Design Product Evaluation Criteria Handbook

CALIFORNIADEPARTMENTOFTRANSPORTATION
DesignProductEvaluation
CriteriaHandbook
EvaluationCriteriaforDesignproducts
OfficeofProjectDevelopmentProcedures
3/15/2013

Thishandbookisforuseinevaluatinghighwaydesignproductsduringtheinitiation,preliminarydesign,and
finaldesignphasesofaproject.ThisistobeusedbycorePDTmembersinidentifyingandprioritizingissues
priortothesebecomingproblemsorrisks.

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Table of Contents
Contents
Introduction/Background ................................................................................................................ 4
Applicability ................................................................................................................................... 5
Project Development Team Members ............................................................................................ 5
Product Evaluation .......................................................................................................................... 6
Project Development Team Meeting .............................................................................................. 8
Risk Management prior to Ready to List Milestone ....................................................................... 9
Applicability during Project Reviews ............................................................................................. 9
Evaluations Guidance ................................................................................................................... 10
Design Product Evaluation Template ........................................................................................... 11
Evaluation Criteria ........................................................................................................................ 12
Overall Criteria ..................................................................................................................... 12
Design Purpose and Need .................................................................................................. 13
Design Designs Standards Compliance ............................................................................. 14
Design Optimization .......................................................................................................... 15
Project Management Cost Management (Page 1 of 4) ...................................................... 16
Project Management Schedule Management ..................................................................... 20
Project Management Optimization .................................................................................... 21
Structure Design Design Standards Compliance (1 of 2) .................................................. 22
Structure Design Optimization .......................................................................................... 24
Right of Way Right of Way Minimization & Compliance ................................................ 25
Environmental Purpose and Need ...................................................................................... 26
Environmental Environmental Commitments, Minimization, & Compliance .................. 27

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Office Engineer Construction Contract Standards Compliance (Page 1 of 3) ................... 28
Construction Protective Features (Page 1 of 2) ................................................................. 31
Construction Construction Contract Standard Compliance (Page 1 of 2) ......................... 33
Construction Constructible ................................................................................................ 35
Structure Construction Constructible (1 of 3) .................................................................... 36
Traffic Operations Protective Features .............................................................................. 39
Traffic Operations Design Standard Compliance .............................................................. 40
Traffic Operations Designed to Operate as Planned .......................................................... 41
Maintenance Protective Features (Page 1 of 2) ................................................................. 42
Maintenance Maintainable ................................................................................................. 44
Planning Purpose and Need (Page 1 of 3) ......................................................................... 45
Planning Designed to Operate as Planned (Page 1 of 4) ................................................... 48
Evaluation Criteria Index .......................................................................................................... 52
Design ................................................................................................................................... 53
Project Management ............................................................................................................. 56
Structure Design .................................................................................................................... 58
Right of Way ......................................................................................................................... 60
Environmental ....................................................................................................................... 61
Office Engineer ..................................................................................................................... 65
Construction .......................................................................................................................... 66
Structure Construction .......................................................................................................... 68
Traffic Operations ................................................................................................................. 69
Maintenance .......................................................................................................................... 70
Planning ................................................................................................................................ 72

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Introduction/Background
This handbook establishes a framework for implementation of evaluation criteria to improve the quality
of design products developed during the project delivery process. Caltrans has historically relied on
conformance to standards and practices, and often individual preferences, to define a projects quality.
Consistent application of these standards and practices can be problematic given the various expertise
and opinions of the product evaluator. By establishing these evaluation criteria, which are based on
product outcomes, and referencing these criteria to the actual standards and practices, it is anticipated
that a more consistent application of quality evaluation will be achieved.
These evaluation criteria were developed by experts within the key functional units who own and must
manage the outcomes of design products, essentially Designs partners and customers. It is critical that
these partners and key customers form the core of the Project Development Team (PDT) which will
guide the project through the delivery process. These PDT members also own the evaluation of those
design characteristics which were developed by their respective functional experts. By continuously
evaluating the design product utilizing the identified characteristics, risks to project quality will be
identified and can be prioritized and resolved in an efficient manner.

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Applicability
The project development team (PDT) is encouraged to apply the design product characteristics to all
projects on or proposed to be on the SHS regardless of implementing agency, sponsor or funding source.
ProjectDevelopmentTeamMembers
During the project initiation and project approval phases, PDT members consist of nine core functional
areas representatives from project management, design, structure design, environmental, right of way,
traffic operations, transportation planning, construction, and maintenance. Furthermore, during the final
design phase the PDT increases by two core functional areas to include representatives from office
engineer and structure construction. Each of these functions owns one to three performance
characteristics to evaluate, based on the interests, expertise and accountability of the functional area.
The performance characteristics and responsible functional areas are listed in the figure below.
Performance Characteristic
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Protective Features x x x
Purpose & Need
x x x
Cost Management x
Schedule Management x
Design Standards Compliance
x x x
Environmental Commitments, Minimization &
Compliance
x

R/W Minimization & Compliance x
Construction Contract Standards Compliance x x
Constructible x x
Designed to Operate as Planned x x
Maintainable x
Optimization
x x x

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Although there may be additional PDT members, this handbook was based on the core functional areas
described above. The functional area manager should select the most appropriate representative to
participate on PDT teams. This representative should be knowledgeable of the project development
process, and have technical expertise in the functions manuals, policies, standards, laws, and
regulations. Acknowledging that some representatives have limited technical knowledge of some
aspects within their functional areas, these representatives should consult technical advisors within their
functional areas when needed.

ProductEvaluation
The PDT members should assess the emerging design product using their functions evaluation criteria.
One or more functional areas are accountable for each performance characteristic. Each of the eleven
functional areas has interests, expertise, and accountability regarding different performance
characteristics. When a functional area representative applies an evaluation to a performance
characteristic, it becomes a project performance measure. When a projects performance measures are
displayed all at once, the display is called a project dashboard.
The figure below shows an example project dashboard with 23 performance measures. This type of
dashboard should be quickly created and displayed during each PDT meeting. In this example, the team
should use the dashboard to prioritize issues, beginning with red (1), which indicates needs significant
attention. In the example below, the PDT should develop a plan to involve the necessary PDT
members and technical advisors to address Constructible-Construction and Protective Features-
Maintenance before the next PDT meeting.

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Project Dashboard (with sample evaluations)
Functional
Area
Performance Characteristic Evaluation
Design Purpose & Need
4
2
Optimization
3
Project
Management
Cost Management
4
Schedule Management
3
Optimization
3
Structure
Design
1

2
Optimization
3
Right of Way R/W Minimization & Compliance
3
Environmental Purpose & Need
4
Environmental Commitments, Minimization & Compliance
3
Office
Engineer
2

Construction Contract Standards Compliance
2
Construction Protective Features
3
Constructible
1
2
3
Structure
Construction
1,2

Constructible
2
Traffic
Operations
Protective Features
3
3
Designed to Operate as Planned
3
Maintenance Protective Features
1
Maintainable
5
Planning
Purpose & Need
3
3

NOTE:
1
Recommended for projects with structure(s)
2
Recommended during the final design phase (a.k.a. PS&E phase).

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ProjectDevelopmentTeamMeeting
Project Managers are to facilitate the PDT issue prioritization as follows:
1. Project Status
The project engineer, or a representative from the design unit, will provide an overview of the
project status and issues in order for the PDT to have sufficient information to provide
assessments consistent with the evaluation criteria. Below are possible ways to provide this
information:
a. A design product, Gantt chart, aerial photo etc.
b. The last approved document and intermediate outline or draft document
c. Recent project review comments (see below)
d. The resolution or status of prior PDT meeting issues
2. Evaluation
Each functional area representative individually evaluates the project relative to his or her
performance characteristic(s) utilizing the evaluation criteria to assess information and/or
products provided. (Refer to the respective evaluation criteria in this handbook.).
3. Display Evaluations (see example above)
The PM obtains the evaluation number/color from each functional area representative and
displays the resulting project dashboard to the team.
4. Discuss high risk performance measures
Performance measures that received an evaluation of Needs Significant Attention or Needs
Attention are sources of risk for a project. Beginning with the Needs significant attention
measures, the Project Manager facilitates a discussion with the representative who provided the
risk assessment(s). As time permits, this step is repeated until all the high risk performance
measures have been discussed with the PDT.
5. Prioritize
The PDT determines priorities and selects the most significant issues that will require an action
plan prior to the next PDT meeting, if any.
6. Next Steps
The PDT decides next steps and which technical advisors are necessary to solve each prioritized
issue.
7. Risk Registry

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The PDT determines which unresolved issues should be incorporated into the risk register in
accordance to the Project Risk Management Handbook.
8. Record
The PM records the responses of steps 2 thru 7 in the meeting notes.
RiskManagementatProjectPS&E,(Milestone380)

Prior to Milestone 380, Project PS&E, any measures listed as needs significant attention must have
completed a thorough collaboration with the appropriate HQ functional unit and then be added to the
Risk Register per PD-09, Project Risk Management. If any of the following performance measures are
listed as needs significant attention the Legal Division should be consulted in order to develop a risk
strategy for the project records. The conversation with the Legal Division is protected by attorney/client
privileges and the resulting strategy will assure that risks are fully addressed.

Need and Purpose - Design
Protective Features - Traffic Operations
Protective Features - Maintenance
Protective Features - Construction
Design Standards Compliance - Traffic Operations
Design Standards Compliance - Design
Design Standards Compliance - Structure Design
Construction Contract Standards Compliance - Construction
Designed to Operate as Planned- Traffic Operations
Maintainability - Maintenance
Optimization - Design
Optimization - Structure Design

ApplicabilityduringProjectReviews
The results of district circulation, safety reviews, constructability reviews, and any other technical
reviews need to be studied and understood by the appropriate PDT members prior to the PDT meeting,
so that these findings can be incorporated into the comprehensive project performance assessment by the
PDT.

For example, once a safety review has been performed, the project engineer should distribute the results
to the PDT members who evaluate Protective Features - the PDT members representing Construction,

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Traffic Operations, and Maintenance. At the next PDT meeting, the safety review results should be
considered when determining the evaluations for Protective Features.

Similarly, once a constructability review has been performed, the project engineer should distribute
these results to Construction, Structures Construction, and Office Engineer PDT members for their
consideration when evaluating Constructible and Construction Contract Standards Compliance.
EvaluationsGuidance
Each performance measure is made up of several aspects. Note that there are evaluation criteria for each
aspect. Each PDT member should use his/her professional judgment to decide which aspect(s) should
be the basis of the evaluation. This assessment should take into consideration the projects schedule,
cost, project phase, or other factors.
Coming up with a numerical evaluation for a performance characteristic involves:
1. Familiarizing himself/herself with each of the respective functional areas performance
characteristics, aspects, and criteria,
2. Reviewing the current status of the project, or, if available, the draft design product,
3. Contrasting the proposed design solutions with applicable standards, policies and practices,
4. Determining the impact of the issues on the performance characteristic (outcome), and
5. Assigning a numerical evaluation consistent with the evaluation criteria
The numerical evaluation is dependent on the PDT member professional judgment. For example,
suppose the standard calls for a 10-foot shoulder, but the plan proposes a 9-foot shoulder. Professional
judgment is needed to determine if the Design Standards Compliance measure is deemed needs
attention" or "needs significant attention. If the design product is a 30% PS&E, this issue might need
attention, but at 95% the issue might need significant attention. Another example: if the 9-foot shoulder
is on an off ramp, it may need attention, but if it is on a freeway mainline it may need significant
attention. Remember, the purpose of the evaluation criteria is to help the PDT prioritize issues, and to
create a greater degree of consistency statewide.
In order to assist in keeping the evaluation criteria as objective as possible, the Design Product
Evaluation Criteria Handbook has indexed the evaluation criteria to policies, manuals, regulations, or
practices. The more the evaluations are based on Department policies, standards and practices, the more
useful and credible this prioritization process will be.

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DesignProductEvaluationTemplate

Project No: _____________________________ PDT Meeting Date: ___________________
Functional Area Performance Characteristic Evaluation
Design Purpose & Need


Optimization

Project
Management
Cost Management

Schedule Management

Optimization

Structure
Design

Optimization

Right of Way
R/W Minimization & Compliance

Environmental Purpose & Need

Environmental Commitments, Minimization & Compliance

Office
Engineer

Construction Protective Features

Constructible


Structure
Construction
Constructible

Traffic
Operations
Protective Features



Maintenance Protective Features

Maintainable

Planning
Purpose & Need


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EvaluationCriteria

Overall Criteria
5

State of the
Art
Complete
No changes are necessary
Project consistent with master plan and meets future needs
Stakeholder expectations exceeded, without controversy
Work plan is excellent in all aspects
Outstanding clarity of communication
4

Good
Complete, but not outstanding
Standards, policies and practices are reasonably well met
Presentation and communication clear
Comprehensive risk response plan
3

Acceptable
Complete, but minor changes may be called for
No mandatory changes required
Stakeholder needs are met
Compliance with minimum standards
Enough information to justify the project moving forward
Risk response plan is included
2

Needs
Attention
Not complete, but should not stop the project
Needs justifiable reason to move forward
Does not meet minimum requirements or standards, and
documentation has not been provided
Incomplete risk response plan
1

Needs
Significant
Attention
Not complete, contains major omissions
Does not meet the transportation need
Fatally flawed in terms of funding, resources, scope, or schedule
Does not meet mandatory requirements or standards (all areas) and
contains no associated exceptions
Totally missing customers expectations
Ignores the needs of stakeholder(s) or key functional area(s)
No risk response plan

DesignProductEvaluationCriteriaHandbook
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Design Purpose and Need
Aspect
5 4 3 2 1
State of the Art Good Acceptable Needs Attention Needs Significant
Attention
Need (symptoms) and
deficiency (what is broken)
clearly and succinctly
defined.
Clearly and succinctly demonstrates a
transportation need and deficiency.
Clearly stated deficiency is the cause
of the transportation problem.
Demonstrates a need and related
deficiencies - minor
changes/clarification can be made.
Demonstrates need and deficiencies
stated should address problem,
maybe some ambiguity or missing
minor information.
Not well demonstrated, some
ambiguous, vague, or incomplete.
Need not demonstrated or
incomplete. Proposed stated
deficiency does not address the need,
or existing deficiency not stated.
Purpose statement identifies
deficiency and defines
intended outcome the project
will address.
A clearly defined transportation
deficiency the project intends to
address and discusses those that will
not be addressed

Defines intended outcome, promotes
a suitable range of alternatives, and
relates to need statement.
Discusses transportation deficiencies
the project intends to address, but
need minor clarification. May not
address all deficiencies not to be
addressed.

Intended outcome is not as specific or
comprehensive as it could be, minor
clarification or detail may be needed.
Defines transportation deficiencies the
project intends to address, but need
some minor clarification. May not
discuss deficiencies not to be
addressed.

Intended outcome needs some
clarification, a little vague or limiting.
Purpose does not adequately address
transportation deficiencies and is too
vague and limiting.
Purpose not stated nor has no relation
to need statement. Have no idea
neither what deficiency the project
intends to fix, nor what the intended
outcome is--too vague allows too
broad of a range of alternatives, or so
narrow that it precludes study of
reasonable alternatives. Purpose
statement states the proposed
alternative.
Alternatives or proposed
design meet the expectations
stated in the Need and
Purpose?
Expectation exceeded, scope exactly
met, and limits of work met, no scope
creep. Good variety of alternatives -
including minimum standard.
Expectation met, scope met with very
little scope creep. A variety of
alternatives - including minimum
standard.
Expectation, scope, and limits of work
met or very close, may have some
scope creep. Several alternatives,
adequate variety, but no obvious
alternative missing- including
minimum standard.
Expectations not completely met,
scope and limits of work missing
elements of purpose statement, or
exceeded limits, too much creep,
original scope lost. Little variety of
alternatives, obvious alternatives
missing, or is missing minimum
standard.
Expectations not met, scope and
limits of work does not conform to
need, too much creep from original
scope lost or too much missing. No
variety of alternatives, single
alternative with other obvious missing
- missing minimum standard.
Supporting Evidence
Evidence clearly demonstrates and
identifies transportation deficiency.
Demonstrates transportation
deficiency - minor
changes/clarification are needed, may
need more information but no
additional studies needed.
Demonstrates transportation
deficiency - minor
changes/clarification can be made,
may need more information but no
additional studies needed
Does not have strong support for
need or studies are out of date or
incomplete.
Does not support need, inadequate
support, or evidence not provided/
incomplete.

