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Chapter 9 – Project Initiation
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CHAPTER 9 – Project Initiation
- CHAPTER 9 – Project Initiation 9- Table of Contents
- ARTICLE 1 Introduction and Definitions 9-
- Reference Information 9-
- General 9-
- Definitions 9-
- ARTICLE 2 Laws 9-
- General 9-
- California Statutes 9-
- ARTICLE 3 Policies 9-
- General 9-
- State Transportation Improvement Program 9-
- State Highway Operation and Protection Program 9-
- Protection of Public Investment 9-
- ARTICLE 4 Essential Procedures................................................... 9-
- General 9-
- Project Selection 9-
- 9- Candidate Projects for the State Transportation Improvement Program
- Program 9- Candidate Projects for the State Highway Operation and Protection
- Project Initiation Document Templates 9-
- Purpose and Need - Defining the Transportation Problem 9-
- Design Concept and Design Scope 9-
- Scoping Tools 9-
- Project Initiation Document Alternative Formulation Strategies 9-
- Life-Cycle Cost Analysis 9-
- Consensus on the Study Area 9-
- Compliance 9- Identify Anticipated Environmental Determination/Document and
- Value Analysis 9-
- Deviation from Design Standards 9-
- Safety Review 9-
- Constructability Review 9-
- Assessment of Federal Highway Administration Involvement 9-
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Federal Highway Administration Determination of Engineering and Operational Acceptability for New or Modified Access on the Interstate System ........................................................................................... 9- Federal Aid Reimbursement - Local Agency Implementation ........ 9- Work Plan Development ................................................................ 9- Cooperative Features for Capital Improvements ............................ 9- Federal Funding Requirements ...................................................... 9- Project Initiation Document Approval ............................................. 9- Starting Next Phase ....................................................................... 9- ARTICLE 5 Additional State Highway Operation and Protection Program Procedures ........................................................................ 9- General .......................................................................................... 9- Scoping Team Field Review .......................................................... 9- Safety Analysis............................................................................... 9- Damage Assessment Form ............................................................ 9- ARTICLE 6 Director’s Order for Urgent Projects ............................ 9- ARTICLE 7 Minor B Projects.......................................................... 9- Minor B ........................................................................................... 9- ARTICLE 8 Project Initiation Process for All Projects that require an Encroachment Permit ....................................................................... 9- General .......................................................................................... 9- Overview of the Project Initiation Process and Required Project Document ....................................................................................... 9- Steps to Determine the Appropriate Caltrans Review Process ...... 9- Encroachment Permits Office Process........................................... 9- Quality Management Assessment Process.................................... 9- Project Initiation Document Process for Projects-Funded-by-Others. 9- 54 ARTICLE 9 Project Study Report-Project Report ........................... 9- General .......................................................................................... 9- Projects-Funded-by-Others ............................................................ 9- ARTICLE 10 Ceasing Work on Programmed Projects ................... 9- Request Process ............................................................................ 9- Approval Process ........................................................................... 9- Cease Work at Agreed Milestone................................................... 9-
Table of Figures
Figure 9-1 State Transportation Improvement Program Components and Corresponding Project Development Programming Phases ...................... 9- Figure 9-2 Project Initiation Links Planning to Programming ..................... 9- Figure 9-3 The Context ............................................................................. 9- Figure 9-4 Steps to Determine the Appropriate Caltrans Review Process. 9-
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- Defines the purpose and need for the project,
- Gets input from stakeholders,
- Systematically collects and analyzes existing information,
- Identifies alternatives,
- Develops a plan of action to deliver the project, and
- Estimates the project cost and schedule.
This chapter discusses the statutes, definitions, policies, and procedures that apply to the project initiation phase. This chapter should be used in conjunction with Appendices A-X. The appendices contain additional guidance on the preparation of PIDs, commonly used PID formats, input forms, and checklists.
Definitions
Conceptual approval – is an assessment that the project alternatives meet all design standards or have approved deviations and have had a traffic operational analysis. Adequate information must be provided in the PID for Caltrans to make this assessment. Conceptual approval is not final approval of a project alternative.
