and their related impacts, but also provides opportunity for public comment and
input. Public input usually is re,uested during this step to ensure the project is designed to
consider community needs.
Public N Advisors
.ollo*ing public comment and a hearing, &altrans selects
the preferred alternative.
&onstruction = &loseout Page 13
'eference?
PDP" &hapter 44
PDP" &hapter 11
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 is
replaced *ith a &ategorical +-ception and;or &ategorical +-clusion e-plaining the reason the
project is e-empt from environmental documentation re,uirements.
Bpon the district director, or designee, approving the draft P', the Draft +D is then authoried to
be 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' summaries the alternative analysis and engineering studiesE it e-plains the
project purpose and need, provides practical solutions to the need, and describes *hich
solutions service the greater public *ith the least amount of harm. An effective Project
'eport $P'% clearly documents the rationale for selecting the preferred alternative, and
provides sound reasoning for e-cluding the other alternatives.
.or comple- projects, the P' may be used to program
funds for the P#=+ and &onstruction steps. In such
cases, funding covers both capital costs and schedule
for construction.
)he project engineer $P+% and project development
team $PD)% develop the Project 'eport to summarie
decisions and the analyses of alternatives. )he P'?
 Discusses the engineering studies and analysis of
the various alternatives
 &ontains sufficient detail from functional units to
formulate the cost, scope and schedule for each
alternative
 Includes a *or!plan and summary of the ris!
management plan for each alternative
#ee Appendi- F in the PDP" for P' preparation guidelines?
http?;;***.dot.ca.gov;h,;oppd;pdpm;apd-Rhtm;apd-R!;apd-R!.htm
&onstruction = &loseout Page 17
'eference?
PDP" &hapter 4<
PDP" &hapter 41
"nvironmental Document
)he environmental generalist compiles and *rites the +D based on data from the
various studies. )he document identifies the impacts of each alternative on the
environment at and around the project site. )he generalist *or!s *ith the PD) to assess
the alternative impacts and any mitigating circumstances involved *ith them.
)he environmental document discloses the viable alternatives developed by the PD),
and discusses the impacts of each alternative to?
 Air, noise, *ater
 Wetlands, par!lands, coastal ones
 Wildlife and plants
 :istoric and recreation areas
 &ultural and visual aspects
/ther environmental aspects include?
 #ocial, economic and land-use issues
 Potential haardous *aste concerns
 'ight of *ay impacts
"D content re-uirements
)he environmental document format must conform
to state and federal la*s, specifically &+AA and
(+PA. When the project does not involve federal
dollars, only &+AA documents are re,uired.
In certain cases, the environmental document
contains both an environmental impact statement
$+I#% and an environmental impact report $+I'% to
comply *ith (+PA and &+AA, respectively.
An effective environmental document?
 Discloses the results of studies
 &ompares potential environmental impacts caused
by project alternatives to impacts of not building
the project
 &ontains conditions and re,uirements made
through negotiations *ith other agencies re,uiring permits and approvals
 'ddresses pu+lic comment obtained from a public hearing and formal public revie*
&onstruction = &loseout Page 18
)he streamlined +I'-+I# outline is available from the #+' *eb page?
http?;;***.dot.ca.gov;ser;do*nloads;+I#;+I#L1<outlineL1<memo.pdf
What types of "nvironmental "valuations are there?
)he &+AA, *hich governs environmental
re,uirements in all projects, recognies three
major types of environmental evaluations?
 &ategorical +-emption
 (egative Declaration
 +nvironmental Impact 'eport
When a project involves a federal agency,
(+PA re,uirements for environmental
evaluations also must be met.
Categorical "/emption2"/clusion 0C"1
A categorical e-emption or e-clusion $&+% states that an environmental assessment or
environmental document is not needed. )he types of projects for *hich &+s are
appropriate are those that, according to the #tate, do not usually have a significant effect
on the environment.
3egative Declaration 03D1
)he negative declaration $(D% states that upon completing an initial study there is no
substantial evidence the project *ill have a significant effect on the environment.
"nvironmental Impact &eport 0"I&1
An environmental impact report $+I'% sho*s the public agency decision-ma!ers and the
public?
4. #ignificant environmental impacts of a project
1. Ways to minimie significant effects
2. 'easonable alternatives to the project
When is P'6"D carried out?
)he Project Approval and +nvironmental Document step begins
once the project has completed the first programming step.
4. )he project manager obtains an e-penditure
authoriation for the PA=+D step $J<K phase%.
&onstruction = &loseout Page 15
'eference?
#tandard +nvironmental 'eference $#+'% http?;;***.dot.ca.gov;ser;
'eference?
Wor!flo* )as! "anual
Wor!plan #tandards >uide
1. /nce e-penditure for the PA=+D step is authoried, the project engineer collects all
information available for the project?