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Design Designs Standards Compliance
Aspect
5 4 3 2 1
Attention
Highway Design Manual
(HDM) & Design Informational
Bulletin (DIB) - PR & 95%
Most minimum standards exceeded
and few design exceptions (not
because of constraints but to improve
the design).
Some minimum standards exceeded
or met, and approved design
exceptions.
All design standards minimums met or
design exceptions approved.
Non-standard features no approved
design exceptions
exception, Issues with approval.
Requires re-design to get design
exception approved.
(HDM) & DIB - PID, DPR, 30%,
60%
Most minimum standards exceeded
and few design exceptions (not
because of constraints but to improve
the design).
Some minimum standards exceeded
or met, and approved design
exceptions.
All design standards minimums met or
design exceptions approved.
design exceptions. May require
minor re-design to get design
exception approved.
exception; No conversations with
Design Coordinator or Reviewer;
Critical issues with approval; Requires
major re-design to get design
exception approved.
DIB-82
Most minimum standards exceeded All minimum standards met or
exceeded.
All minimum standards met or
approved design exception.
design exceptions. Requires minor
re-design to get design exception
approved.
exception. Requires major re-design
to get design exception approved.
AASHTO/Local Standard -
Local facilities
All local roads exceeded CT or
AASHTO standards.
All design guidance and standards
met and some exceeded.
Most design guidance and standards
met or exceeded, and documented
concurrence for variations.
Design guidance and standards not
fully met no documented
concurrence for variations.
Non-standard features no
documented concurrence for
variations, Issues with approval.
Project Development
Procedures Manual (PDPM) -
PID/PR/PSE
Meets all PDPM requirements with all
issues clearly defined and fully
discussed, and all alternatives
sufficiently explored
Meets all PDPM requirements with all
issues defined and discussed, and
variety of alternatives explored.
Meets PDPM requirements with
issues defined and may not be fully
discussed, and few alternatives
explored.
Does not meet PDPM requirements
with issues not clearly defined or
discussed, and only single
alternatives explored, no other
mentioned.
Does not meet PDPM requirements
with issues not defined or discussed,
and only single alternatives explored
no other mentioned.
PDPM - New/Modified Public
Road Connection.

Existing interchanges and/or local
roads to be improved along with new
connection to satisfactorily
accommodate traffic demand.
New public road connections and
work on existing local roads will have
positive effects on facility operation.
Demonstrated that the existing
interchanges and/or local roads
cannot be improved to satisfactorily
New public road connections will
have no detrimental effects that
would diminish facility operation.
Demonstrated that the existing
cannot be improved to satisfactorily
affect but have no detrimental
effects that would diminish facility
operation.
Incomplete analysis or questionable
that the existing interchanges and/or
local roads cannot be improved to
accommodate traffic demand
have detrimental effects that would
diminish facility operation or
incomplete analysis.
No demonstration that the existing
cannot be improved to
accommodate traffic demand
have detrimental effects that would
diminish facility operation or no
analysis.

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Design Optimization
Aspect
5 4 3 2 1
Attention
HDM 81Design Philosophy
Project provides the greatest public
good over the long term for the total
cost.

Excellent cost/results
Good cost/benefit Project provides public good over the
Design Life for the Total cost.

Acceptable cost/benefit
Marginal cost/benefit The project chose the lowest cost
alternative for a very narrowly focused
purpose or short term benefits, leaving
a system that down the road may be a
costly to maintenance and operations
with little or no long term benefit.

Poor cost/Benefit
Reasonably accommodates
all users
All uses have clearly been taken care
of and may even have separate
facilities (Pedestrian Over Crossing or
truck bypass), including during
construction
All users should be able to safely
navigate through project limits,
including during construction.
Adequate accommodations for all
uses all have short comings to
accommodate other users.
Reasonable safety for all, including
during construction
Access cutoff/blocked for one or more
users, as designed and/or during
construction
One or more users clearly excluded
by design, including during
construction.
Accommodate future of
facility (beyond design life)
Project facilitates future expansion to
ultimate facility configuration and area
build out. (Beyond design year)
All new large capital outlay structures
will work with future expansion
Minor element will need to be rebuilt
with future expansion. Although does
not preserver ultimate foot print, does
not encourage growth that would
prohibit ultimate expansion.
To accommodate future/ultimate
expansion will require complete or
major reconstruction.
Project prohibits future growth, by
putting in very expensive structures
that will have to be completely rebuilt,
or will encourage local growth which
would prohibit future expansion.
Compatibility/ Consistency
with adjacent facility
Compatible with or facilitates adjacent
existing features, or is part of
evolution of a facility for one type to
another (conventional to
freeway/expressway)
Project is compatible with adjacent
project/existing features, yet
accommodates future needs.
Project works with adjacent
project/existing features
Issues/conflicts with adjacent project/
existing features
No compatibility with adjacent project/
existing features
Driver Expectation/ standard
practice
No Driver confusion, Intuitive to travel Meets driver expectation Meets driver expectation, some
signing may be needed to clarify.
Driver indecision signing may not be
enough to clarify.
Driver confusion route/ alignment
too complicated signing may not help.

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Project Management Cost Management (Page 1 of 4)
Aspect
5 4 3 2 1
Attention
Support Cost Estimate
Support Cost Estimate from
completed and approved Workplan --
Resourced Loaded Schedule -- using
WBS Level 5 (or lower Level 6, Level
7, etc.) Activities and Milestones with
Logic. Support Cost Estimate used
for planning, programming, or
budgeting support and is consistent
with District Director Approved Project
Study Report (PSR), Project Report
(PR), Supplemental Project Report
(PR) and/or Cooperative Agreement
(Co-op).
Support Cost Estimate partially
complete or not up to date, i.e.
missing activities, milestones,
resources, etc. May require updated
workplan, PSR, PSSR, PR,
supplemental PR, and/or Cooperative
Agreement.
Support Cost Estimate not available.
May require workplan, PSR, PR,
Agreement.
Support Cost Component
Estimate
Project Support Cost Estimate
summarized into the four support
components -- SB-45 Components --
PA&ED, PS&E, R/W Support, and
Construction Support -- according to
the approved Workplan (Resourced
Loaded Schedule). Support Estimate
includes escalation rate according to
the year the work is estimated.
Support estimate includes the
appropriate ICRP (Indirect Cost Rate
%) for Caltrans Support versus
Reimbursed Work. Project Support
Cost Component used to identify
support budget in PSR, PR,
Supplemental PR, and/or Cooperative
Agreement.
Support Cost Estimate summarized by
components partially complete, i.e.
updated schedule, additional
resources, escalation factor, correct
ICRP, etc or not included in PSR, PR,
Agreement. May require updated
workplan, escalation calculation,
support component calculation, PSR,
PR, or Supplemental PR.

Support Cost Estimate summarized by
components not available. May
require workplan, PSR, PR, or
Supplemental PR.
IQA Support Cost Estimate
(For Projects performed by Local
Agency -- Not Applicable if work is
performed by Caltrans)
IQA Support Estimate from Completed
Workplan -- Resource Loaded
Schedule -- using WBS Level 6
Activities, Milestones with logic, and
consistent with District Director
Approved PSR, PR, Supplemental
PR, Environmental Document, and/or
Cooperative Agreement.
IQA Support Estimate partially
complete. May require updated
workplan, PSR, PR, Supplemental
PR, and/or Cooperative Agreement.
IQA support estimate and/or
Cooperative Agreement not available.
May require IQA workplan, PSR, PR,
Agreement.

Page | 17

Aspect
5 4 3 2 1
Attention
Programmed Support Cost
(Or Approved Support Budget if
project is not programmed in STIP or
SHOPP, i.e. Reimbursed Work)

Support Estimate Components used
to program PA&ED, PS&E, R/W
Support, and/or Construction Support
in approved Program Document or
other Financial Planning Document
(RTP, FTIP, etc.). Include appropriate
escalation rate and ICRP rate.
Includes any approved Cooperative
Agreement with local agencies for
other funding.
Support Cost Estimate Components
not consistent with Program
Document or other financial planning
document. May require updated
Supplemental PR, Cooperative
Agreement, and/or program cost
change.
Support Estimate Components not
available to validate support budget in
program document. May require
Agreement, and/or program change.

Forecast Support Cost
Estimate at Completion
Forecast Support Cost Component
Estimate at Completion within 90% to
110 % of the approved Programmed
Amount.
Amount.
Amount (i.e. PA&ED, PS&E, R/W
Support, and Construction Support).
May require updated workplan, PSR,
PR, Supplemental PR, Cooperative
change.
130% of the Programmed Amount
(i.e. PA&ED, PS&E, R/W Support,
and Construction Support). May
require updated workplan, PSR, PR,
change.
Estimate less than 70% or greater
than 130% of the Programmed
Amount. (i.e. PA&ED, PS&E, R/W
Support, and Construction Support).
May require updated workplan, PSR,
change.
Support Cost Performance
Index (CPI) -- Earned Value (If
available)
0.75 < CPI < 1.25 CPI < 0.75 or CPI > 1.25
May need to adjust project budget
and/or program budget change.

Construction Capital Cost
Estimate
Construction Capital Cost Estimate
prepared according to the approved
Department's cost estimating
methodology, i.e. 6 page estimate,
etc., and is consistent with the District
Director Approved PSR, PSSR, PR,
Supplemental PR, Environmental
Document, Permit/Mitigation
Requirement(s), and/or Cooperative
Agreement.
needs to be updated according to the
approved Department's cost
estimating methodology, i.e. 6 page
estimate, etc., and/or is not consistent
with the District Director Approved
PSR, PSSR, PR, Supplemental PR,
Environmental Document, and/or
Permit/Mitigation Requirement(s).
May require an updated Construction
Capital Cost Estimate, PSR, PSSR,
PR, Supplemental PR,
Permit/Mitigation Requirement(s),
Cooperative Agreement, and/or
program change.
not available or not based upon
District Director Approved PSR,
PSSR, PR, Supplemental PR,
Permit/Mitigation requirements, and/or
not based upon approved Department
cost estimating methodology -- i.e. 6
page estimate, etc. May require a
Construction Capital Estimate, PSR,
program change.

Page | 18

Aspect
5 4 3 2 1
Attention
Right of Way Capital Estimate
Right of Way Capital Cost Estimate
prepared according to the approved
methodology, i.e. R/W Data Sheet,
Environmental Mitigation, Utility
Relocation, Railroad, etc., and is
consistent with the District Director
Approved PSR, PSSR, PR,
Document, Permit/Mitigation
Requirement(s), and/or Cooperative
Agreement.
needs to be updated according to the
estimating methodology, i.e. R/W
Data Sheet, Environmental Mitigation,
Utility Relocation, Railroad, etc.,
and/or is not consistent with the
May require an updated Right of Way
program change.
not based upon District Director
Approved PSR, PSSR, PR,
Document, and/or Cooperative
Agreement, and/or not based upon
the approved Department cost
estimating methodology -- i.e. R/W
Data Sheet, etc. May require R/W
Environmental Capital
Estimate
Environmental Mitigation Capital Cost
Estimate prepared according to the
estimating methodology, i.e. PEAR,
MCCE, etc., and is consistent with the
Environmental Document,
and/or Cooperative Agreement.
.
Estimate needs to be updated
according to the approved
methodology, i.e. PEAR, MCCE, etc.,
and/or is not consistent with the
May require an updated
Estimate, PSR, PSSR, PR,
Supplemental PR, Permit/Mitigation
Requirement(s), Cooperative
Estimate not based upon District
Director Approved PSR, PSSR, PR,
Supplemental PR, and/or
Environmental Document using the
approved Department cost estimating
methodology -- PEAR, MCCE, etc.
May require a PEAR/MCCE Capital
Estimate, Supplemental PR,
program change.
Programmed Construction
Capital
from approved PSR, PSSR, PR, or
Supplemental PR used to program
Construction Capital in approved
Program Document or other Financial
Planning Document.
not consistent with Approved Program
Document. May require an updated
Capital Construction Capital Cost
Estimate, PSR, PSSR, PR,
not available to verify Approved
Planning Document. May require a
Construction Capital Cost Estimate,
program change.

Page | 19

Project Management Cost Management Page 4 of 4)
Aspect
5 4 3 2 1
Attention
Programmed Right of
Way Capital
from approved PSR/PSSR/PR used to
program Construction Capital in
approved Program Document or other
Financial Planning Document.
not consistent with Approved Program
Document. May require an updated
Right of Way Capital Cost Estimate,
Co-op, and/or program change.

not available to verify Approved
Planning Document. May require a
Right of Way Capital Estimate, PSR,
PSSR, PR, Supplemental PR, Co-op,
and/or program change.
Construction Capital
Forecast Cost Estimate at
Completion
Forecast Construction Capital Cost
Amount.
Amount.
Amount.
130% of the Programmed Amount.
May require an updated Construction
program change.

Amount. May require an updated
Construction Capital Cost Estimate,
program change.

Right of Way Capital Forecast
Cost Estimate at Completion
Forecast Right of Way Capital Cost
Amount.
Amount.
Amount.
130% of the Programmed Amount.
May require an updated Right of Way
program change.

Amount. May require an updated
Right of Way Capital Cost Estimate,
program change.

Page | 20

Project Management Schedule Management
Aspect
5 4 3 4 5
Attention
Workplan Development
(Planning)
All WBS Level 5 (or lower Level 6,
Level 7, etc.) Activities and Milestones
with logic identified in workplan
schedule and consistent with District
Director Approved PSR and/or Project
Report.
Workplan schedule not consistent in
Approved PSR/PR/Environmental
Document and may require the
schedule to be updated.
No Workplan schedule developed or
included in Approved PSR/PR.
Programmed Schedule
Workplan delivery schedule for
PA&ED, PS&E, Right of Way, and
Construction used to identify delivery
schedule and consistent with
approved programming document.
Workplan delivery schedule for
PA&ED, PS&E, Right of Way, and
Construction not consistent with
program delivery schedule in an
approved programming document
which may require program schedule
change.
Workplan Development Schedule not
used to schedule program delivery in
an approved programming document.
Forecast Schedule at
Completion and Progress
Forecast Schedule at Completion for
WBS Activities and Milestone
progress on schedule according to the
approved program document
schedule. Schedule activities,
milestones, and progress (percent
complete) up to date (no past due
dates or missing progress). Delivery
Milestones and updated progress up
to date in Delivery Plan and Contract
for Delivery. Schedule consistent with
District Director Approved
PSR/PSSR/Project
Report/Environmental Document, or
Supplemental Project Report and
Revalidated Environmental Document.
Forecast Schedule at Completion and
WBS Activity and Milestone Progress
not up to date and may require
program schedule change.
Forecast Schedule at Completion or
WBS Activity and Milestones not
Progressed and/or does not match
approved program document.
Schedule Performance Index
(SPI) -- Earned Value
(Not Applicable if Earned Value
Calculation not available)
SPI = 1.0 SPI > 1.0 SPI < 1.0

Page | 21

Project Management Optimization
Aspect
5 4 3 2 1
Attention
Approved Scope of Work
Project Scope of Work indentified in a
District Director approved PSR,
PSSR, PR, Supplemental PR and/or
Environmental Document.

Project scope properly identified in
PMCS, XPM, and Programming
Document and includes project
description, type of work, project
location, approved budget, COS
and/or reimbursed workload,
implementing agency responsibilities,
program code(s), fund type, and any
type of cooperative agreement(s).

Scope of work consistent between
PSR, PSSR, PR, Supplemental PR, or
Environmental Document including
documentation for alternatives, or
locations, identified but no longer
considered.
Project Scope of Work not consistent
with District Director approved PSR,
PSSR, PR, Supplemental PR, and/or
Environmental Document and may
require supplemental scoping
document and environmental re-
validation.

Project scope may need to be updated
in PMCS, XPM, Cooperative
Agreement, and/or Programming
Document.

Scope of work not consistent between
PSR, PSSR, and Project Report or
Environmental Document for the
alternative reviewed but no longer
considered. May need Supplemental
PR and environmental revalidation
regarding alternatives/locations no
longer considered. May require
program change.

Project scope not available and/or
alternatives removed or not included
in a District Director approved PSR,
PSSR, PR, Supplemental PR and/or
Environmental Document. Project
scope not available in PMCS, XPM, or
programming or other financial
planning document. May require
Agreement. May need to be added to
PMCS, XPM, and/or program change.

Cooperative Agreements
(Not applicable if there is no Co-op)
Cooperative Agreement executed in
accordance to the District Director
approved PSR, PSSR, PR, and/or
Supplemental PR. Cooperative
Agreement consistent with approved
Program Document or other financial
planning document.
Cooperative Agreement may be
needed for exchange of services of
funding on a project. May require and
amended Cooperative Agreement,
updated workplan, PSR, PR,
Supplemental PR, and/or program.
Cooperative Agreement not available.
May require cooperative agreement,
workplan, PSR, PR, Supplemental
PR, and/or program change.
Program Scope

Project Scope of Work approved by
District Director in a PSR, PSSR, PR
and used to program project in a
program document according to the
scope, cost, and schedule. Project
Scope of Work and Description
consistent with approved Program
Document, FTIP, Regional
Transportation Plan, etc.
Project Scope of Work may need to be
updated according to the District
Director approved PSR, PSSR, PR,
and Environmental Document and
may require a supplemental
document, environmental revalidation,
and program document change.
Project Scope of Work not covered by
District Director approved PSR, PR,
and/or Environmental Document.
Project Scope of Work not covered in
approved programming document,
FTIP, Regional Transportation Plan,
etc.