Programming – a process that prioritizes projects for State and federal funding. The two major State programming documents are the State Transportation Improvement Program (STIP) and the State Highway Operation and Protection Program (SHOPP). The major federal programming documents are the Federal Statewide Transportation Improvement Program (FSTIP) and Federal Transportation Improvement Program (FTIP).
Project initiation document (PID) – an engineering document or technical report that documents the scope, cost, and schedule of a project. The PID is an outcome of the project scoping effort. The PID is a record of the purpose and need for the project, and the approach that will be taken to meet or reduce transportation deficiencies. It is a record of the existing information, initial assumptions, identified risks, and constraints that drove the development of the project work plan. A PID is used to obtain approval for inclusion of a project into a programming document or to get conceptual approval of a project- funded-by-others.
Project initiation document phase work plan – a work plan that identifies tasks, resources, and the schedule required to complete the PID. The project
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manager is responsible for the development of the PID phase work plan. A high-level PID phase work plan is used to obtain, allocate, and manage resources used by various functional units. Refer to the Headquarters Division of Transportation Planning, Office of Program and Project Planning for more information about work plan development.
Project scope – identifies the significant aspects of a project that are necessary to meet the project purpose and need. The scope is tied to realistic cost estimates and schedules. Ultimately the alternative recommended for programming or the proposal from an external entity must have a high probability of obtaining the various approvals required during the project development process. It is essential that all work incidental to the project be identified and included in the cost estimate. Examples of incidental work may be safety elements, upgrades, mitigation, and rehabilitation of existing features.
Purpose and need statement – a statement of the transportation problem that will be met by the construction of the project. The statement has two major components:
- Need – States the transportation deficiency.
- Purpose – States the objectives that will be met to address the transportation deficiency.
Project study report (PSR) – a type of PID. The PSR is a format that meets statutory, California Transportation Commission (CTC), and Caltrans requirements for STIP candidate projects. The PSR format is the model for other PIDs.
Projects-funded-by-others – projects that are sponsored by a local agency or private developer, and do not use any State or federal funds, nor federal reimbursements.
Quality management assessment – is the performance of all planned systematic activities by the owner/operator that verifies the implementing agency’s quality assurance program effectiveness and precedes the owner/operator approval.
Scope approval – indicates agreement between the project sponsor and Caltrans, as owner-operator of the State Highway System, of the following:
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phases which are used to indicate the progression of a project in the project development process.
Project sponsor –is the project advocate that acquires funding partners to ensure adequate project funding. Caltrans is the sponsor for all projects funded solely from the SHOPP and most projects funded from the Interregional Improvement Program.
ARTICLE 2 Laws
General
By way of legislation, the Legislature provides Caltrans and the CTC with its expectations for managing projects on the State Highway System. This article lists key laws that apply to the project initiation process. Although much of the legislation specifically addresses the requirements for the STIP, Caltrans has incorporated similar procedures for scoping and managing the SHOPP.
The laws presented in this article represent the current version available on the internet at the time of publishing. It is the user’s responsibility to verify the correctness and applicability of specific laws.
California Statutes
California Government Code, Section 65086.
Section 65086.5 describes Caltrans’ role with respect to the preparation, review, and approval of PIDs. The text is as follows:
(a) To the extent that the work does not jeopardize the delivery of the projects in the adopted state transportation improvement program, the Department of Transportation may prepare a project studies report for capacity-increasing state highway projects that are not included in the state transportation improvement program. Preparation of the project studies report shall be limited by the resources available to the department for that work, supplemented, as appropriate, by regional or local resources. The project studies report shall include the project- related factors of limits, description, scope, costs, and the amount of time needed for initiating construction. (b) Whenever project studies reports are performed by an entity other than the Department of Transportation, the department shall review and approve the report.
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(c) The Department of Transportation may be requested to prepare a project studies report for a capacity-increasing state highway project which is being proposed for inclusion in a future state transportation improvement program. The department shall have 30 days to determine whether it can complete the requested report in a timely fashion. If the department determines that it cannot complete the report in a timely fashion, the requesting entity may prepare the report. Upon submission of a project studies report to the department by the entity, the department shall complete its review and provide its comments to that entity within 60 days from the date of submission. The department shall complete its review and final determination of a report which has been revised to address the department’s comments within 30 days following submission of the revised report.