 Project description, purpose and scope
 Approved Project Initiation Document
 Draft target dates and schedule
 (ames of !ey sta!eholders and project sponsors
 Any other relevant information from the Project :istory .ile
2. .unctional managers *or! *ith the project manager to verify and modify an initial *or!
plan for the PA=+D step.
3. )he project manager re-forms the PD), ensuring representation of all functional units.
7. #tudies re,uired to determine feasibility of project alternatives are completed and
documented.
+ngineering #tudies .rom engineering fields including? geometrics,
geotechnical reports, traffic operations studies, and
hydraulics.
+nvironmental #tudies .rom scientific fields including? natural resources,
cultural resources, aesthetics, and economics.
At this step, the PD), *ith input from the community and local agencies are responsible
for identifying short- and long-term impacts of the project on the community environment.
Aspects considered include? noise, par!ing, mass transit and business access, detours,
traffic, and community events.
8. )he project engineer and environmental generalist prepare the Draft Project 'eport and
Draft +nvironmental Document, respectively, using the information from the engineering
and environmental studies and the project development team decisions.
• )he district director uses the Draft P' to approve circulation of the Draft +D
information for public comment.
• )he Draft +D *ill be distributed for public comment as needed, and a public hearing
is held. All public feedbac! and concerns are considered during alternative selection.
5. Bsing all the feedbac! and concerns from the public and agency sta!eholders, the
project development team selects the preferred alternative.
)he preferred alternative generally provides the greatest
public benefit and *ith the least damage to the environment.
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'eference?
PDP" &hapter 41
9. )he project engineer and environmental generalist revise the draft documents to create
the P' and +D. )he P' summaries public sentiment and the +D documents and
responds to each public comment.
6. )he project manager submits the P' and +D for approval by the district director.
4<. )he district submits the +D to the appropriate agencies for environmental approval?
Agency Approval type
&)& &+AA adoption of finding
.:WA (+PA approval
44. /nce the P' and +D have been approved, the project manager and the district
transportation programming branch update the project cost, scope and schedule based
on the preferred alternative.
• If the PID *as a P#'$PD#% then the project *ill be programmed into the #)IP based
on the preferred alternative.
• If the PID loc!ed in the cost, scope and schedule, then the details of P' and +D
must be *ithin the cost, scope and schedule approved in the PID. /ther*ise, the
project manager must submit a Program &hange 'e,uest $P&'%.
41. )he project manager for*ards a copy of the approved P' and +D to the project sponsor,
and provides the local agency *ith the information entered into &altransD database.
What are the re-uirements for approval?
When the most viable alternative has been selected for the project, and the Project 'eport has
been prepared *ith all the necessary information, the project manager recommends approval
for both the Project 'eport and the +nvironmental Document. District, state and federal agency
approvals are re,uired before *or! can begin.
• District director approves both the Project 'eport and +nvironmental Document
*ith a signature
• &)& adopts +D for &+AA *hen state funding is involved
• .:WA approves the +D for (+PA *hen federal funding or federal government
action is involved
'pproval is2is not
Approval of the PA and +D does not necessarily authorie the
start of the ne-t step? Plans, #pecifications and +stimate.
• A P#'$PD#% project must be programmed t*ice.
Approval authories the start of the second
programming step.
&onstruction = &loseout Page 16
• When the PID is a P#', or P##', the first programming step covered funding through
construction. Approval authories *or! to begin.
• .or a P++', *hich is not programmed by the #tate, approval authories construction to
begin.
Any unauthoried *or! that begins before the second programming step may compromise
federal and state funding.
'dditional approvals
'oute adoptions 'oute adoptions are needed for?
o A ne* alignment for an e-isting route
o +stablishment of a location for an un-constructed route
o &onversion of a conventional high*ay to a free*ay or a
controlled access high*ay
o Designating a traversable high*ay
o )emporary connections
@efore a project on a ne* location can proceed, adoption
of route locations re,uires action by the &alifornia )ransportation
&ommission $&)&%. )he Project 'eport serves as an information
source for processing route adoptions through the &)&. &)&
route adoption action *ith accompanying &+AA environmental
documentation is ta!en prior to submittal to the .:WA for
compliance *ith (+PA and project approval.
.ree*ay agreements @efore a city street or county road can be
closed for construction of a transportation project, a free*ay
agreement $or controlled access high*ay agreement% is re,uired
bet*een &altrans and the local jurisdiction authoriing a local
street or road closure. A current agreement is needed for regular
ac,uisition of right of *ay.
+-penditure authoriation )he project manager and project
sponsor monitor the e-penditures made after the project approval
date to ensure that they are not for *or! that re,uires
programming. When additional effort is authoried to occur before
funding can be allocated, the project manager ma!es sure the
#tate is able to collect reimbursement for the e-penses.