Page | 22

Structure Design Design Standards Compliance (1 of 2)
Aspect
5 4 3 2 1
Attention
Reports/Approvals/
Recommendations
Retrofit Evaluation Report
(widening)
Foundation Reports
Hydraulic Reports
Signatures
Reports address all aspects of the
projects and those aspects are
addressed within the project plans. All
required signatures are shown and
reports are complete.
Reports address all aspects of the
projects and are reflected on the
project plans. All required signatures
are shown and reports are complete.
Reports suggestions are not reflected
on contract plans concisely. All
signatures and documents and report
of interests appear to exist with no
apparent problems or insufficiencies.
Reports are insufficient. Required
signatures are shown.
Important/Critical Documents or
Reports are either missing or
insufficient. Required signatures
missing
Documents/Specifications/
Standards
AASHTO LRFD and CA Amendments
CA Seismic Design Criteria
Bridge Memo To Designers
All design standards documents are
used, current and optimized. All
standards are balanced and latest
design guidelines are incorporated.
All design standards documents used
are current. All standards are
balanced and latest design guidelines
are incorporated.
Most of design standards documents
used are current and latest design
guidelines are incorporated.
The correct Standards/Specifications
are not used for the Design. Incorrect
references to Standards/details are
made thru the project plans.
The correct Specifications are not
used for the Design and there is no
apparent reason or explanation for the
use of Non-Standard Specifications.
Caltrans/ Structures policies or
methods are clearly not followed.
Structural System
Structure Type
Foundation Type
Structural element capacity (Shear,
Moment, etc.)
Skew
Prestressing/Post-tensioning
Camber
Hinges
Profile Grade, Super Elevations,
Contours
Retrofit
Widening
Seismic Specific Considerations(
Relative Column size, seat widths,
ductile members)
Structural System chosen appears to
be novel and better than might
ordinarily be chosen for such a
project. Structure type and detailing
shown appears to demonstrate
excellent engineering judgment.
Structural System chosen is the best
choice for such a project.
No apparent structural inadequacies
or bad choices made. Everything
appears to be in order and complete.
Structure Type is questionable and
details are not complete.
Structure Type chosen is
inappropriate for its intended use and
doesnt appear to meet the
expectation of the Type Selection
process. Structural members do not
appear to be adequate for their
intended purposes. Details dont meet
the SDC criteria and Guidelines.

Page | 23

Structure Design Design Standards Compliance (2 of 2)
Aspect
5 4 3 2 1
Attention
Detailing Standards
Sheet Layout and order
Reinforcement Details
Dimension Style & Consistency
Seismic Specific Elements (Ultimate
and Service splice, Plastic Hinge
location)
Existing structures (Widening, etc.)
Pay Limits Identified
Staging Sequences
Plans are as simple as possible to
read, follow and understand. They
meet or exceed Structural Standards.
Details are laid out in a systematic
and logical way. Clarity of complex
details is exceptional and no
typographical errors found.
Plans meet Structural Standards and
are clear, concise and easy to follow.
No typographical errors found.
All details are adequately shown and
look clear and sufficient. Layout of
details is acceptable even if not as
clean as possible. Typographical
errors are at a minimum.
Details are not clear and sufficient to
show the work items. There are
typographical errors but can be fixed.
Critical details are missing or just plain
wrong or ambiguous. Typographical
errors are numerous.
Layout of details might be correct,
however they are very confusing.
Likely due to a lack of time spent by
designers on assessing the overall
plan quality.
Clearances
Horizontal
Vertical
Falsework Openings
Railroad and Railroad Right of Way
Any/All clearances of importance are
shown and appear to be correct.
Falsework notes are complete.
Complies with Railroad requirements.
All required clearances are called out
correctly. Falsework notes are
complete. Plans Comply with Railroad
requirements.
All critical/required clearances are
called out and appear to be correct.
Plans Comply with Railroad
requirements.
All critical/required clearances are
called out but needs to be adjusted.
Falsework notes are not complete.
Railroad guidelines are not fully
followed.
Clearances appear to be incorrect or
insufficient and/or Critical clearances
are not shown. Railroad guidelines are
not followed.

Page | 24

Structure Design Optimization
Aspect
5 4 3 2 1
Attention
Consistency w/Specs
Contract plans are consistent with
Special Provisions. All work items are
clearly described in Special Provisions
and Method of payment is clear and
unit(s) matches contract Plans.
Contract plans are consistent with
Special Provisions. All work items are
clearly described in Special Provisions
and units match with contract Plans.
There is minor inconsistency between
Plans and Special Provisions but are
fixable. All structure work items are
described in Special Provisions and
units match with contract Plans.
There is minor inconsistency between
Plans and Special Provisions but are
fixable.
Plans are inconsistent with Special
Provisions. Pay items do not match
with method of payment described in
Special Provisions.
Order of work
Work items
Consistency w/Road Plans
Alignments and layout lines
Profile Grade and Super elevation
Roadway widths
BB/EB Location
Stage Construction
Surcharge
End of wingwall/Retaining walls
Utilities
Drainage
Lighting
Signs
Clarity of details between Structure
Plans and Roadway plans are
exceptional and all data appears to be
correct. No questions are anticipated,
i.e.Contractor can be expected to
perform adequately with very little
guidance from State personnel, all
due to this Quality set of this product.
All items covered in Structure Plans
are consistent with Roadway Plans.
Items covered in Structure Plans are
consistent with Roadway Plans. Minor
modifications can be addressed by
design staff.
Structure plans and Roadway plans
are inconsistent. May be resolved by
field personal at low to moderate cost.
Structure Plans and Roadway plans
are inconsistent. Structure profile and
X slopes do not match with roadway
grades or adjacent infrastructures
requiring redesign and major change.
Risk Identified
Existing Footing
Existing Utility
Hazardous materials
Utilities (new/existing) are shown on
both structure plans and roadway
plans. No apparent utility conflicts
shown on plans without mitigation.
Contaminated materials are mitigated
appropriately.
Utilities (new/existing) are shown on
both structure plans and roadway
plans. Contaminated materials are
mitigated appropriately. Conflicts
appear minor enough to be addressed
by field personal.
There is a conflict between utilities
and structures but can be resolved
before construction starts.
Contaminated material are not
discussed in the report nor shown on
the plans.
Not all the utilities are shown on
Foundation plans. Potholes are not
initiated. Issues need to be resolved in
construction.

Page | 25

Right of Way Right of Way Minimization & Compliance
Aspect
5 4 3 2 1
Attention
R/W Defined Scope
(sufficient lead time, scope
reflected in the data sheet)
All R/W impacts are clearly identified
for all R/W functions (utilities,
railroads, environmental impacts, etc,)
Perfectly designed scope and
schedule with no
changes/revisions/additions, etc.
Risks constraints and assumptions
are well considered.
Scope well detailed with all R/W
involvement clearly defined. All
products completed in accordance
with existing requirements. Risks
constraints and assumptions are
considered.
Scope defined well enough to
establish known impacts to R/W with
+a 5%. Enough information to
complete R/W Data Sheet. Risks
constraints and assumptions are
considered.
Some information on Scope. But will
likely have significant changes. Still
not enough information to complete
R/W Data Sheet or assess R/W
impacts. Risks and constraints are
minimally considered.
Scope undefined Perhaps nothing
more than one sentence description.
No mapping has been completed.
Not enough information to complete
R/W Data Sheet or assess R/W
impacts. Risks and constraints are not
considered.
Layout Sheets/Plan
Sheets/Mapping (applicable in
PS&E)
Layout sheets/Plan Sheets/Maps (all
types) exceed all requirements and
have numerous gold-plating attributes.
Never any changes.
Layout sheets/Plan sheets/Maps (all
types) meet all requirements and have
some gold-plating (aerials, 3-
dimensional). Minor changes only.
Layout sheets/Plan sheets/Maps (all
types) adequate enough to complete
R/W Data Sheet, send utility conflict
maps to owners, send maps to
Railroad, begin appraising. Very
minimal changes.
Layout sheets/Plan sheets/Maps exist
(all types) but insufficient to complete
R/W Data Sheet. Maps lack one or
more mandatory requirements
Insufficient Layout sheets/Plan
sheets/Maps or napkin mapping.
Mitigation
All mitigation requirements and
impacts have been identified including
cost estimates. Requirements can be
completed early. Never any changes.
cost estimates. No issues with
completing requirements timely.
cost estimates. Minimal revisions may
occur.
MCCE Form is not complete resulting
in cost estimates not being completed
or accurate. Mitigation impacts not
know which could result in R/W
certification delay.
No information of environmental
requirements (purchasing fee vs. land
bank).
Utilities
Existing utilities have been 100%
verified and identified. Mapping
includes drainage plans, landscaping
plans, construction staging, detours,
and additional mapping such as
aerials etc. No changes will occur.
Utility conflict maps reflect accurate
information from field reviews, permit
searches, as-built searches, potholing
information and verifications from
owners. Also existing and proposed
right of way lines are shown. Drainage
maps are included.
Utility conflict maps reflect accurate
information from field reviews, permit
searches, as-built searches, potholing
information and verifications from
owners. Also existing and proposed
right of way lines are shown.
Utility conflict maps minimally reflect
field review but does not include,
permit search, as-built search or
verifications from owners. Potholing
to verify or positively identify
underground utilities has not been
completed.
Maps not adequate or complete to
send out verification maps or conflict
maps to owners.
Railroads
Railroad impacts known, discussed in
detail, package for railroad complete
for submittal. No changes to plans
that would affect railroads.
Railroad impacts known, discussed in
detail and package for railroad
completed for submittal.
Railroad discussion detailed and
impacts known and discussed in
detail, including easement, fee, C&M
Agreement, etc.
Railroad discussion brief with no
details of impact.
No mention of railroad involvement in
narrative or on mapping.

Page | 26

Environmental Purpose and Need
Aspect
5 4 3 2 1
Attention
Need of Project is Supported
by discussion and
accompanying
documentation
Need of project is well supported by
documentation. Connection between
supporting documentation and need is
clear. Standards are exceeded by the
project. Any requirements of
legislative mandates are exceeded.
Project is justified. Examples:
Concept LOS is met, delay times are
substantially reduced or eliminated,
transportation demand objective is
completely met, safety concerns are
completely achieved, roadway
deficiencies are completely
addressed, Proposed improvements
exceed social demands and
economical development as identified
in the purpose and need.
supporting documentation and need is
clear. Standards are met and some
are exceeded by the project. Any
requirements of legislative mandates
are met and some are exceeded.
Project is justified.
supporting documentation and need
could be clearer. Standards are met
by the project. Any requirements of
legislative mandates are met. Project
is justified.
Need of project is supported by
documentation. Project justification
could be improved. Connection
between supporting documentation
and need could be clearer. Minimum
standards are met by the project. Any
requirements of legislative mandates
are met.
Any of the following apply: Need of
project is not supported by
documentation. Project justification
needs improvement. Connection
between supporting documentation
and need is unclear. Minimum
standards are not met by the project.
Any requirements of legislative
mandates are not met.
Independent Utility
Project is stand alone. Project solves
problem completely without
dependency on any other Project.
Project is stand alone. Project is stand alone. Questions
raised by public or other entities but all
questions regarding utility have been
adequately addressed.
Unclear if Project has independent
utility.
Environmental Document at risk due
to dependencies of other Projects.
Logical Termini
The limits of work are clearly labeled
and identified. Limits of work are
completely logical and rational. Limits
of work provide maximum utility.
Logical termini are consistent with
environmental study.
Project has logical termini. Project has logical termini. Questions
raised by public or other entities but all
questions regarding logical termini
have been adequately addressed.
Unclear if Project has logical termini. Logical termini have not been
identified, are not logical, or rational.
Logical termini are not at all consistent
with environmental study.
Purpose and Need Statement
Completely consistent with Caltrans
policy and DD-83. Project is consistent
with purpose. Purpose & Need
statement has been clearly presented.
No questions remain.
Purpose & Need statement is clear.
Project is consistent with purpose.
Purpose & Need statement is
adequate but needs some clarification.
Project appears to be consistent with
purpose statement.
Purpose & Need document requires
some clarification and the Project may
not meet the purpose
Purpose & Need statement is not
consistent with other documents and
Project does not meet the purpose.

Page | 27

Environmental Environmental Commitments, Minimization, & Compliance
Aspect
5 4 3 2 1
Attention
Environmental Impacts: Level
of Impact (Based on Review
both Design Product and
Environmental Document)
Expected environmental impacts are
analyzed. All significant impacts have
been avoided by the Project. No
compensatory mitigation is required.
analyzed. All significant impacts are
mitigated to less than significant levels.
Feasible avoidance measures are
included in the Project. Strong
justification is provided for the exclusion
of unfeasible avoidance measures.
analyzed. All significant impacts are
either mitigated to less than significant
levels or a Statement of Overriding
Considerations has been prepared.
Feasible avoidance measures are
included in the project. Justification is
provided for the exclusion of avoidance
measures.
Environmental impacts are analyzed
but analysis is not clear and/or
thorough. All significant impacts are
either mitigated to less than significant
levels or a Statement of Overriding
Considerations has been prepared.
Justification for the exclusion of
pertinent avoidance measures is not
well defined.
Expected environmental impacts are not
covered by analysis. Mitigation
measures would not clearly reduce
impacts. Feasible avoidance measures
are not incorporated into the Project
scope.
Environmental Impacts:
Displayed in Design
Document
Substantial environmental impacts and
related avoidance, minimization and
mitigation measures are summarized.
Environmental related permits, opinions,
and agreements needed prior to Project
construction are also summarized.
Summary is prominent, clear and
succinct to ensure that decision makers
are aware of environmental
consequences of the action. Funds are
identified for mitigation, fees, permits
and long-term maintenance costs.
related avoidance, minimization and
mitigation measures are summarized.
Summary is fairly prominent, clear and
succinct to ensure that decision makers
are aware of environmental
consequences of the action. Funds are
identified for mitigation, fees, permits
and long-term maintenance costs.
mitigation are summarized.
Discussion of impacts, mitigation and
permits are available but would benefit
from greater prominence, clarity and/or
brevity. Funds are identified for
mitigation, fees, permits and long-term
maintenance costs.
Environmental document is incorporated
by reference. Summary of
environmental impacts and mitigation
are not included in design document.
Required permits are listed or specific
reference to environmental document
Section that discusses permits is
included.
No reference to environmental
document. Missing environmental
document. Discussion of impacts,
mitigation, and permits is missing. Long
term commitments unaddressed.
Scope Consistency
Verbatim consistency between Design
Product and Environmental Product
scope. Although not verbatim, the
RTP/RTIP scope is consistent with
Design/Environmental Products.
Minor rewording but otherwise Design
scopes are consistent. Although not
verbatim, the RTP/RTIP scope is
consistent with Design/Environmental
Products.
Extensive rewording between
environmental and design product but
major elements of the scope are
consistent. Although not verbatim, the
Beyond format and presentation, actual
elements of Environmental and Design
Products have minor inconsistencies in
terms of scope. Minor corrections are
needed to achieve agreement in the two
documents. Although not verbatim, the
Products have major inconsistencies in
terms of scope. Major corrections are
needed to achieve agreement in the two
documents. RTP/RTIP scope is
inconsistent with Design/Environmental
Products.
Air Quality Conformity
Air quality conformity is applicable to the
project area. The documentation
provided includes a notation that the
project area is subject to air quality
conformity requirements and as
applicable provides documentation that
this requirement has been met. The
scope and schedule for the Project in
the design, environmental, and planning
(e.g. RTP) documents agree.
Air quality conformity does not apply to
the project. The design and
environmental products adequately
document that conformity does not
apply.
project area but the project is too early
in the process to have completed its
documentation for conformity
requirements.
(e.g. RTP) documents do not agree.
The PDT is aware of this and is
currently seeking amendment to the
RTP.
(e.g. RTP) documents do not agree.
The PDT has not sought an amendment
to the RTP or revisions to the project to
bring it in conformance with the RTP.
Purpose & Need Consistency
Verbatim consistency between Design
purpose and need.
Minor rewording but otherwise Design
purpose and need are consistent.
Extensive rewording between
environmental and design product but
major elements of the purpose and
need are consistent.
Products have minor inconsistencies in
terms of purpose and need. Minor
corrections are needed to achieve
agreement in the two documents.
Products have major inconsistencies in
terms of purpose and need. Major
corrections are needed to achieve
agreement in the two documents.