(d) The Department of Transportation, in consultation with representatives of cities, counties, and regional transportation planning agencies, shall prepare draft guidelines for the preparation of project studies reports by all entities. The guidelines shall address the development of reliable cost estimates. The department shall submit the draft guidelines to the California Transportation Commission not later than July 1, 1991. The commission shall adopt the final guidelines not later than October 1, 1991. Guidelines adopted by the commission shall apply only to project studies reports commenced after October 1,
California Government Code, Section 14526(c)
Section 14526(c) states:
(c) Projects may not be included in the draft interregional transportation improvement program without a project study report or major investment study.
California Government Code, Section 14527(g)
Section 14527(g) states:
(g) Projects may not be included in the regional transportation improvement program without a complete project study report or, for a project that is not on a state highway, a project study report equivalent or major investment study.
California Government Code, Section 14529
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State Transportation Improvement Program
A PSR or PSR-PDS must be approved by the District Director prior to listing any project in the STIP.
The CTC STIP Guidelines (located at the Headquarters Division of Financial Programming-Office of Capital Improvement Programming website) state that for each project proposed for programming in the Regional Transportation Improvement Program (RTIP) or the Interregional Transportation Improvement Program (ITIP), the PID must list costs separately for each of four project components. In addition, right of way and construction components on Caltrans projects must be further broken down into the costs for Caltrans capital outlay support and capital outlay project. Therefore, a total of six project cost components are required in a PID for projects on the State Highway System to be programmed in the Regional Transportation Improvement Program or Interregional Transportation Improvement Program. The STIP components relate to the programming phases as follows in Figure 9-1:
Figure 9-1 State Transportation Improvement Program Components and Corresponding Project Development Programming Phases California Transportation Commission State Transportation Improvement Program Components
Corresponding Project Development Programming Phases
Support costs for environmental studies and permits
Project Approval and Environmental Document (PA&ED) Support costs for preparation of plans, specifications, and estimates
Plans, Specifications, and Estimates (PS&E) Support costs for right of way acquisition Right of Way – Support Capital costs for acquisition of right of way Right of Way – Capital Support costs for construction Construction Project – Support Capital costs for construction Construction Project - Capital
Legislation requires that each STIP component, as identified in Figure 9-1, must be programmed and that the components may be programmed sequentially. To implement the legislation, Caltrans developed the PSR-PDS
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template to program support costs and capital costs separately. The PSR-PDS allows Caltrans and local agencies to:
- Program only the support costs if the project life-cycle is longer than the STIP programming period.
- Maximize the use of finite PID resources by beginning detailed environmental studies and engineering studies without performing preliminary studies.
- Proceed with engineering and environmental studies and evaluate the merits and feasibility of alternatives before a preferred alternative is selected for programming right of way and construction costs.
- Accurately plan resources needed to complete the environmental document -project approval process.
- To advance the programming of PA&ED elements of future STIP projects, if there are adequate funds in the State Highway Account.
It is Caltrans policy that a PSR-PDS must be completed prior to listing any project in the STIP.
This policy was implemented to ensure appropriate use of limited PID resources and that project teams have sufficient information on project alternatives to develop reliable costs and schedules prior to programming funds necessary for construction and the purchase of right of way. The information needed to firmly establish permit, right of way, and environmental requirements is generally not available until after the detailed studies are completed.
If a STIP project can be accelerated and construction can begin during the proposed STIP programming period, it may be appropriate to use the PSR format and program right of way and construction dollars at the end of the PID phase. Only a District Director with a request from a project sponsor can approve the use of the PSR format. Districts should work with their local partners to carefully consider the ability to deliver the project within the STIP programming period. When using the PSR format, districts must submit a “Fact Sheet Exception to the PSR-PDS Requirement” to the Chief of the Headquarters Division of Project Management and Chief of Office of Program and Project Planning within the Headquarters Division of Transportation Planning. The fact sheet is located at the Headquarters Division of Transportation Planning-Office of Program and Project Planning website.
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For further discussion of SHOPP PIDs see Article 4 “Essential Procedures” and Article 5 “Additional State Highway Operation and Protection Program Procedures.”
Protection of Public Investment
It is Caltrans’ responsibility to protect the public’s investment in the State Highway System; therefore a PID is required for any major project that is on the State Highway System regardless of the funding.