&onstruction = &loseout Page 2<
Design
What is Design?
Bpon completing the Project Approval and +nvironmental Document
$PA=+D% step, the projectDs design step begins. Design includes four
major activities?
• /btaining right of *ay
• .inaliing environmental permits
• >etting approval for agreement$s%
• &ompleting the final design document? Plans, #pecifications
and +stimate $P#=+%
Products of Design
)he products of a completed design step are?
• Ac,uired permits needed to complete the project
• .ully developed plans, specifications and estimates $P#=+%
• 'ight of *ay needed for construction is obtained
• #ecured project funding
• ')arded contract
/nce the design milestones are complete, construction can begin.
&onstruction = &loseout Page 24
#he P6" document
)he project engineer collaborates *ith the project
development team $PD)% and functional managers to
compile project details and develop the P#=+ document
for the selected project alternative. )he P#=+ is the
engineering document containing details needed for
bidding and building the project.
Plans
Provide graphical
details of project
using current
engineering and
construction
practices
pecifications
Prescribe the
re,uirements for
construction
materials and
*or!manship, and
the details for payment of *or! $must comply *ith state regulations,
policies, procedures, and standards%
"stimates
Describe the cost of *or!
Project Changes
A successful P#=+ minimies the ris! of changes needed during construction. &hanges in
scope or other aspects of the project re,uire a Program &hange 'e,uest $P&'% document.
• 7efore su+mitting the P&', all impacted :A program advisors or their
coordinators must be consulted.
• 7efore finali8ing the P&', the district also must have preliminary conversations
*ith appropriate local or regional agencies and :A personnel.
+ach member of the PD) should revie* project changes to identify if commitments made in the
Project 'eport or +nvironmental Document need to be re-evaluated.
Who is involved in design?
Fey resources during the design step are local agencies, the project
engineer and the office engineer. :o*ever, designing an effective project
involves all sta!eholders.
&onstruction = &loseout Page 21
'eference?
Plans Preparation "anual
#tandard #pecifications
#tandard Plans
:igh*ay Design "anual
!ocal agencies
Active collaboration *ith local agencies during the design step helps to prevent changes
that could affect the initial scope of the project. 0ocal agencies are responsible for
approving land use changes, and for developing adjacent projects currently under*ay or
planned.

When opportunity arises for incorporating a
local improvement into the #tateDs project, a
cooperative agreement and a supplemental
Project 'eport covering the *or! that *as not
part of the original project is re,uired.
Project "ngineer
)he project engineer $P+% ma!es sure the design step is completed and that the P#=+
document contains all project details.
While *riting the P#=+, the P+ constantly chec!s to see that the project report and
environmental evaluations are accurate, clear and complete and that the projectDs need
and purpose are in concert *ith local community needs. If the P+ finds the projectDs
original need and purpose is inade,uate, the project returns to a previous step in the
development process.
)he P+ also shares responsibility in the contract a*ard process. )he P+?
 'ecommends a*ard *ithin 7 days after bid opening
 Participates in preparing the a*ard recommendation letter
Project Manager and Design enior
)he P" and design senior support the P+ by filling a ,uality assurance role relating to
project details.
Project Development #eam
In partnership *ith the project engineer, the project development team $PD)% monitors
project details to identify and evaluate project changes. )he PD) assesses any changes
to identify revisions needs for the project report or environmental evaluations.
Office "ngineer
/nce the P+ submits the P#=+, the office engineer $/+% ta!es responsibility for the
contract a*ard process. In this functional area capacity, the /+?
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'eference?
&ooperative Agreements "anual
 Prepares contract documents
 Advertises for bids
 Analyes contractor bids
 A*ards the contract to the lo*est competitive bidder
(o) is design completed?
)he P#=+ $or design% step begins
programming is secured for construction.
4. )he project manager obtains
e-penditure authoriation for the development of the P#=+ $J4K phase%.
1. .unctional managers *or! *ith the project manager to revie* and revise the initial
*or! plan as needed.
2. )he project manager re-forms the PD) to ensure representation by all functional
units.
3. )he district land surveys branch provides updated mapping, and the P+ updates the
base map.
7. .unctional units begin *or! on the P#=+ document?
 Project engineer leads the design effort for P#=+ details. )he P+
includes input from e-ternal revie*s.
 +nvironmental generalist *or!s *ith various permitting agencies to obtain
environmental permits.
 )he district right of *ay branch settles matters of right of *ay, including
clearing right of *ay and relocating people and utilities as needed.
 /ther functional units prepare plans applicable to their areas $e.g.,
#tructures, )raffic, +lectrical, and 0andscape%.
8. )he district right of *ay branch certifies the needed right of *ay is ready for
construction.