Page | 28

Office Engineer Construction Contract Standards Compliance (Page 1 of 3)
Aspect
5 4 3 2 1
Attention
Plans Standards Compliant
Every standard has been met. Extra
effort was made to present and
provide information clearly.
Standards have been met with minor
deviations but they are not detrimental
to processing the product.
Standards met overall; changes
required but not detrimental to
processing the product.
Standards not entirely met; there are
some changes required that would
require additional effort.
Plans are not descriptive of the work
required due to a lack of conformance
to the standards, which would cause
major delays and may be detrimental
to the project.
Specifications Standard
Compliant
All NSSPs have been identified 90% of NSSPs have been identified 75% of NSSPs have been identified 55% of NSSPs have been identified NSSPs have not been identified
No editing beyond SSP Instructions 90% of NSSPs have District
Construction Concurrence.
75% of NSSPs have District
55% of NSSPs have District
NSSPs missing District Construction
concurrence
All exception documentation provided: 90% of SSPs do not have editing
beyond SSP Instructions and no edits
beyond instructions to technical or
payment clauses.
75% of SSPs do not have editing
payment clauses.
55% of SSPs do not have editing
payment clauses.
SSPs edited beyond instructions and
revised technical and/or payment
clauses
PIF's 90% of exception documentation
provided:
75% of exception documentation
provided:
60% of exception documentation
provided:
More than 40% of exception
documentation missing
Supplemental Work Exceptions PIF's PIF's PIF's Less than 75% of the SSPs contain
approved styles
Etc. Supplemental Work Exceptions Supplemental Work Exceptions Supplemental Work Exceptions Edits not indentified by user initials
Only approved styles in SSP package Etc. Etc. Etc. Additions not indicated by blue
underline
No track changes in SSP package. Only approved styles in SSP package 90% of SSPs contain approved styles
in SSP package.
75% of SSPs contain approved styles
in SSP package
Deletions not indicated by red Strike
through
Special Section 4's submitted as
separate files.
No track changes in SSP package. No track changes in SSP package. All edits identified by user's initials. SSPs sections 8-10 not numbered
sequentially
No table of contents in SSP package. Special Section 4's submitted as
separate files.
Special Section 4's submitted as
separate files.
Additions in blue underline Less than 80% of SSPs included per
SSP Index
No information in Header and Footers
of SSP Package
No Table of contents in SSP package. No Table of contents in SSP package. Deletions in red strike-through
All edits identified by user's initials. No information in Header and Footers
of SSP Package
No information in Header and Footers
of SSP Package
SSPs Sections 8-10 numbered
sequentially

Additions in blue underline All edits identified by user's initials. All edits identified by user's initials. 80% of SSPs included per SSP Index
Deletions in red strike-through Additions in blue underline Additions in blue underline
All SSPs included per SSP Index Deletions in red strike-through Deletions in red strike-through
sequentially
sequentially
sequentially

Section 5 SSPs not numbered 90% of SSPs included & Updated per
SSP Index
90% of SSPs included per SSP Index

Page | 29

Aspect
5 4 3 2 1
Attention
Contract Consistency
All contract items quantities, item
descriptions and unit of measure are
consistent throughout the plans,
specifications and estimate (PSE)
Majority of contract quantities, Item
consistent throughout the PSE.
Majority of contract quantities, Item
consistent throughout the PSE with
minor deviations and/or omissions.
Major as well as minor PSE contract
items quantities, item descriptions and
unit of measure are inconsistent
and/or omitted to the extent that
additional minimal work is required to
address.
Omissions, errors exist with the
majority of the PSE contract
quantities, Item descriptions and
major effort is required to address
RTL Guide All bid item quantities can be
calculated by bidders from plan details
and specifications.
The majority of bid item quantities can
be calculated by bidders from plan
details and specifications.
The majority of bid item quantities can
be calculated by bidders from plan
details and specifications with minor
deviations and/or omissions.
The majority of bid item quantities
cannot be calculated by bidders from
plan details and specifications,
deviations and/or omissions are to
such an extent that additional minimal
work is required to address.
The majority of bid item quantities
cannot be calculated by bidders from
plan details and specifications.
Deviations and/or omissions are to
such an extent that the contract is
incomplete and major effort is
required to address
Public Contract Code 10120 All plan work is called out and callout
matches item descriptions in BEES.
The majority of plan work is called out
and callout matches item descriptions
in BEES.
The majority of plan work is called out
and callout matches item descriptions
in BEES with minor deviations and/or
omissions.
The majority of plan work is not called
out and callout does not match item
description in BEES and/or omissions
are to such an extent that additional
minimal work is required to address.
The majority of plan work is not called
out and callout does not match item
description in BEES and/or omissions
are to such an extent that the contract
is incomplete and major effort is
required to address
Work Quantity totals on the Summary
of Quantity sheets match the BEES
quantities unless rounded in
accordance with Section 7 of the RTL
Guide or are a (F) pay item.
Work Quantity totals on the Summary
of Quantity sheets match the BEES
quantities unless rounded in
accordance with Section 7 of the RTL
Guide or are a (F) pay item.
The majority work quantity totals on
the Summary of Quantity sheets
match the BEES quantities unless
rounded in accordance with Section 7
of the RTL Guide or are a (F) pay
item.
the Summary of Quantity sheets do
not match the BEES quantities and
are not rounded in accordance with
Section 7 of the RTL Guide or are a
(F) pay item. Additional minimal work
is required to address.
the Summary of Quantity sheets do
not match the BEES quantities, to the
extent that the contract is incomplete
and major effort is required to
address.
There is a measurement and payment
clause for each BEES Item in the
special provisions or Standard
Specifications
There are measurement and payment
clauses for the majority of BEES
Items in the special provisions or
Standard Specifications.
Major BEES contract items have
measurement and payment clauses in
the special provisions or Standard
Specifications with minor deviations
and/or omissions.
The majority of BEES contract items
do not have measurement and
payment clauses in the special
provisions or Standard Specification
to such an extent that additional
minimal work is required to address.
The majority of BEES contract items
do not have measurement and
payment clauses in the special
provisions or Standard Specification
to the extent that the contract is
incomplete and major effort is
required to address

Details do not conflict with details
shown on other project plan sheets.
The majority of details do not conflict
with details shown on other project
plan sheets.
The majority of details do not conflict
with details shown on other project
plan sheets however, minor deviations
and/or omissions exist.
The majority of details conflict with
other details had shown on other
project plan sheets to the extent that
address.
The majority of details conflict with
details shown on other project plan
sheets to the extent that the contract
is incomplete and major effort is
required to address.
Special Provisions do not have
conflicting specifications within them.
The majority of the contract special
provisions do not have conflicting
specifications within them.
provisions do not have conflicting
specifications however, minor
deviations and/or omissions exist
provisions have conflicting
specifications. Deviations and/or
omissions exist to the extent that
address.
provisions have conflicting
specifications and deviations and/or
omissions exist to the extent that the
contract is incomplete and major effort
is required to address.

Page | 30

Aspect
5 4 3 2 1
Attention
Estimate Standards
Compliant
BEES quantities rounded per RTL
Guide
95% of BEES quantities rounded per
RTL Guide
RTL Guide
RTL Guide
Incorrect rounding of BEES quantities
or are a final (F) pay item
No Hundredth place significant digits
in BEES quantities
in BEES quantities
in BEES quantities
in BEES quantities
Hundredth place significant digits in
BEES quantities
Units of measure agree with
Measurement and Payment clauses in
the Specifications
95% of Units of measure agree with
the Specifications
the Specifications
the Specifications
Units of measure do not agree with
the Specifications
Non-Standard Item Codes formatted
correctly
90% of Non-Standard Item Codes
formatted correctly
formatted correctly
formatted correctly
Non-Standard Item Codes formatted
incorrectly
No one-time Item Codes recycled
from past projects.
from past projects.
from past projects.
from past projects.
One-time Item Codes recycled from
past projects.
Supplemental Work items from
approved list
90% Supplemental Work items from
approved list or have specific
approvals
approvals
approvals
Nonstandard Supplemental Work
items used without approval
State Furnished items agree with
those shown in SSP S8-M10
State Furnished items do not agree
with those shown in SSP S8-M10
Supplemental Work and State
Furnished Material Item Codes begin
with 066
with 066
with 066
with 066
Furnished Material Item Codes do not
begin with 066
PLACs (Permits, Licenses,
Agreements, and Certificates)
compliance
All permit requirements incorporated
in Specifications
All available permit requirements
incorporated in Specifications
Permit requirements not incorporated
in Specifications
All Permits included at SSP submittal
to DES-OE
90% of Permits included at SSP
submittal to DES-OE
submittal to DES-OE
submittal to DES-OE
Less than 70% of Permits included at
SSP submittal to DES-OE
All Permits listed in SSP S5-280 All Permits listed in SSP S5-280 All Permits listed in SSP S5-280 All Permits listed in SSP S5-280 Not all Permits listed in SSP S5-280
Supplemental Project Information
includes all permits
includes all available permits and
status of pending permits
includes 80% of all available permits
and status of pending permits
includes 70% of all available permits
and status of pending permits
includes less than 70% of all permits
System Process
Requirements
Pre-Publication Review completed
within 8 hours.
within 12 hours.
within 24 hours.
within 48 hours.
Either no attempt to meet or requires
significant effort to meet DES OE
requirements for processing
No reprographic issues with project
Plans
Plans
Plans
Plans

Job File submitted within 48 hours of
project submittal
project submittal
project submittal
project submittal

Project submitted with Funding
documentation
documentation
documentation
documentation

Job File submitted with card-stock
covers, section dividers and two-hole
punched
Job File submitted with covers,
section dividers and two-hole
punched
Job File submitted with covers,
section dividers and two-hole
punched
Job File submitted with section
dividers and two-hole punched

Correct District Color cover submitted Correct District Color cover submitted

Page | 31

Construction Protective Features (Page 1 of 2)
Aspect
5 4 3 2 1
Attention
Construction Access
Construction Access clearly
addressed. From contractors
perspective, it has all elements to plan
access to the work area. It provides
safe environment for the public
including pedestrian and bike traffic,
contractor personnel and equipment
near the construction access area.
Defined safe entry and exit to the
work area including access for heavy
equipment; Provide clear access for
equipment. Good access through the
construction site for pedestrian, bike
and vehicular traffic
Some potential conflicts with minimal
impacts to Access or Staging.
Acceptable access for pedestrian and
bike traffic through the construction
site.
Undefined entry and exit to the work
area including access routes.
Potential conflicts with impacts to
Access or Staging. Issues with
pedestrian and bike traffic through the
construction areas.
Construction Access not addressed.
Access for vehicular, bike and
pedestrian traffic not addressed.
TMP(Traffic Management
Plan) Elements
TMP clearly addresses all traffic
issues by fully utilizing various
methods for communication to
traveling public. Provides safe and
maximum window for construction.
Reduces public exposure to
construction operations.
TMP addressed the issues by utilizing
various methods for communication to
traveling public. Sufficient construction
window provided. Reduces public to
construction operations exposure.
TMP addressed most of the issues
but questions still remain. Reduces
most construction operations
exposure.
TMP does not address all the issues
creating potential operations exposure
and traffic delays.
TMP not addressed.
Traffic Handling Plan
Traffic handling matches with stage
construction. Language to coordinate
with various local sport/public events
in addressed in the specs (Order of
work). Maximize traffic flow with good
traffic signal timing and coordination.
Traffic handling plan and stage plan
address the traffic issues in sufficient
detail. Good detail plan to address
traffic flow through the construction
areas.
Traffic control and handling criteria
reasonable. It has most major aspect
for traffic handling with minor flow or
adjustment. Example, (should have 2
left turn lanes instead of 1)
Traffic handling and control
addressed marginally. inadequate
information on plan sheets and SSP.
Traffic handling not addressed. Major
flaws and missing important elements.
Staging
Clear and concise staging plans with
no flaws and specifications for logical
job flow with standard construction
method and relatively low risk.
Facilitates efficient construction
activities and movement of traffic
through the construction site
Adequate staging plans with no flaws
and specifications for logical traffic
flow with standard construction
method and medium risk level.
Balanced staging to address both
traffic handling and materials flow.
Marginally designed staging plans
and specifications. Acceptable match
with traffic handling details. Requires
some effort in the field to implement
successfully. Contractor can make
things work with some effort. Project
is buildable but may have potential for
few problems.
Not well designed staging plans and
brief specifications resulting in an
unconventional working environment
for the contractor. No definite
direction for contractor to plan his
activities efficiently. Project is
buildable but has several potential
problems.
Staging plans and specifications not
provided. Conflicting and missing
information. Unbuildable and
unbalance earth work in each stage.
Missing details result in traffic
congestion. Unconventional
construction method and sequences.
Ability to Meet OSHA
Requirements
All relevant requirements and
concerns are included in the SSP. No
missing safety detail spec such as
lead compliance plan, ADL training.
Just in time training for example how
to work around project that required
Blasting or working near a rail road.
All relevant requirements and
concerns are included in the SSP. No
missing safety detail spec such as
lead compliance plan, ADL training.
Just in time training for example how
to work around project that required
Blasting or working near a rail road.
All major requirements are met. Only
minor detail missing.
Marginally meet all the requirements
and concerns. Some details are not
addressed adequately. Potential for
some risks during construction.
Contract specifications do not address
all the anticipated issues. Example
missing lead plan, and pay item for
removal and disposed of old yellow
stripe and thermal plastic traffic stripe.

Page | 32

Protective Features Construction (Page 2 of 2)
Aspect
5 4 3 2 1
Attention
High Risk Facilities/Utilities
High risk facilities/utilities do not pose a
conflict for a contractor's operations or
they are relocated outside the work
area.
All physical and policy conflicts
investigated in detail, resolved, and
shown on plans and SSPs.
All potential physical and policy conflicts
addressed adequately in the plans and
SSPs.
All physical and policy conflicts
addressed marginally in the project
plans and SSPs.
Conflicting utilities have not been
identified.
Trenching and Shoring
Trenching and shoring issues are
addressed without any conflicts or
ambiguity in the project plans and
specifications.
Trenching and shoring issues are
addressed adequately without any
conflicts in the project plans and
specifications.
Acceptable Information available in the
specifications and plans to handle
trenching and shoring issues. May need
additional effort during construction.
Trenching and Shoring addressed
without any details in staging plans and
may cause conflicts. However, special
provisions available to mitigate conflicts.
Trenching and Shoring issues not
addressed.
Falsework
Falsework conflicts are addressed in
TMP and stage construction plan.
Provide adequate details on the plans to
accommodate both vertical and
horizontal clearances for falsework
construction and access.
Plans including Structure, Staging and
TMP address both vertical and
horizontal clearances. Detailed
information for the contractor to build
Falsework without any conflicts and
access through the construction site.
Adequate vertical and horizontal
clearances provided and addressed in
the TMP and staging plans.
Vertical and horizontal clearance issue
addressed marginally on the plan
sheets. Needs review of structure plans
to figure the details. No details provided
on TMP and staging plans.
Falsework conflicts not addressed
clearly on the project plans and in the
special provisions
Detour Safety
Detour well designed with shortest route
with fewer left turns. Good coordination
with cities. Pedestrian and Cyclist
access and detours clearly addressed.
Good supplemental funds provided in
the contract to provide local police
assistance to control the traffic
intersections.
Good Construction Area Signs and
Traffic Handling Plans provided to
accommodate travelling public including
pedestrians and cyclists through the
construction area.
Acceptable Detour plans. Local
agencies concurrence obtained in
diverting traffic through local streets.
Marginal traffic handling plans. Local
Agencies not involved with the design.
May cause coordination issues during
construction.
Insufficient traffic signage. Extensive
detour through residential area.
Inadequate bridge loading capacity to
support Truck traffic
Minimize Night Work
Great staging plans. Optimized working
conditions to schedule work efficiently.
Provide easement to work behind k-rail.
Night work avoided without impact to
scope, schedule and cost.
Night work minimized with good
engineering measures. Staging plans
well designed to accommodate most of
the work to be performed during day
light and weekends.
Reasonable night work. Minor
adjustment to schedule and staging to
move the work window and operation to
another time. Minor adjustments in the
field to optimize productivity.
Work windows and work schedule not
well thought out. Staging plans do not
address the issue of minimizing night
work.
Not well planned to address night work
requirements. No weather or staging
work taken into consideration.
Construction Methods
Designed to construct with local
materials and equipment efficiently.
Optimized to build utilizing local
standard construction engineering
practices and methods.
The project designed well to be built
efficiently using locally available
materials and standard engineering
practices.
Project construction designed to be built
using local materials and equipment
and standard equipment adequately.
Marginal attention paid to using locally
available materials and the design may
require specialized equipment and
methods to complete the project.
Untested and risky construction
methods. Local materials and methods
not specified or underutilized. Very
inefficient.
Page | 33

Construction Construction Contract Standard Compliance (Page 1 of 2)
Aspect
5 4 3 2 1
Attention
Right of Way Access
Before the project is advertised, the
R/W and temporary easements issues
are completely resolved. The utility
relocation plans are complete;
agreements are in place to complete
utility relocation prior to start of
construction. There is minimum traffic
impact to the local residents and
businesses. TMP and traffic control
plans in place with concurrence with
the local cities input.
R/W and temporary construction
easements are acquired before the
project is advertised for construction.
Utilities plans complete and relocation
well planned to be completed either
before or during the construction.
Minimum impacts to local residents
and businesses. Adequate traffic
management and controls in place.
R/W access and temporary
easements to the job site available
with some impacts to local residents
and businesses. Need some
modification during construction.
Temporary easements are tight or
limited to the job site and may impact
the local access. Traffic control and
monitoring is not efficient and may
impact travelling public.
Need for additional R/W access to
work site. Unspecified easement;
Conflicting between staging and R/W
condition. Condition of contract does
not match with RW condition.
Permits Available in Contract
All the Permits including Railroad
permits are identified and approved by
the authorities. Special Provision
includes the list of permits,
responsible parties, how they are
going to be implemented and any
restrictions and management of
potential risks.
The permits are defined. All of the
permits are approved by the authority.
The Special Provisions do include the
list of the permits but there is limited
information related to the
implementation etc.
All the required approved permits are
included. However, the Special
Provisions provides limited information
on the details including responsibility
and implementation.
Permits are available, however,
limited information provided in the
Special Provisions regarding
implementation and restrictions of the
permits.
Required permit documents are not
provided and the required permit
information is missing in the Special
Provisions.
Non-conflicting Permit
Windows
Special Provisions and the Permit
Documents provide details of various
permit restrictions. Tables, charts are
included to show permit
implementation details.
Permit documents and Special
Provisions provide adequate
information regarding non-conflicting
permit windows.
Non-conflicting permit window details
not clearly shown in the Special
Provisions. There is potential for
conflicts due to restrictions from
various permit requirements.
Permit restrictions and the non
conflicting windows not shown
adequately in the special provisions.
There is risk potential that may cause
conflict between the permit windows.
work schedule and the CPM
Permit information not available.
Subsurface Information
Complete
Subsurface information complete.
Both materials and geotechnical
reports available. All underground
facilities are shown on plans and
profiles. Boring logs provided in the
plans.
The subsurface and utility plans are
included with profile. Information in
Geotechnical report and materials
report are adequate.
Limited subsurface information
available in geotechnical and
materials reports. The reports are not
very detailed and provide information
for general area.
There is limited information included in
the Geotechnical and the materials
reports. Most of the Subsurface
facilities are shown on the plans
without details of location. Potential for
problems during construction.
No subsurface information available.
Potential for conflicts for underground
utilities may require additional
subsurface investigation. Potential for
work window restrictions and impacts
to schedule.
Adequate Work Windows
Adequate work windows are provided
in the special provisions to the
Contractor to work on the project
efficiently and minimize any delays to
the public. Good cooperation with
local cities for managing traffic
through the construction area.
Contingency plans in place to
minimize the impacts to the local
residents and businesses.
Adequate work windows provided to
work efficiently with minimum delays.
The work windows, freeway closures,
and coordination with the agencies
are addressed.
Acceptable work windows provided in
the special provisions. There is
minimum potential for any delays or
conflicts. May not have enough time to
clean up after shift work.
Work windows may not be adequate
and cause potential issues related to
work efficiency, freeway openings and
conflicts with the local agencies.
Work window not adequate for
proposed work. Potential for delays,
late openings and accidents.
Unreasonable work expectation.
Available Materials Sources
Materials report identifies locally
available materials. The project is
designed to construct the project
using standard engineering practices
and locally available materials.
Locally available materials specified
and standard equipment adequate to
construction the project efficiently.
Standard materials required and
generally available to industry;
however, potential problem or delay
as a result of the materials sources.
Designer did not consider the
availability of materials locally and the
equipment available in the area to
construct the project.
Materials report not available. Project
may require using no standard
equipment, methods and import
materials. There is great potential for
delays and claims.
Page | 34