Whether Caltrans or entities other than Caltrans staff prepare the PID, Caltrans policy and procedures must be followed. Caltrans staff must perform quality management assessment and must retain approval authority over those PIDs that are prepared by other entities. Further discussion of projects-funded-by- others is located in Article 4 “Essential Procedures” and Article 8 “Project Initiation Process for All Projects that require an Encroachment Permit.”
ARTICLE 4 Essential Procedures
General
This article is a discussion of the essential procedures to complete a PID. They follow the order for common problem-solving steps, project selection, project personnel, project statement, alternative development, mandatory reviews, estimating resource needs, securing funds, and starting capital work.
Project Selection
District Directors have discretion in prioritizing district projects for PID development. They also have the responsibility to ensure that the projects are consistent with planning procedures and programming criteria. District Directors have authority to approve PIDs.
Annually, the districts identify projects that will require resources to develop PIDs. A list of proposed projects is submitted to the Headquarters Division of Transportation Planning, Office of Program and Project Planning, in the form of a proposed work program. Constrained by the budgeted PID support allocation, an annual PID work program includes a list of those PIDs that will be developed by district/region staff and a list of projects requiring quality management assessment. Work can commence on a PID when a K-phase
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expenditure authorization (EA) has been issued. The PID work program is managed by the Office of Program and Project Planning. Refer to the Office of Program and Project Planning for information about work program development and K-phase authorizations.
Except for district Minor projects, the costs of the PID preparation should be charged to K-phase EA. The K-phase is used until the project is programmed, or for a project-funded-by-others when the Caltrans project manager requests the capital EA.
Candidate Projects for the State Transportation
Improvement Program
The CTC and Caltrans are required to program, budget, and expend the funds in the State Highway Account in accordance with long-range transportation planning. Figure 9-2 provides an overview of the transition from long-range transportation planning to a project’s initiation and ending with the programming of funds for a project. This chapter does not contain a discussion of all of the long-range planning elements shown in the Figure 9-2, however the graphic establishes the relationship between district system planning (in brown oval) and regional transportation planning (in green oval) and how long-range planning processes influence the selection of projects for funding. The following paragraphs provide brief descriptions of district system planning and regional transportation planning. A brief description of the STIP and the federal programming process follows the discussion of transportation planning processes. The PID is the key point of linkage between planning and programming.
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- Pedestrian needs at controlled and uncontrolled crosswalks.
- Current land use.
- 20-year concept for land use, operational trends, and modal trends.
Information is compiled into a transportation concept report (TCR) or a route concept report (RCR). Project selection is based on the system plans and broader statewide planning efforts such as the Interregional Transportation Strategic Plan (ITSP) and the overall policy framework established by the California Transportation Plan.
For a more in-depth discussion of this topic see Chapter 1 – Introduction, Section 4 “Transportation Planning Leads to Project Development.”
Regional Transportation Plans
Like system planning within Caltrans, the Metropolitan Planning Organizations (MPOs) and Regional Transportation Planning Agencies (RTPAs) perform analyses on multi-modal segments, corridors, and the system to identify projects for long-range transportation plans. The long-range plans that are prepared and cyclically updated by Metropolitan Planning Organizations and Regional Transportation Planning Agencies are known as regional transportation plans (RTPs). Regional transportation plans consist of policy, action, and financial elements, all leading to identification of projects. Regional transportation plans are federally mandated plans. Any project that receives federal funding must be in a long-range plan that is fiscally constrained and is consistent with the goals and guidelines of a regional air quality plan.
For a more in-depth discussion of this topic see Chapter 1 – Introduction, Section 4 “Transportation Planning Leads to Project Development.”
State Transportation Improvement Program
Transportation programming is the public decision-making process that sets priorities, balances system performance outcomes, and funds projects envisioned in the long-range transportation plans. The STIP consists of two broad programs: (1) the Interregional Transportation Improvement Program that is funded from 25 percent of the new funds in the STIP and (2) the Regional Transportation Improvement Program that is funded from 75 percent of the new funds in the STIP. Caltrans submits the Interregional Transportation Improvement Program and Regional Transportation Planning Agencies submit
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the Regional Transportation Improvement Program to the CTC biennially. The CTC is responsible for adoption of the STIP.