5. Project manager ensures final agreements are e-ecuted $e.g. cooperative
agreements, free*ay agreements, route adoptions, maintenance agreements%.
9. P+ submits the draft plans, specifications and ,uantities to the District /ffice
+ngineer $D/+%.
6. D/+ finalies the P#=+ and circulates it for revie* and comment.
4<. D/+ submits final P#=+ *ith other corresponding documents to Division of
+ngineering #ervices H /ffice +ngineer $D+#-/+%.
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Project Development Wor!flo* )as!s, 1<<-38<
44. Project engineer, *ith PD), compiles the 'esident
+ngineer .ile. )he file is a record of major project
decisions, project agreements and other information
about the project history. )his is not the same as the
Project :istory .ile.
41. /nce all environmental permits, right of *ay certification, final agreements, and
P#=+ are verified?
 )he &)& approves previously programmed funds for construction.
 Project engineer submits the re,uired documents to the D+#-/+ for
approval.
42. )he D+#-/+ prepares the contract documents, advertises the
project, and a*ards the contract for construction. In some cases,
the local agency advertises and a*ards the contract.
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'eference?
')0 >uide
'eference?
PDP" Appendi- >>
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 the
transfer of the facility to "aintenance.
During construction, transportation planning and design ideas become
reality.
&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 public
sees. &onse,uently, the publicDs perception of &altrans depends on
the impression of the construction activities.
During previous steps, the various PD) members involve the public
to identify community needs and address concerns before any *or!
begins at the project site. During the construction, those concerns
are in the public vie*. &arrying out construction activities according
to the prescribed plans H plans developed in partnership *ith the
community H minimies the impact of ongoing road*or! and traffic
disruptions.
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-site
safety practices protect everyone involved in or affected by the project
construction.
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Who does )hat during construction?
&onstruction transforms the project from a vision
and 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 product
serves the public needs according to plan.
Contractor
)he contractor builds the project according to the prescribed engineering plans and
specifications? 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 contract
specifications
 Administrative re,uirements are carried out
Project Manager
)he P" monitors cost, scope and schedule throughout the project, and remains the
primary contact for the PD).
Project "ngineer
)he project engineer $P+% and '+ evaluate possible changes to the project as they
arise.
Project Development #eam
When changes are identified, *hether unforeseen or proposed, the P+ consults *ith the
PD) to confirm that the nature of the changes do not conflict *ith previously made
agreements 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-penditure
authoriation to begin construction *or!.
1. )he construction unit assigns a resident engineer $'+% to administer the contract.
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Wor!flo* )as! "anual
Wor!flo* #tandards >uide
2. )he '+ holds t*o J!ic!-offK meetings?
a. .irst meeting is *ith the PD)
b. #econd meeting is *ith the PD) and contractor
3. )he contractor carries out construction activities under the '+Ds administration.
Depending on the nature of the project, the facility may be closed to traffic during all or
part of the construction activities.
7. )he '+ and district maintenance branch compile the closeout punch list for the
contactor.
8. &ontractor completes the tas!s on the punch list.
5. '+ resolves contract claims $if any%. &ontract claims are disputes bet*een the
contractorDs and the '+Ds 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 documents?
a. As-builts document *hat *as actually built
b. '+ reports $e.g., claims reports, progress reports, '+ diaries%
c. 0essons learned
d. Project files
4<. )he district right of *ay branch completes final right of *ay activities, such as mapping,
and transferring or selling of property.
#ome 'ight of Way activities may continue after construction in complete. .or e-ample?
utility bills may need to be paid, /rders for &ondemnation may be obtained, and
escro*s may be closed.
44. )he district maintenance branch assumes responsibility for the facility, and, if the facility
remained closed to traffic for the entire construction step, it is re-opened.
(o) is the project closed?
When the project is complete in accordance *ith the plans and specifications, the project
manager closes the project. )he P" is responsible for the completion of the project in
partnership *ith the PD).
4. )he P" and PD) compile the Project :istory .ile. )he file is a record of all decisions
made, reports completed, and a summation of pertinent information related to the
project.
1. )he district maintenance branch or local agencies accept responsibilityS for facility. )he
contractor is responsible for the facility until the '+ deems the project complete or until
the contractor is relieved from maintenance $usually after the project is constructed%.
"ost maintenance agreements are e-ecuted during the design step.
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2. Project manager documents the lessons learned. Tarious PD) members involved in
design and construction of the project develop the 0essons 0earned document. .uture
project teams use the lessons learned to prevent repeating issues that can be
addressed 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 to
the district maintenance branch.
8. All construction claims must be resolved before the e-penditure authoriation can be
closed. )he resident engineer, claims engineer, construction engineer and the legal
division, among others, may be involved in claim resolution.
5. Project manager closes the e-penditure authoriation.
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