Construction Construction Contract Standard Compliance (Page 2 of 2)
Aspect
5 4 3 2 1
Attention
Complete Materials
Information Package
The specifications for the materials to
be used in the project are well defined
in the special provisions and standard
specifications and project plans if
applicable.
The specifications for the materials
are referred to the standard
specifications whereas there is limited
info for the non-standard materials in
the special provisions.
Information for the non-standard and
standard materials provided in the
specifications is acceptable.
More information is needed to cover
the specifications for the materials to
be used in the project.
Materials information is not complete
for proper execution of the project.
Staging Plans Complete
No conflict between the stages of
construction and the staging meets all
the milestones. Facilitates safe and
efficient construction. Traffic handling,
permit restrictions and schedule are
met without any issues. Every stage
meets the traffic handling, permit
restrictions and the schedule
requirements.
Staging design complete. No conflicts
anticipated. Staging design will
facilitate safe and efficient
construction.
Staging design complete with minor
issue overlooked. Has potential for
minor conflicts and issues that can be
addressed during construction.
Although the staging design is
complete. There is risk in the staging
meeting the minimum requirements
for milestones, conflict with the
permits and project schedule.
Construction staging not considered in
detail. May result in staging conflict
regards to permit windows, milestones
and project schedule.
Working Days Accurate
Accurate working days provided for
completion of the project safely and
efficiently. In addition, adequate lead
time provide to procure required
materials and obtain approvals on the
submittals.
Project working days accurate for
procurement, submittals and
construction without any schedule
issues.
Acceptable working days provided.
Lead time for procurement and
submittals is acceptable.
There is a potential risk due to
insufficient working days and lead
time provided to complete the project.
Working days calculated not accurate.
Will have severe impact on the
construction schedule and costs. Lead
time to procure materials and
submittals not provided.
Accurate Pay Clause and
Quantities
Pay clauses and Item quantities
accurate. Quantities shown on project
plan and in the special provisions
match perfectly. The pay clauses are
appropriate and clear and will
minimize any claims.
The quantities shown on project plans
and special provisions match with the
engineers estimate. Pay clauses are
detailed to address any issues with
item payments.
Pay clauses and quantities on all
major items accurate. There are
issues with pay clauses for a few
minor items or non standard pay units.
May cause some conflict and risks
during construction including claims.
There are minor differences for
quantities shown on project plans,
special provisions and engineer's
estimate. Pay clauses not detailed
and missing for some items. Potential
for claims.
Conflicts exist in pay clauses or
quantities. Non standard pay unit or
lack of pay units in the special
provisions and project plans.
Liquidated Damages,
incentives/disincentives, and
lane rental rates
The liquidated damages,
incentives/disincentives, and lane
rental rates are calculated based on
the facts and as per the guidelines.
Liquidated damages, incentives, lane
rental amounts are reasonable
Acceptable Liquidated damages,
incentives, lane rental amounts
provided in the contract. Potential for
some risks during construction.
The numbers given for the liquidated
damages, incentives & disincentives
not consistent with industry standard.
High potential for disputes and claims.
No information provided in the special
provisions.

Page | 35

Construction Constructible
Aspect
5 4 3 2 1
Attention
Subsurface Work Strategy
Subsurface work strategy addressed.
All conflicts clearly identified without
any omission.
All potential conflicts with the existing
underground utilities reviewed and
addressed. Adequate plans for
construction.
Potential utility conflicts shown on the
plans may make field operations
complicated.
Conflicts identified in the as built plans
not completely addressed and
transferred to the new plan sheets.
Open for potential conflicts
Subsurface work strategy including
excavation, drilling and trenching
operations not addressed.
Aerial Clearances
Aerial clearances adequate. Plans
adequately address all overhead
clearance issues. Coordination with
electrical companies to relocate or
remove prior to construction.
All potential aerial clearance issues
addressed. Staging and utility plans
well designed to avoid any conflicts.
Clearly indicated on the utility plans
and stage construction plans
Staging plans and utility relocation
plans are not well coordinated.
Exposure to field issues pertaining to
vertical and horizontal clearances
during construction.
Aerial clearances inadequate and
utility relocation not addressed clearly.
Material Handling & Staging
Material handling and staging
addressed. Good access and staging
location. Everything taken care of.
Adequately designed and staged to
address materials and equipment
movement during construction at the
jobsite.
Material handling and staging
addressed with moderate access,
minor inconvenience.
Required clearances and access for
heavy equipment not well addressed.
May have potential issues for the
contractor during construction.
Not addressed. Will cause several
issues during construction.
Traffic Control & Handling
Criteria
Excellent Traffic control and handling
plans. Very low traffic impact to
traveling public with many safety
features.
Adequate traffic handling plans and
staging plans to handle traffic detours
Traffic control and handling criteria
reasonable. Issue arising at the field
level is easily solvable.
Traffic handling plans and staging
plans have many shortcoming
including detour, temporary road
widths and access for heavy vehicles.
Traffic control and handling criteria too
restrictive, sub standard or violate
current policy.
Permit Restrictions
Permit windows and restrictions well
coordinated at all stages and provide
adequate time to complete the work.
All permits requirements are covered.
Permit windows and restrictions well
addressed in the SSP with minimal
risks for construction and public at all
stages.
Permit restrictions do not conflict and
provide adequate time to complete
work
All potential permit issues not
considered and addressed in the
plans and specifications.
Permit restrictions conflict and do not
provide adequate time to complete
work. Potential for high risk around
environmentally sensitive areas.
Working Day/Schedule
Analysis
CPM Schedule analysis performed to
determine working days. Consistent
with similar projects and reasonable.
Schedule analysis done with CPM and
working days estimate adequate to
construct the project.
Schedule analysis done to determine
working days
No detailed schedule analysis
performed and the number of working
days is inadequate to complete the
project.
No schedule analysis done to
determine working days. Potential
high risks completing the project in
reasonable time.
Utilities Relocation
Utility relocation planned to be
complete prior to construction. Utility
relocation coordination showed on
both utility plans and stage
construction plans.
All utility relocation discussed with the
Utility companies and cooperative
agreements signed. Time line
provided in the SSP for utility
relocation.
Utility relocation completed partially
prior to start of construction. During
construction, utility relocation not
conflicting with contractor's activities.
No detailed utility relocation plans and
not coordinated with the staging plans.
Potential for construction delays.
Utility relocation not addressed
completely on the plans and in the
specifications. Missing or incomplete
information. Potential for high risk to
project schedule.
R/W Construction Easements
Right of Way construction easements
acquired. No conflicts, no omission
information in the contract. Language
provided for the contractor to maintain
access for local residents and
businesses.
All right of way related documents
available. Adequate temporary R/W
easements indicated on the plans.
Also, contract language provided in
the SSP to maintain local access
Right of way information provided in
the specs and on plan sheets not
complete for construction and
maintaining access during
construction. However, project is still
biddable.
Information provided is not very clear
and may cause potential project
delays. Potentially risky for all
stakeholders.
Right of Way construction easements
not addressed either on the plans or
the specifications. Potential for safety
issues. No language provided for the
contractor to maintain local access.
Fabrication / Lead Time
Fabrication submittal lead time allotted
in schedule and appropriated. Good
delay start and working days allocated
for the appropriate work.
Enough lead time allocated for
obtaining required materials and
submittal approvals. Specials
provisions languages clear on the
schedule of procuring materials.
Fabrication submittal lead time
considered. Delay start could be too
long or too short but still acceptable.
Not adequate time for submittal
approvals, fabrication and
procurement of materials addressed.
No fabrication submittals lead time
allotted in the schedule. Either
Impossible to perform or delay the
work.
Hazardous Materials
All aspects of hazardous materials
considered. Special Provision
addresses details of handling and
disposing of hazardous materials on
site based on all regulations.
Special provisions has taken in
consideration all the latest regulations
involving handling and disposing of
hazardous materials.
Acceptable details provided in
handling hazardous materials and
adequate language provided in
special provisions.
Specifications inadequate and not
current to handle hazardous materials.
Few provisions to handle the
hazardous materials safely and
specifications are not complete.
Page | 36

Structure Construction Constructible (1 of 3)
Aspect
5 4 3 2 1
Attention
Subsurface Work Strategy
Foundation type meets field
conditions. No Permit restriction
conflicts. Borings at each foundation
location. Water table with date data
considered. Contaminated/hazardous
soils identified and disposal
addressed. Wet hole" specification
and payment. Large staging/work area
for equipment provided.
Foundation type meets field
conditions. Permit restrictions
addressed with minor impacts to
operations. Sufficient location and
number of borings with water table
considered. Contaminated/hazardous
soils identified and disposal
addressed. Wet hole spec/payment
included. Staging/work area for
equipment provided.
Foundation type reasonably meets
field conditions with potential for
constructive changes in pile size,
number and spacing to address
conflicts such as subsurface
infrastructure and/or cobbles, boulders
or water table.
Contaminated/hazardous materials
considered but not addressed
adequately by item or spec
w/additional minor costs anticipated.
Underground drainage/utility conflicts
shown on plans may complicate
operations.
Questionable foundation/pile type.
Missing information on borings, pile
details and specifications. Conflicts
with pile size, tip elevation and
Foundation Report and borings.
Minimal number of borings. Some
overhead conflicts with pile
driving/operations equipment.
Underground drainage/utility conflicts
are not contemplated with resulting
ROW delay potential. .
Inappropriate foundation type. Pile
type, size or tip elevation does not
match the site, foundation report
and/or the test borings. Water table
elevation not shown.
Insufficient/inappropriate boring
locations. Major overhead and below
grade utility or other conflicts not
contemplated. Major work window
restrictions will result in schedule bust.
Hazardous Materials mentioned but
handling and reimbursement not
addressed.
Traffic Control/Handling
Criteria
Safe practical detours, staging areas.
Closure durations sufficient for
operations with no penalty & bid risk.
Traffic impact outreach to public.
Detours and staging areas tight but
sufficient. . Closure durations
sufficient for operations with minimal.
Outreach to public considered.
Provided detours reasonable. Closure
durations tight so bids may include
some risk. Most work can be
performed w/minimal impacts to local
business' and public.
Provided detours are impractical and
closure durations insufficient for work
operations. Risk of late opening
penalties likely included in bids. Major
impacts to local businesses and
residents
Required detours not provided.
Insufficient or missing closure
durations.
Permit Restrictions
Permit windows/restrictions
coordinated w/staging and structure
details. Operational work windows in
phase with advertise, award start work
schedule.
Permit windows/restrictions
considered with resulting minimal risk
to schedule. No potential for one-
season schedule bust.
Some major permit restriction conflicts
with staging and structure details.
Slight "start work" delay may bring risk
for work window bust (season).
Permit windows and restrictions not
fully considered. Major risk to
schedule and cost. Environmental
permit restrictions considered but not
adequately addressed.
Permit work windows/restrictions
conflict with staging and structure
details and will likely result in costly
delays. Environmental/other permit
restrictions not considered.
Utility Conflicts
Future/active utilities
identified/addressed. Little to no
potential for impacts to construction
operations/schedule
Minor utility relocations required with
minimal potential schedule impacts.
Structure and excavation utility
conflicts considered with relocation
contemplated during project.
Schedule dependent on outside
agency with notification/duration
agreements in place.
Structure and excavation utility
conflicts considered with relocation
contemplated during project. Schedule
very dependent on outside agency.
Serious structure utility relocation or
ROW conflicts not contemplated with
resulting major bid approval or
schedule impacts. Work
operations/scheduled dependant on
outside agencies with no relocation
agreements.
Construction Operation
laydown area
Excellent onsite laydown areas for
equipment, falsework, shoring and
other temporary works
erection/removal. Material handling
areas considered.
Adequate area for equipment,
falsework, shoring and other
temporary works erection/removal.
Material handling areas considered.
Laydown and staging areas for
falsework, pile, shoring and other work
operations considered and without
conflicts.
Work operations complicated due to
tight work areas. Some of operations
require use of traveled way with
impacts to local traffic, business and
residents.
Work operations complicated due to
very tight work areas. Majority of
operations require use of traveled way
with major impacts to local traffic,
business and residents.
Stage construction
Stage construction safe and efficient.
Excellent operation flexibility within
staging. All staging operations match
work seasons and permit restrictions.
Stage construction well detailed with
minor conflicts easily addressed at
construction stage. Some operation
flexibility. Work/permit windows match
dependant stages.
Reasonable stage construction
details. Some minor issues relating to
work window restrictions. Limited
operation options & flexibility with
potential for delays.
Poor and inefficient stage construction
details. Work operation(s) not included
in stages. Seasonal work window
issues leading to schedule delays.
Potential for CRIP to change stages. .
Stage construction details and detours
contain major conflicts. Over/under-
lapping work operations. Areas not
available due to missing stage or
under lap. Work windows and
seasons not considered. Potential for
major delays. Serious safety issues.
Traveled way widths inadequate.
Public and worker safety issues.

Page | 37

Aspect
5 4 3 2 1
Attention
Materials/Fabrication
Clear QA requirements for welding,
precast and high performance
materials. Excellent local Material
readily availability. Using latest state
of the art materials. New and
innovative materials
Clear QA requirements for welding,
precast and high performance
materials. Local Material availability.
All QA requirements for welding
procedures precast and high
performance materials addressed.
Local material sources considered.
Long timeliness for procurement of
materials.
Some missing QA specifications.
Material availability concerns. May
require some clarification and
changes/cost during construction.
Long timeliness for procurement of
materials.
Missing QA specifications. Serious
material availability concerns.
Bridge/Structure Type
. Bridge/structure type
(superstructure/foundations) fits need,
staging, site, maintenance considerations
and material availability. No change
necessary.
Inappropriate bridge/structure type with
respect to site, staging, material
availability. CRIP to change structure type
very likely. Long-term structure
maintenance not considered or costly due
to structure type. Falsework spans not
considered or impractical to construct.
Falsework erection not considered in Lane
Closure Charts and/or TMP.
Sound Wall/Retaining Wall
Retaining Wall type appropriate for
construction staging, soil/rock properties,
water table, material availability wall
height. Drainage and long term
maintenance considered. Sound Wall
Type - Construction staging considered
foundation type appropriate for ground
conditions.
Retaining and Sound Wall type
inappropriate for in-situ soil/rock conditions
and/or stage construction. Material
availability problems and/or inappropriate
foundation type.
Structure/Roadway
compatibility
All bridge/structure profiles and grades
match roadway and adjacent infrastructure
profiles, grades and x-slopes.
Minor profile or grade issues easily
addressed during construction with
minimal quantity and cost impacts.
Bridge/structure profiles reasonably match
roadway and adjacent profiles, grades and
x-slopes with some inconsistencies that
can be readily addressed with minor
quantity and detail changes.
Bridge/Structure profiles or x-slopes do
not match roadway, grade or adjacent
infrastructure requiring re-design or major
quantity changes.
Bridge/Structure profiles or x-slopes do not
match roadway, grade or adjacent
infrastructure requiring re-design and
major quantity changes. Structure
drainage system is not connected to the
district system. Falsework is not
compatible with roadway work.
Bridge Specs and Details
No missing details, dimensions, pay
clauses, items, camber information,
reports. All are consistent. Special
Provisions included for all detail work.
Few missing details and dimensions. Very
minor inconsistencies with details, pay
clauses and items. All easily addressed in
construction stage.
Some missing details, dimensions, pay
clauses and items but none that would
result in major cost changes to project.
Minor detailing and specification
inconsistencies.
Numerous missing details, dimensions
and items. Minor quantity errors, missing
and inconsistent pay clauses, special
provisions and items. Some detail conflicts
and member congestion. Potential for
significant cost to address all
inconsistencies.
Many missing or inconsistent major
details, dimensions, pay clauses, items,
reports, special provisions or QA
requirements. Major congestion issues
relating to reinforcement, hinge restrainer
beams, pre-stress components, bearings
and other major bridge structural
components. Serious cost implications.
Removal operations
Complete bridge removal specifications
addressed in special provisions, staging
and TMP (closure charts). Full freeway
closure provided as needed.
Roadway/infrastructure protection
requirements with damage repair specs
included. Removal limits clearly identified.
Removal options provided. Clear public
outreach requirement - advance signing,
etc.
Convenient traffic detours and closures.
Bridge removal operations and removal
plans addressed in special provisions,
staging and TMP (closure charts).
Demolition Plan specification provided
w/PE requirement and roadway protection
requirements.
Bridge removal operations addressed in
Specials Provisions, staging and TMP.
Demolition Plan specification provided
w/PE requirement and roadway protection
requirements. Traffic staging, detours and
closures considered.
Bridge removal operations not consistently
addressed in Specials Provisions, staging
and TMP. Some conflicts with minor
resulting costs. Demolition Plan
specification provided w/PE requirement
and roadway protection requirements.
Inadequate lane/freeway closure durations
for safe removal. Piecemeal removal
required with public safety issues.
Removal work not addressed in TMP. Live
utilities on structure with no relocation
provisions. Demolition Plan specs missing
or inadequate.