The PID provides the required information that transforms transportation planning activities to project-specific details for programming decisions. The district transportation planning unit has a key role in ensuring that the community needs and long-term transportation objectives are incorporated into the PIDs.
An approved PSR-PDS will be used to program only the “environmental document and permit” component for any STIP project. An approved PR will be used to program STIP support and capital components for right of way and construction. With the approval of the Headquarters Division of Financial Programming, and if there is sufficient detail to firmly establish permit requirements, right of way requirements, and environmental impacts, a PSR may be used to program the right of way and construction components prior to approval of the PR.
For additional information on the requirements of the STIP, see the Headquarters Division of Financial Programming-Office of Capital Improvement Programming website.
Federal Program
Projects receiving federal transportation funds or are of regional significance must be programmed in the appropriate federal programming document. Metropolitan planning organizations are responsible for developing and adopting the Federal Transportation Improvement Programs. Caltrans is responsible for preparing the Federal Statewide Transportation Improvement Program.
Refer to Chapter 4 – Programming, for additional information on federal programs.
Candidate Projects for the State Highway Operation and
Protection Program
The CTC and Caltrans program, budget, and expend the funds in the State Highway Account in accordance with the current Ten-Year State Highway Operation and Protection Program Plan located at the Headquarters Division
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are not within the prescribed goals, that district may provide justification for including the project as part of the district’s submittal. The district’s list is submitted to the Headquarters SHOPP program managers. Once approved by the Headquarters SHOPP program managers, the district’s projects are added to the statewide Ten-Year State Highway Operation and Protection Program Plan.
State Highway Operation and Protection Program
Biennially, Caltrans submits a list of projects to the CTC that meets the goals of the SHOPP. The SHOPP is a list of projects that has been approved for delivery by the CTC for the four-year SHOPP timeframe. The Caltrans delivery commitment is defined by the scope, cost, and schedule presented by the PID. The program categories in the SHOPP are an extension of the program categories in the Ten-Year State Highway Operation and Protection Program Plan. A description of the program qualifications for each category is located at the Headquarters Division of Financial Programming-State Highway Operation and Protection Program (SHOPP) website.
Projects are selected from the Ten-Year State Highway Operation and Protection Program Plan and the districts/regions are resourced for PID development through the PID work program. The PID defines the project scope, cost, and schedule. The project competes with other SHOPP needs for inclusion in the SHOPP. The PID provides the decision-making link between the Ten-Year State Highway Operation and Protection Program Plan and commitment for the delivery of capital improvement through the SHOPP.
Federal Program
SHOPP projects that either receive federal funds or are regionally significant must be programmed into the Federal Transportation Improvement Program. Projects that need to be in the region’s air quality conformity model must be programmed in the Federal Transportation Improvement Program. Refer to Chapter 4 – Programming, for additional information on federal programs.
Project Initiation Document Templates
The funding source, the complexity, the issues, and the type of work will determine what type of information must be included in the PID.
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The appendices provide guidance and templates for various PIDs.
Appendix L – Preparation Guidelines for Project Study Report, provides basic information applicable to all PIDs and should be read in conjunction with any of the program-specific appendices. Appendix L includes the following information:
- Preparation guidelines.
- Description of information that should be included in a PSR.
- Scoping tools.
- Standard templates.
Appendix S – Preparation Guidelines for Project Study Report-Project Development Support Project Initiation Document provides information applicable to a PSR-PDS, including the template and should be read in conjunction with Appendix L. Appendix S includes the following information:
- Preparation guidelines.
- Description of information that should be included in a PSR-PDS.
- Scoping tools.
- Standard templates.
The PSR and PSR-PDS are the most common documents to initiate a project. A standard outline has been developed for these documents. Templates using these standard outlines and some fill-in-the-blank tables have been developed for the PSR and PSR-PDS.
In addition to the PSR, there are templates that have been tailored to meet the information needs of specific State programs or funding sponsors. Tables from any of specialty PIDs may be used to improve the presentation of project information.
State Transportation Improvement Program Projects
There are two major PID types that are used to program projects into the STIP.
- The PSR-PDS is used to program only the support costs needed to achieve project approval.
- The PSR is used to program all support, right of way acquisition, and construction costs.