Page | 38

Aspect
5 4 3 2 1
Attention
Coordination
Minimal to no Railroad, local agency or
other infrastructure, utility or agency
dependence/involvement. Required
Agreements in place. No conflicts with
adjacent projects.
Minimal schedule or cost ties to adjacent
projects. Railroad or other major
infrastructure agencies addressed in
staging, details, schedule coordination and
cost w/agreements. Project/structure
construction details and schedule are not
dependent on adjacent projects.
Railroad or other major infrastructure
agencies considered in staging, details,
schedule coordination and cost. No major
schedule, staging or detail ties/conflicts
with adjacent projects,
Heavy adjacent Railroad or other major
infrastructure agencies involvement.
Agreements in place and considered in
specs but costly delays likely. Heavy
schedule or staging ties to adjacent
projects/agencies.
Adjacent Railroad or other major
infrastructure agencies not considered in
staging, details, schedule coordination and
cost. Major schedule, detail or staging
conflicts with adjacent projects not
addressed in contract. CPM missing or
overlapping activities in the same work
area.
Work Day/Schedule Analysis
Sufficient # Working days provided. No
risk.
Sufficient # Working days provided. Little
to no risk.
Sufficient # of working days. Potential for
some minor ROW, weather or delays.
Questionable number of working days.
Contractor will likely incorporate risk into
bid.
Working days insufficient. Major liquidated
damages risk.

Page | 39

Traffic Operations Protective Features
Aspect
5 4 3 2 1
Attention
Clearances
Clearances met without mitigation
measures. There is room for future
needs.
Clearances met based on minimum
standards requirements. Fact sheet
provided
Clearances met with minor mitigation
measures. Fact sheet provided
Clearances not completely met. Not
sufficient mitigation measure provided.
Clearance not regarded. No mitigation
measures.
Sight Distance
Sight distance met without mitigation
measures required. Future needs
have been considered
Sight distances (stopping/corner and
decision) met based on minimum
standard requirements.
Sight distance (stopping, sight, corner,
& decision) met with mitigation
measures included
Sight distances did not completely
meet. There are possible mitigation
measure, but not included.
Sight distance requirements
disregarded
Historical Analysis
Safety/Collision analysis completed.
The project includes the projection of
the proposed project into the future.
Safety/Collision recommendations if
any are addressed and incorporated
in the project cost, scope and project
design.
Safety/Collision analysis completed
and meets with the minimum standard
requirements. Safety/Collision
recommendations if any are
incorporated in cost/scope/design.
Safety/Collision analysis completed
with some minor errors and some if
not all Safety/Collision
recommendations included in
scope/cost/estimate (due to funding
limitations).
Safety/ collision analysis is not
completed and has many errors. Only
limited discussion of lighting / safety
devices upgrades included in
scope/cost/design
No safety/collision analysis
completed; no discussion of lighting /
safety devices upgrades included in
scope/cost/design,
Traffic Control / Handling
Criteria
Discussion/application of traffic
handling is detailed with sufficient
information and without conflicts.
Complete TMP plan is included;
advance equipments such as PCMS,
and CCTV are considered.
Alternative solutions are provided as
back-up if needed. It complies fully
with MUTCD, HDM and
Transportation Management Plan
Guidelines.
handling is covered with sufficient
information and without conflicts. TMP
elements such are detour plan and
lane closure schedule included.
handling with limited details and few
minor errors. Complies with minimum
requirements per MUTCD and HDM
guidelines.
Limited discussion/application on
traffic handling with many correctable
errors. Does not fully comply with
MUTCD and TMP guidelines
No discussion/application on how
traffic will be handled during and post
construction. No detour plan.
Safety Features
Discussion/application of ADA
elements, Collision analysis, and
Safety index are fully included. The
project is designed such that requires
none or minimum need for the
installation of safety devices like
MBGR, crash cushion, etc. Room for
future needs of clear recovery zones
and sight distances are considered.
Discussion/application of safety
features such as left turn pockets,
rumble strips shoulder widths, clear
recovery zones & side slopes meet
the minimum required standard and
included in project scope, cost and
design. The project considered the
proper selection and application of
correct safety devices. All fixed
objects such as control box, signs,
drainage facilities, etc. are located
outside of the CRZ.
Discussion/application of traffic safety
features with minor incomplete issues
and errors.
Very Limited discussion/application on
traffic safety features. Incomplete
safety analysis with many errors.
Improper selection and application of
safety devices.
No mention of safety features. No
safety analysis provided

Page | 40

Traffic Operations Design Standard Compliance
Aspect
5 4 3 2 1
Attention
MUTCD Signing
Complete signing plan. All signs within
the project limits, but not as a part of
the project, are upgraded to have the
same shade and reflectivity. Plans
are designed per the most current
MUTCD guidelines. The size and
location of signs consider the future
needs for changes and modification.
Signing plans include the minimum
standards required per current
MUTCD guidelines. All of the
recommendations have been
addressed and included in the scope
and cost estimate.
Signing plans meet the very minimum
requirements per current MUTCD
standard. There are only few minor
errors. Some minor recommendations
have not been implemented.
Incomplete signing plan. Many minor
errors. Sign details are missing.
Improper application of the current
MUTCD signing standards.
Signing plans are missing or
incomplete with many major errors.
Does not meet the current MUTCD
signing requirements.
MUTCD Markings
Complete striping plan for pavement
markings. All markings within the
project limits are upgraded to have the
same shade and reflectivity. Plans
are designed per the most current
MUTCD guidelines
Pavement markings, delineation and
striping plans include the minimum
standards required per current
MUTCD guidelines. All of the
elements have been included in the
scope and cost estimate.
Pavement Markings and striping plans
meet the very minimum MUTCD
standard requirements. There are only
few minor errors. Some minor
elements have not been included.
Incomplete striping and pavement
marking plan. Many minor errors.
Details are missing. Improper
application of MUTCD marking
standards.
Striping and delineation plans are
missing or incomplete with many
major errors. Does not meet the
current MUTCD striping requirements.
Temporary Traffic Control
(Staging Plans only)
Advanced equipments and methods
are used to support project during
each stage, such as PCMS, CMS,
CCTV; notification and public
awareness by media, Temporary
signing and marking plans have been
designed per temporary traffic control
MUTCD. Advance warning, CMS,
Temporary traffic control for staging
plans met the minimum standards
requirements. Temporary signing and
marking plans have been designed
per temporary traffic control MUTCD
guidance. The plans include
consideration of additional areas
beyond the scope of the work zone.
Temporary signs and markings have
been designed per temporary traffic
control MUTCD guidance with few
minor errors and omissions. Staging
plans may have a few concerns that
may be able to be addressed.
Temporary signs and markings have
been designed per temporary traffic
control MUTCD guidance with
correctable errors and omissions.
There are major errors on the stage
construction plans and even concerns
with the staging of traffic that need to
be addressed. Does not comply with
MUTCD and HDM. Lacks clear
communication. No smooth
continuity.
Electrical Design
Complete electrical design (plan,
specifications, and estimate) and is
compatible with other project
components. Future needs are
considered. All electrical elements of
the project are updated according to
the latest technology. Strong evidence
that Elec. Design and Electrical
Systems branches involved.
Meets the required Caltrans
standards. Electrical Design work is
included in the scope. The design
includes enough details on the plans,
specifications and estimate. Evidence
of Electrical Design and Electrical
Systems Branches involved.
Electrical design work is included in
scope. Some minor correctable errors
still exists and some questions remain
on design and/or estimate. Minimal
evidence of Electrical Design and
Electrical Systems Branches involved.
Meets the minimum standards.
Some Electrical design work is
missing in scope. Electrical plans,
specification and estimate are
complete; however, there many minor
errors or a lack of enough details on
the plan sheets. No evidence of
Electrical Design and Electrical
Systems Branches involved.
No electrical design work is included
in scope; yet needed. No evidence of
Electrical Design and Electrical
Systems Branches involved. Design
not meeting standards and guidelines.
Lacks details.

Page | 41

Traffic Operations Designed to Operate as Planned
Aspect
5 4 3 2 1
Attention
Operational Studies
Operational analysis completed.
Recommendations included in
scope/estimate/design. Most updated
traffic volumes, Level Of Service
(LOS) analysis, delay & congestion
analysis and queue analysis provided.
Future volumes and traffic data is
projected. Computer Micro/Macro
simulation is provided. Future needs
such as adding mainline lanes, Aux.
lanes and ramp widening have been
considered. Benefit / cost analysis
provided for all possible alternatives to
compare options. Advanced traffic
operation technology such as
SWARM and remote ITS devices are
considered.
Operational analysis (including
intersection analysis) completed and
reviewed and approved by district's
Traffic Operations and the analysis
meets the minimum standard
requirements. Most or all
recommendations are included in
scope/cost/design. Standard traffic
analysis provided.
intersection analysis) completed and
reviewed but some questions remain
with analysis; minor changes required.
Some minor errors and miss-
assumptions exist in the traffic
operation analysis.
intersection analysis) has been
completed but many questions and/or
missing information still remain on the
analysis as well as the
scope/design/estimate. Many minor
errors and wrong assumption exist in
the traffic analysis. None or limited
delay & congestion analysis provided.
None or very limited benefit / cost
analysis of possible alternatives are
provided.
No operational studies have been
completed where it has been
determined to be applicable. No
tables of traffic data such as volumes,
LOS analysis, delay & congestion
analysis and queuing analysis have
been provided
Bike/Pedestrian(Ped)
Expectations
Complete plan, discussion and
application of Bike, Pedestrian, and
ADA elements. Include options for
future expectations. Provide
continuity within and beyond the limits
of the project. Bike/Ped expectations
have been discussed and any
improvements have been included in
scope and cost. Discussion on
Ped/bike movements during
construction has been addressed with
costs included in estimate.
Bike/Ped expectations have been
discussed and any improvements
have been included in scope and cost.
Discussion on Ped/bike movements
during construction has been
addressed with costs included in
estimate.
Bike/Ped expectations have been
discussed but improvements are
limited due to funding/program
limitations. There is some discussion
on Ped/bike movements during
construction but many questions
remain. Some minor changes needed.
Not complete with many minor errors.
Not enough discussion/application of
ADA elements. Lack of details. Lack
of discussion/application of bike/Ped
facility
Bike/Ped expectations have not been
discussed and no improvements
included in scope and cost. No
discussion on Ped/bike movements
TMP Elements
Traffic Management Plan (TMP)
elements identified and thoroughly
discussed on how traffic will be
handled during construction. Closure
charts, cost and elements included in
cost/scope/design. Plan has strong
evidence of Traffic Operations
involved.
elements identified with some
discussion on how traffic will be
handled during construction. Closure
charts, cost and elements included in
cost/scope/design.
elements identified but light on the
discussion but some questions
remain. Same for closure charts, cost
and elements included in
cost/scope/design.
TMP strategy touched on but many
concerns still exist on whether impacts
to traffic have been addressed.
Limited TMP funds included in project.
No TMP plan identified nor discussed
in project scope. No or very few funds
included in project.
ITS Elements
ITS elements discussed and identified
and included in scope/cost/design, if
any. Locations sites have strong
involvement. Met the expectations for
the future upgrades such as CCTV,
fiber optic system, CMS, SWRM, and
satellite detection system.
ITS elements discussed and identified
and included in scope/cost/design, if
any. Locations sites have some
involvement.
There are discussions on including
ITS elements but installing them is
limited due to funding/program
limitations. Locations sites have
involvement.
There is limited
discussions/application on including
ITS elements.
No discussion on ITS elements and
none are included in scope/cost.

Page | 42

Maintenance Protective Features (Page 1 of 2)
Aspect
5 4 3 2 1
Attention
Maintenance Road Access
Maintenance Road access is provided
and exceeds maintenance
expectations
Maintenance Road is sufficient for
moving materials and operating
equipment. Access provided from
roadway.
Maintenance Road is provided, but
still requires a lane closure to operate
equipment and perform Maintenance
activities.

Example: Access road is provided to
get vehicles safely off the highway to
do maintenance inspections, but the
necessary equipment (such as
augers/drill rigs, bucket trucks, etc.)
that are used to perform maintenance
activities (guardrail, sign installation,
tree trimming, culvert/drainage inlet
cleaning, etc) must be situated on the
highway in order to perform the work
which will require a lane closure to
ensure public safety.
Use of private property for access or
requires climbing over fences and
walls.
No provisions. Requires backing of
vehicles and equipment or repelling
off a side slope/cliff.

Example: A sand vault is located off
the highway, beyond the right
shoulder (but within the state R/W).
An access road is provided to access
the sand vault, but a vector truck will
be required to turn around, facing on-
coming traffic and reverse down the
access road to perform maintenance
activities on the sand vault.

Example: Having to repel off a side
slope or cliff along a coastal highway
in order to inspect/maintain a retaining
wall.

Example: Maintenance of avalanche
control equipment (Gaz-Ex canon)
can only be accessed by
hiking/climbing during non-snow
season. No vehicle access. During
snow conditions specialized
equipment (snow cat) might be used.
Roadside Feature Access
No Roadside features to maintain.
Contains maintenance agreement.
Features are located outside of clear
recovery zone. No need for shielding.
Roadside features located outside
clear recovery and there is no need
for shielding.
Features are located within clear
recovery, but shielded. Maintenance
vehicle pullout placed safe and
convenient location relative to the
roadside feature. Requires climbing
to perform maintenance activities (tree
trimming).
Features are located within clear
recovery and Maintenance vehicle
pullout provided, but not shielded.
Requires trenching or excavation,
working in median or sloped area
using boom type equipment.
Total disregard to location, protection,
and placement of roadside features
(i.e. cabinets, pull boxes, controllers,
signs). Requires trenching or
excavation and working in confined
spaces (special training required).
OSHA Requirements
Met OSHA Requirements and
exceeded maintenance expectations
Met OSHA Requirements Met OSHA requirements Minor change needed to meet OSHA
requirements.
Example: Working in a sand vault
requiring training/certification for
working in confined spaces.
Implement an alternative BMP that will
accomplish the same results other
than a sand vault.
OSHA requirements for reducing
worker exposure not met. OSHA
requirements disregarded.
Example: Limited or restricted
entry/exit or enclosed spaces when
having to perform maintenance
activities in vaults, vats, sumps,
shafts, tanks, etc.

Example: Working in
trenches/excavation 5 feet and deeper
without shoring or sloped.

Page | 43

Maintenance Protective Features Page 2 of 2)
Aspect
5 4 3 2 1
Attention
Bridge Access
Access provided with no
inconvenience to users, workers, and
no special equipment needed.
Access provided and requires use of
specialized equipment.
Access provided with some
inconvenience to users
Access only from water. Requires
working in confined spaces requires
scaling/climbing (special training
required) or use of a UBIT.

Example: Crawling through a
concrete box girder bridge cell, or
having to repel to access a bridge
abutment/columns of a tall bridge or
bridge located in a canyon, etc.
Inaccessible by workers and
equipment.
Worker Exposure
No exposure Exposure to live traffic is minimized
and addressed with proper protection
(concrete barrier or use of specialized
equipment). Maintenance activity can
be performed inside vehicle or
equipment. No on-foot exposure.
Exposure to live traffic is minimized
with reasoning and justification. Use
of MAZEEP, balsi-beam, shadow
truck w/ attenuator and advanced
warning vehicle.
Exposure to live traffic minimized,
excludes reasoning and justification
for minimizing worker exposures.
Shoulder or lane closure required.
Exposure to live traffic, yet options to
minimize exposure not accounted.
Requires night work to perform
maintenance activities, working
confined spaces, near overhead lines.

Page | 44

Maintenance Maintainable
Aspect
5 4 3 2 1
Attention
Roadside Features
Relinquished or reduced inventory-
reduces need to maintain. No permits
required. Reduced equipment needs.
No specialized or proprietary
equipment, material or training of
staff. Features easily, safely and
conveniently accessible.
No increase in inventory. No permits
required. No new equipment needs.
conveniently accessible with
Delegated Maintenance Agreement.
No mandates, restrictions or policy
(such as for water usage)
Increased inventory with increased
resources. No permits required.
Reduced equipment needs. No
specialized or proprietary equipment,
material or training of staff. Features
easily, safely and conveniently
accessible. Use of drought tolerant
plants.
Increase in inventory. No permits
Minor specialized or proprietary
staff. Features safely accessible with
Increase in inventory without
identification of resources or
significant new equipment needs or
significant specialized or proprietary
staff. Permits required. Features not
easily or safely accessible.
Landscape Features
Landscaping is consistent with
adjacent corridor segments with
minimum maintenance efforts without
increased resource, full/safe access,
no slopes, incorporate hardscaping
features and inert ground cover
Landscaping is consistent with adjacent
corridor segments with full access and
no increase in inventory, no new
landscape agreement, use of
mulch/barriers/blankets to prevent weed
growth and reduce herbicide spraying,
installation of efficient/durable irrigation
system
Landscaping is not consistent with
adjacent corridor segments with some
limited access and an increase in
inventory, requiring landscape
agreement, incorporate native and
common to region plants
Landscaping is inconsistent with
adjacent corridor segments, Increase
in inventory, increase in resource ,
access only from shoulder,
No access from shoulder, unprotected
and within the recovery area resulting
in additional maintenance resource
requirements, specialized equipment
(personnel hoist) or training (climbing)
required, no consideration for pruning,
water management or drought
tolerant/deep root vegetation.
Pavement Strategy
Long life pavement strategy lasting
more than 20 years
Intermediate rehab pavement strategy
lasting more than 10 years
Short term pavement strategy (CAPM)
lasting 5-10 years
Pavement marginally acceptable-does
not address future pavement
opportunities.
Degrade existing pavement condition
without any consideration for
pavement deterioration
Electrical Access
Relinquish or reduced inventory-
reduces Maintenance need to
maintain. No permits required.
accessible. No lane closures
required.
resources and Delegated
Maintenance Agreement. No permits
required. Reduced equipment needs.
staff. Features safely accessible with
Mechanical Access
accessible. No lane closures
required.
accessible.
No or minor increase in inventory. No
permits required. No new equipment
needs. Minor specialized or
proprietary equipment, material or
training of staff. Features safely
accessible with minor inconvenience.
Significant increase in inventory
without identification of resources or
Bridge & Structure Access
accessible.
accessible.
equipment (UBIT), material or training
of staff. Features safely accessible
with minor inconvenience. Columns
are shielded by barriers.
Inventory Resources
Relinquished or funding identified in
PID
Increased inventory with a Delegated
Maintenance Agreement in place.
No Increase Increased inventory with resource
needs identified.
Increased inventory with no resource
needs identified.
Page | 45

Planning Purpose and Need (Page 1 of 3)
Aspect
5 4 3 2 1
Attention
Communication/Information
The transportation deficiencies(s)
are clearly described.
Detailed supporting data is
intergraded into an easy to
understand narrative that
demonstrates the project value.
Clearly identifies the transportation
deficiencies and describes the
underlying transportation need.
Includes detailed supporting data
that demonstrates the project value,
but not integrated within the narrative.
Includes fundamental supporting
data & background.
Technical data validates project
need (deficiencies).
The information included in the
document is organized in a manner
that supports the P&N.
Satisfies basic requirements for
purpose and need.

Includes cursory supporting data
with limited background.
High levels of inconsistencies and
errors (data and information).
Transportation deficiency (need) and
objective (purpose) is not clearly
identified
Supporting data does not clearly
support the P&N.
P&N statement so narrow that it
excludes a full range of alternatives.
Limited discussion and documented
regarding consistence of purpose and
need (was consistence achieved)
No supporting data included in
document(s).
No "need" background narrative
linking data to project need.
Project purpose" is identified as the
preferred alternative instead of the
project objective.
High levels of inconsistencies and
errors (data and information).
Stakeholders Needs & Public
Engagement
Stakeholders (public) provided direct
input into the P&N development
(documented).
Full consensus with stakeholders.
Consistent with all stakeholders
needs.
Identified and addressed all
stakeholders needs
Includes documentation and
discussion of stakeholders support or
lack support for the project (has
consistency been reached?).
All partners, stakeholders, and the
department staff were involved in the
development with the P&N and
consensus was achieved.
Most stakeholders' needs are
meeting.
All partners, stakeholders, and the
Department staff were involved and
majority agreed (enough not to impact
the project).
Documentation of stakeholders
discussions but no documentation that
they are supportive or unsupportive of
the project (has consistency been
reached?).
Supported by a majority of
stakeholders.
Identifies and addressed most stake
holders needs (critical needs plus).
Stakeholders provided input into the
P&N development.
Identifies transportation, community,
and environmental goals and
addresses most.
Not complete balance between
goals, but is sensitive to all and
integrates most.
Engagement and support by most
community groups and citizens.
The project provides a solution that
preserves transportation, community
(since of place), and environment
(natural and structural).
Public input has been considered
before taking action on specific
solutions
Consensus from all primary
stakeholders.
Identified and addressed critical
stakeholders needs.
Consensus of few primary
stakeholders.
Identifies needs without addressing
the impacts (mitigation)
Stakeholders were not identified.
No communication of stakeholder's
needs.
No outreach to special interest
groups (e.g. under represented
communities, elderly, physical
challenged, non-drivers, pedestrians,
bicycle, etc.).

Page | 46

Aspect
5 4 3 2 1
Attention
Context Sensitive Solutions
(CSS)
Project implements strategies identified
from community plans.
Complete balance between
transportation, community and
environmental goals.
All transportation, environmental, and
community goals have been identified and
addressed.
Full integration of CSS within the project
development process.
Full, continuous engagement and
support by most community groups and
citizens.
The project provides a solution that
includes enhanced transportation,
community (since of place), and
environment (natural and structural).
Identifies transportation, community, and
environmental goals and addresses most.
Not complete balance between goals, but
is sensitive to all and integrates most
Engagement and support by most
community groups and citizens.
Provides a solution that preserves
transportation, community (since of place),
and environment (natural and structural).
Issues are identified but are not
addressed within the design with
explanation (constraints: funding, safety,
environmental)
Analysis includes estimates of full and
long term proposal and assesses the
potential of the alternate impacts on
society and the environment.
Engagement of special interest groups
(e.g. under represented populations,
elderly, physical challenged, non-drivers,
pedestrians, bicyclists, etc.).
Not complete balance between goals, but
addressed ones that are critical to avoid
project delay.
Summarizes community interaction and
documents community comments.
Provides a solution that is compatible
with transportation, community (sense of
place), and the environment (natural and
structural).
Not consistent with community values.
Limited outreach; Communication was
not maintained.
Public involvement (just informed).
Limited discussion of community issues
and needs and how they will be
addressed.
CSS values not consider.
State Planning Consistency
Projects enhance, preserves, and
provide complete statewide consistency
and compatibility with current and future
core adjacent projects and between
corridors.
Document identifies deficiencies/gaps
within and between systems and provides
solution.
Project addresses locally defined needs
and also addresses issues of statewide
significance.
Project preserves the resources (ROW,
land use) needed to maintain consistency
with future statewide mobility and
connectivity strategies.
Projects preserves and provides
statewide consistency and compatibility
with current and future core adjacent
projects and between corridors.
Identifies and address statewide policies,
goals, strategies for the state
transportation and is consistent with the
statewide vision.
Project is consistent with current and
future statewide mobility and connectivity
need and addressed where there are
inconsistencies.
Identified statewide policies and issues
(goods movement, Strategic Growth Plan,
etc.) that should be included in the project
development process.
Projects provide statewide consistency
and compatibility with current core
adjacent projects and between corridors.
Identifies but does not address statewide
policies, goals, strategies for the state
transportation system within the project
limits.
Addresses locally defined needs, and
does not identify or address statewide
issues or strategies.
Meets the local transportation needs and
identifies strategies to maintain the future
performance of the transportation facilities
only within the project limits.
Does not identify or address statewide
policies, goals, strategies for the state
transportation system.
System Planning
Consistency
Enhances the system planning concept
by exploring a broad range of modal
options and land use characteristics that
will impact the transportation system.
Identified as a high priority project in the
Transportation System Development
Program
Includes a discussion of how the project
enhances the current/future facility.
Includes discussion of how enhances the
system planning concept (route/facility).
Need identified from the Transportation
Concept Report / Corridor System
Management Plan
Meets all strategies, goals, and
objectives identified in the District System
Management Plan
Consistent and included in system
planning documents and addresses
compatibility issues that are critical to
avoid project delay.
Review existing system planning data
and analysis to ensure project validity.
Project is consistent and included in
system planning documents and
addresses compatibility issues that are
critical to avoid project delay.
All travel mode strategies have been
considered and implemented along the
corridor (on-system).
Describes current and future facility.
Purpose & Need is consistent with
system planning TCR/CSMP strategies.
Consistent system planning route and
facility concept.
Consistent DSMP mission, vision,
objectives, and strategies.
Consistent TSDP priority.
Not consistent with system planning
concepts (route/facility).
Not included within TSDP.
Not consistent with DSMP vision,
objectives, strategies.
Project does not consider system
planning concepts or strategies.
Does not consider TSDP.
Does not consider DSMP.

Page | 47

Aspect
5 4 3 2 1
Attention
Regional Planning
Consistency
P&N is included and preserves and
enhances regional and local mobility.
Includes discussion of how project meets
the regional vision, goals, and objectives.
Project P&N is included and preserves
and enhances regional and local mobility.
Includes discussion of the regional
vision, goals, and objectives.
Consistent with but not identified in the
RTP (supported by RTPA/MPO).
Where inconsistent, there is a discussion
of steps to be taken to achieve
consistency.
Consistent with regional vision, goals,
and objectives.
Included in RTP if the project is air
quality non-exempt.
Alternatives and combinations of
solutions address and accommodate
issues related to land use, air quality,
energy, local/regional economy and
equity.
Consistent with but not identified in the
RTP (not supported by RTPA/MPO).
Not included or consistent or identified in
the RTP.
Multimodal
Purpose and need enhances the
multimodal transportation system.
Comprehensive development and
balance of all modes.
Purpose and need provides consistent
direction to achieve a balance between
travel modes where applicable
(pedestrians , bike , car, bus, etc...)
All modes of transportation and
alternatives are addressed and included
within document.
Purpose and need supports a multi-
modal transportation system.
Multimodal deficiencies identified and
underlying need described (as applicable).
P&N statement broad enough to allow for
a full range of alternatives.
All modal opportunities are investigated
Early, objective multimodal (all applicable
modes) analysis has been produced in
partnership regional and local agencies,
and transit operators.
P&N statement so narrow that it
excludes a full range of alternatives.
Most multimodal deficiencies identified
but underlying needs not described.
Multimodal deficiencies not considered
System Mobility
Balances/integrates all transportation
modes on and off system (System
Management).
Complete integration of the mobility
pyramid elements.
considered and implemented (intermodal).
considered and implemented along the
corridor (on-system)
Critical mobility issues have been
identified and implementation strategies
have been developed specific to the
project site.
Critical mobility issues have been
identified and implementation strategies
have been developed specific to the
project site.
Enhanced integration and connectivity of
the transportation system across and
between modes is considered within the
project.
Mobility issues have been defined but no
strategies have been identified for
implementation.
Mobility issues have not been
considered.
CT Functions
Full participation by all functional units in
development of P&N for all phases.
Full interaction and communication by all
functional representatives.
P&N developed by critical functional units
and other units of interest where
appropriate.
Interaction and communication by most
functional representatives.
P&N developed with the minimum
functional representation.
Minimum interaction and commutation
regarding project development by all
critical functional units.
P&N developed without the minimum
functional representation.
Limited interaction and commutation
regarding project development.
* P&N is developed without consolation of
functional units.
* No interaction and commutation
regarding project development.
Project Goals and Objectives
Fully meets current and future
transportation needs.
Is precisely stated and supported.
Is refined iteratively from planning
through project approval.
Consistent with future land use
P&N - Goals and Objectives, Is
comprehensive enough to allow for
reasonable ranges of alternatives, but
specific enough to limit the range of
feasible alternatives.
P&N - Goals and Objectives, Considers
future land use.
P&N - Goals and Objectives, considers
future transportation systems, linkages,
needs, and development.
Basic discusses of goals and objectives
with minimal link into P&N.
Meets the transportation need.
Is achievable.
Is refined iteratively from planning
through project approval.
Discusses goals and objectives without
clear link to purpose and need.
Not supported by local and regional
governments and the public.
Does not meet the transportation need
Is not achievable.
No discussion of project goals or
objectives.

Page | 48

Planning Designed to Operate as Planned (Page 1 of 4)
Aspect
5 4 3 2 1
Attention
Statewide Plan Consistency
Includes a detailed discussion of
how project addresses California
State Transportation Plan's (CTP)
vision, goals, and objectives.
Includes discussion of how
strategies CTP, State Transit Plan,
State Rail Plan, & California
Interregional Blueprint (CIB) strategies
are fully implemented through the
project.
Considers capacity and access
management at state, regional,
corridor, and project level.
how CTP's vision, goals, and
objectives are addressed and within
project.
Includes discussion of how CTP,
State Transit Plan, State Rail Plan,
and CIB strategies implemented
through the project.
Consistent with the CTP, State
Transit Plan, State Rail Plan, and CIB.
CTP identified without any
discussion of how the projects link
with strategies.
State Rail Plan, CIB, and State
Transit Plan identified without any
discussion of how the projects link
with planned strategies.
CTP not considered.
State Rail Plan not considered.
State Transit Plan not considered.

System Planning
Consistency
Includes a detailed discussion DSMP
vision, goals, and objectives and
describes how they will be
implemented through project.
Included in Transportation Corridor
Report (TCR)/ Corridor System
Management Plan (CSMP).
Discussion of how the project meets
the strategies included in the CSMP.
Identifies route/facility/ ultimate
concepts and provides a detailed
discussion of how project rates.
Discussion of the projects priority via
the Transportation System
Development Program (TSDP).
Includes a discussion DSMP vision,
goals, and objectives as they related
to the project.
Included within system planning
documents and addresses
compatibility issues that are critical to
avoid project delay.
Identifies Route/Facility/Ultimate
concepts and provides a discussion of
how project rates (minimal).
Included in the TSDP.
Meets most objectives and strategies
identified in the DSMP.
Minimal discussion of the project
relationship with system planning
route and facility concepts.
Identified TCR/CSMP strategies with
minimal discussion.
Identifies DSMP mission, vision,
objectives, and strategies with minimal
discussion.
Identified within TSDP (as
applicable).
Identifies Route/Facility/Ultimate
concepts.
Includes project location and length.
System Planning criteria are identify
without a link to project.
Not consistent with system planning
concepts (route/facility).
Included within TSDP.
Identified the DSMP.
Assess how project consistent with
CSMP vision, objectives, strategies.
Does not consider system planning
concepts or strategies.
Does not consider TSDP.
Does not consider DSMP.
Does not include facility concept.
Does not include route concept.
Does not include ultimate facility.
Does not include project location and
length.
Regional Planning
Consistency
how project addresses regional vision,
goals, and objective as identified in
the RTP.
Project implements all existing
strategies and exceeds existing
requirements, i.e. blue print planning,
Sustainable Community Strategies,
etc.
Includes a listing of all current and
planned regional projects within and
next to the project area and provides a
narrative explaining how project fits
into the regional transportation
system.
Identifies current and future
local/regional land use development
and provides discussion of how
project fits within region.
Includes a discussion of how project
addresses with regional vision, goals,
and objective as identified in the RTP.
planned regional projects within the
project area and provides a narrative
of how explain how the project relates
(within project area only).
Identifies current local/regional
development and provides discussion
of how project fits within project area.
Minimal discussion of how project
addresses regional vision, goals, and
objective as identified in the RTP.
project area, but does not provide a
link.
Identifies current and future
local/regional land use development.
Identifies regional vision, goals, and
objective as identified in the RTP
without discussion project link.
Does not document current and
project area.
Project is included in the RTP, but
not supported by the regional planning
agency.
Identifies current local/regional land
use development (not future).
Does not address regional planning
consistency.
Does not identify regional vision,
the RTP.
Project not included in the RTP.
Does not identify local/regional land
use development (current or future).
Page | 49

Aspect
5 4 3 2 1
Attention
Air Quality
Identifies all SCS strategies and
provides a detailed description of how
project fits in.
Project implements all existing
strategies and exceed existing
requirements, i.e. blue print planning,
Sustainable Community Strategies,
etc.
Identified all SCS strategies and
provides a description of how project
fits in.
Project implements most exiting air
quality strategies.
Identified all SCS strategies.
Project is determined to be exempt
from conformity.
Meets existing air quality conformity
standards for project type.
Project implements most exiting air
quality strategies.
Does not meet air quality conformity
standards for project type.
Project does not meet air quality
targets identified in the Sustainable
Community Strategies.
Multimodal
how project addresses State Transit
Plan vision, goals, and objective as
identified in the RTP.
how project addresses Short and
Long Range Transit Plans vision,
the RTP.
Multimodal concepts fully
implemented.
Full connectivity with existing &
planned facilities.
Complete balance between modes
of operation.
Includes a discussion of how the
project relates to all transportation
modes.
Improves multimodal travel without
full integration of modes.
Implements park and ride strategies
for projects involving new freeways,
interchanges, HOV lanes, lane
additions, and transit facilities
Improves all travel modes.
Discusses opportunities and impacts
to current and future transit service.
Connects with existing and planned
facilities.
Some multimodal concepts
implemented or omitted with
reasonable justification.
Considers Park and Ride facilities for
projects involving new freeways,
interchanges, HOV lanes, lane
additions, and transit facilities
Does not negatively impact
multimodal travel.
Multimodal concepts identified but
not discussed.
Incomplete connectivity with current
and planned facilities.
Multimodal concepts not considered.
Negatively impacts other travel
modes.
Non-Motorized
how project addresses District/and or
Regional Bike Plan vision, goals, and
objective as identified in the RTP.
Non-motorized concepts fully
implemented.
Fully integrated with existing and
planned facilities.
Encourages and support alternative
modes.
Addresses non-motorized travel
along and connecting with project.
Lists impacts and opportunity for
non-motorized travel, but does not
provide guidance to ensure modal
integration within the project limits.
Some or all non-motorized concepts
omitted with reasonable justification.
ADA compliant (if applicable).
Connectivity with existing and
planned facilities
Does not negativity impact non-
motorized travel.
Identifies non-motorized issues but
does not identify solutions.
Does not identify opportunities to
enhance non motorized travel.
Non-motorized concepts not
considered.
Cannot meet ADA requirements.
Identified safety impacts but does
address.
If project is inapplicable for this
category it is not stated or addressed
in document.

Page | 50

Aspect
5 4 3 2 1
Attention
Goods Movement
how project addresses State Rail Plan
vision, goals, and objective as
identified in the RTP.
how project addresses GMAP, goals,
and objective as identified in the RTP.
project addresses current and future
modal (GM) deficiencies.
Project looks beyond the immediate
solution to improve other (future)
modal (GM) definiteness
The project implements strategies
identified in the State GMAP and
regional freight plans.
Includes discussion of strategies
identified in GMAP and regional
freight plans, etc. (as applicable).

Project enhances the integration and
connectivity of the transportation
system across and between modes
for freight.
Consistent with the State GMAP,
Transit Plan and Regional Freight
Plans, etc.
Goods movement issues are
identified but are not resolved.
Potential project impacts to GM are
not discussed.
Goods movement issue are not
identified or considered as part of the
project analysis.
Negatively impacts goods
movement.
System Linkage and Policy
(Function that Important)
Project considers capacity and
access management at state,
regional, corridor, and project levels
Project serves as a connecting link
between all systems and modes and
ensures system and modal integration
outside project limits
Full connectivity with existing &
planned facilities.
Complete balance between modes
of operation.
project serves as a connecting link
between all systems and modes and
ensures system and modal integration
outside project limits.
Identifies all transportation systems
project fits into the system(s) within
region.
Full connectivity with existing and
planned facilities.
Improves multimodal travel without
full integration of modes.
Identifies future and current system
linkages and provides guidance to
ensure system and modal integration
within of the project limits.
project fits into the systems within
project area.
Identifies future and current system
linkages, but does not provide
guidance to ensure system and modal
integration within the project limits.
Supports the economic vitality of the
US, State etc by providing
accessibility to all systems.
within project area.
Current & future systems are
identified, but and project is not
consistent.
Incomplete connectivity with current
and planned facilities.
Not consistent with system linkages.
Does not identify all transportations
system within project area.

No consideration of system linkages.
Negatively impacts current and/or
future system(s)
Negatively impacts travel modes.
Cannot meet ADA requirements.
Does not identify transportation
systems within in project area.
System Performance
Project improves current and future
system performance beyond what is
identified in state, local (FP), and
regional plans.
considered and implemented along
the corridor (on-system).
Enhances system performance
within the corridor while providing
modal capacity and access
management.

Enhances the system performance
within project limits and does not
negatively impact travel modes.
Balances system performance
between competing needs (i.e.
commuters and freight) and modes.
Does not degrade safety, mobility
and travel Does this facility serve a
rural, urban, or urbanizing area.
Describes if the facility primarily
serves inter-regional, intra-regional, or
intra-community travel
Provides system continuity (rural,
urban, or urbanizing area).
Does not consider all systems (state,
regional, corridor) when evaluation
project impacts.
Does not identify or address ITS
strategies or components.
Does not consider system
performance when evaluating project
impacts.
Page | 51

Aspect
5 4 3 2 1
Attention
Corridor Preservation &
Management of
Transportation Facilities and
Services
Identifies Statewide and Regional
Intelligent Transportation Architecture and
provides a discussion of how ITS
strategies will be fully implemented
through the project.
Consistent with and supports future
transportation and land use developments
plans.
Enhances and preserves economic grow.
Identifies ITS strategies or components
with solid project link.
Compatible with future transportation and
land use development plans.
Enhances and preserves economic grow.
Compatible with current and future
transportation and land use development
plans.
Identifies ITS strategies with minimal
linkage to project.
Not compatible with current
transportation and land use development
plans.
Identifies ITS strategies or components
without linking to project.
Does not consider future transportation
development plans.
Context Sensitive Solutions
(CSS)
Full consensus between all stakeholders
(public, region, city, CT, etc...) on design.
Design creates community identity.
Design preserves and enhances the
community and environment without
impeding mobility and safety.
All community plans identified with a
detailed discussion of how project fit in.
Design meets the needs of the
community and environment without
impeding mobility and safety.
Project improves community identity.
Project addresses all stakeholder and
public concerns.
All community plans identified with a
discussion of how project fit in.
Project is sensitive to the community and
most critical needs are integrated into the
design.
Community needs are identified but not
addressed within the project design
Community plans identified with minimal
discussion of how project addresses.
Community needs are identified but not
addressed within the project design.
Community plans identified but project is
not consistent.
Community needs are not considered.

Page | 52

EvaluationCriteriaIndex

Page | 53

Design
Aspect
Indexing (reference a policy, manual, standard,
regulation, or practice as specific and reasonable)
Need and Purpose
Need (symptoms) and
Deficiency (what is
broken) clearly and
succinctly stated
Chapter 9 of PDPM page 9-23
Identifying Project Alternatives and Mitigation of Impacts -
Clear Project/ Neutral Statement
Definition and Background Information -
http://www.dot.ca.gov/hq/env/emo/definition_background.htm
Purpose and Need - Why, Who, When, What, How -
http://www.dot.ca.gov/hq/env/emo/4wh.htm
Purpose statement
identifies deficiency and
defines intended outcome
project will address and is
achievable.
Identifying Project Alternatives and Mitigation of Impacts -
Clear Project/ Neutral Statement
Alternatives or
proposed design meet
the expectations stated in
the Need and Purpose?
Chapter 8 page 8-40 - For Discussion of Alternative and
reason given for Selection of the Preferred Alternative.
Identifying Project Alternatives and Mitigation of Impacts
Supporting Evidence
(HDM) Geometric
Index 103 for Design Period

Index 105 for Pedestrian Facilities

Index 201 for Sight Distance Standards

Index 202 for Superelevation Standards

Index 203 for Horizontal Alignment Standards

Index 204 for Grades Standards

Index 205 Road Connections and Driveways

Index 206 for Pavement Transitions Standards

Index 301 for Travel way Standards

Index 302 for Shoulder Standards

Index 303 for Curbs, Dikes, and Side Gutters

Index 304 for Side Sideslopes Standards
Page | 54

Design
Aspect

Index 305 for Median Standards

Index 306 for Right of Way

Index 307 for 2-Lane and Local Road Crossing

Index 309 for Clearance Standards

Index 310 for Frontage Roads

Index 403 for Angle of Intersection,

Index 404 for Design Vehicles

Index 405 for intersection Design

Index 406 for Intersection traffic volumes

Index 501 for Interchange Spacing

Index 504 for Interchange Standards

Index 613.5 for Shoulder Pavement Standards

Index 635.5 for overlay limits

Index 833 for 3 or more Lane and Cross Slope

ASSHTO Roadside Design Guide for roadside Channel/ditch
guidance
DIB
79 - 3R and 2R
80 Roundabouts
81 CAPM
82 - ADA
AASHTO - Local
facilities
AASHTO Green Book
PDPM requirements for
product.
PSR & PSR-PDS - Chapter 9 & Appendix L of PDPM
DPR, PR - Chapter 12 & Appendix K of PDPM
PSSR, etc. - Chapter 12 & Appendix G of PDPM

PDPM requirements for
product.
PSR for new IC - Chapter 27
PSR for Relinquishments Chapter 25
VA compliance - chapter 19
Optimization
HDM 81Design
Philosophy
HDM index 81 - Consult with Maintenance, Right of Way,
Environmental and Operations, evaluations.
Reasonable
Accommodates all users
DP-22 Context Sensitive Solutions
DP-05 Multimodal Alternatives Analysis
DD-64 Complete Streets - Integrating the Transportation
System
HDM index 81.1 Philosophy & 81.6 Design Standards and
Highway Context
HDM index 204.4 Consider All Users
Accommodate future of
facility (beyond design
life)
Project Compatible with plan for route or not prohibit route
evolution to Freeway/ Expressway?
CALIFORNIA CODES STREETS AND HIGHWAYS CODE
SECTION 250-257 http://www.leginfo.ca.gov/cgi-
bin/displaycode?section=shc&group=00001-01000&file=250-
257
Page | 55

Design
Aspect

Caltrans Goals -
STEWARDSHIP -
Preserve and
enhance California's
resources and assets
A new structure will last 75 to 100
years, It needs to be built such that it
does not prohibit future growth of the
system beyond 20 years design
period. Waste of resources to remove
a high capital expenditure is at 50%
its life.
We know if we put in a tight diamond
IC where there is little development,
when traffic has developed to the
point were more IC is needed, thing
will be developed to the point a Parcel
clover leaf or other can't be used (too
much impact). Is project choosing a
cheaper alternative, rather what will
be best in the future?
Compatibility/Consistency
with adjacent facility
HDM 203.3 Horizontal Alignment Consistency
HDM 203.3 Horizontal and Vertical Alignment Consistency
HDM 204.6 Coordination of Horizontal and Vertical Alignment
If project changing the "type" for facility, does it provide a
transition area. Change such: as 2-conv to 4-exp, high speed
2-con to urban complete street, Freeway to conventional.
Appendix K-Project Report Template- PDPM
Driver Expectation/
standard practice
Freeway-Freeway connector first connector takes to Right on
the facility and the second takes you left.
Does the decisions/moves that traveling public are required to
make: make since, follow a known pattern, logical, etc
HDM 203.3 Horizontal Alignment Consistency
HDM 203.3 Horizontal and Vertical Alignment Consistency
HDM 204.6 Coordination of Horizontal and Vertical Alignment
Appendix K-Project Report Template- PDPM

Page | 56

Project Management
Aspect
Cost Management
Support Cost Estimate
Deputy Directive (DD)-23-R1, DD-34-R1/DD 93 Project
Management Directive (PMD) 014, 018, and 019, and Project
Development Procedures Manual (PDPM) Chapters 9, 12, 13,
16
Support Cost Component
Estimate
DD-23-R1, DD-34-R1/DD 93 PMD 014, 018, and 019 and
PDPM Chapters 9, 12, 13, 16
IQA Support Cost Estimate
DD-23-R1,DD-34-R1 DD-90, PDPM Chapter 9, 12, 13, 16
Programmed Support Cost
DD-34-R1/DD 93 PMD 014, 018, and 019 and PDPM
Chapters 9, 12, 13, 16
Forecast Support Cost Estimate
at Completion
DD-23-R1, DD-34-R1/DD 93 PMD 014, 018, and 019, and
PDPM Chapters 9, 12, 13, 16
Support Cost Performance Index
(CPI) -- Earned Value
If Earned Value Calculation available. (Applicable if Earned
Value Calculation available).
Construction Capital Cost
Estimate
PDPM Chapter 9, 12, 13, 16, and 20 and PMD 014, 018, and
019
Right of Way Capital Estimate
019
Environmental Capital Estimate
019
Programmed Construction
Capital
019
Programmed Right of Way
Capital
019
Construction Capital Forecast
019
Right of Way Capital Forecast
019
Schedule Management
Workplan Schedule (Planning)
DD-34-R1/DD 93 PMD 004R/PMD/018/PMD019
Programmed Schedule
Forecast Schedule and Progress
Schedule Performance Index
(SPI) -- Earned Value
If Earned Value Calculation available. Applicable if Earned
Value Calculation available.

Page | 57

Project Management
Aspect
Optimization
Approved Scope of Work
Chapters 9, 12, 13, 16
Cooperative Agreement
Chapters 9, 12, 13, 16
Programmed Scope
PDPM Chapter 9 & 12 and PMC 018/PMD 019
Independent Quality Assurance
for Scope (For projects performed by
Local Agency -- Not Applicable if work is
performed by Caltrans)
DD-23-R1and PDPM Chapters 9, 12, 13, and 16 and PMD
004R.
Programmed Schedule
PDPM Chapter 9 & 12
Oversight
DD-90 and DD-23, PDPM 16

Page | 58

Structure Design
Aspect
Indexing (reference a policy, manual, standard, regulation,
or practice as specific and reasonable)
Reports/Approvals/
Recommendations

Signatures
Bridge Design Details (BDD) 1-12
Foundation Reports
Memo To Designer (MTD) 1-35, MTD Sec3, MTD Sec 4, Bridge
Design Aids (BDA) 15-3 to 15-6, MTD 5-20
Hydraulic Reports
MTD1-46
Retrofit Evaluation Report
(widening)

Documents/Specifications/
Standards
AASHTO LRFD and CA Amendment, SDC- Seismic Design Criteria,
Xs Sheets, MTD, BDD, BDA, BDD 1-16, Standard Plans and Standard
Specifications
AASHTO LRFD and CA
Amendments
CA Seismic Design Criteria
Bridge Memo To Designers
Structural System

Structure Type
BDA-Section 6 ,7 and 10, MTD 1-29, MTD 21-35
Foundation Type
MTD3-1, MTD 4-1, BDA Sec2&12(piles),15-2,15-3, BDD sec5
Structural element capacity
BDA Sec 13(columns), MTD Sec6, MTD Sec10
Skew
BDA, 5-31, Sec.5
Prestressing/Post-tensioning
MTD Sec11, BDA-Sec6, BDD Sec14 and BDD Sec9
Camber
BDD 9-20, MTD 12-3(steel)
Hinges
BDA 14-1, MTD 11-34, MTD
Profile Grade, Super Elevations,
Contours
BDD 4-1
Retrofit
BDA 14-2 to 14-5
Widening
MTD 20-12, MTD Sec 9
Seismic Specific Considerations(
Relative Column size, seat widths, ductile
members)
MTD Sec 20
Earth Retaining Systems
MTD Sec 5
Detailing Standards

Sheet Layout and order
MTD 1-47, BDD, MTD 20-5, BDD Sec1
Reinforcement Details
MTD Sec10, BDA 5-89, BDD sec13, BDD Sec10
Dimension Style & Consistency
BDD1-4
Seismic Specific Elements
(Ultimate and Service splice, Plastic Hinge
location)
MTD 20-9
Existing structures (Widening, etc.)
BDA 5-81, MTD Sec 7, MTD 8-5
Pay Limits Identified
BDA sec11
Staging Sequences
MTD 8-6, MTD 8-7, MTD 14-19, MTD 20-2, MTD Sec21
Clearances

Horizontal
Bridge Design Practice (BDP) Pg10-3& Fig 10.3
Vertical
BDA Chp10, Fig 10-2&10-3
Page | 59

Structure Design
Aspect
Indexing (reference a policy, manual, standard, regulation,
or practice as specific and reasonable)
Falsework
BDA, Chp10, table 10-2
Railroad
BDA 10-4, MTD 17-105 and MTD 17-115 and Railroad Guidelines,
BDD 12
Optimization
Consistency w/Specs
BDA 11, Standard Plans, Standard Specifications
Order of work
Work items
Consistency w/Road Plans
MTD , BDA and Standard Plans
Risk Identified

Existing Structures
Existing utilities
Hazardous materials

Page | 60

Right of Way
Aspect
Right of Way Minimization & Compliance
R/W Defined Scope (sufficient
lead time, scope reflected in the
data sheet)
Right of Way Manual - Chapter 4, Ready To List Guide -
Use of Mitigation Compliance Cost Estimate (MCCE) Form.
R/W Defined Scope (sufficient
lead time, scope reflected in the
data sheet)
PDPM - Chapter 9 Article 4 Chapter 10 Section 4, Chapter 29
2,Chapter 2 Article 2;
Right of Way Manual - Chapters 3 & 4;
Ready To List Guide - 1.3.2,
Layout Sheets/Plan
Sheets/Mapping (mostly
applicable in PS&E)
Plan Preparation Manual Chapter 2 2-2.13 - Utility Facilities,
Chapter 4 4.2- Cost Estimate Mapping, 4.2.2 Map
requirements
Mitigation
PDPM Chapter 2 Article 2, Chapter 9 Article 4, Chapter 10
4, Chapter 29 2,
Right of Way Manual - Chapters 3 & 4;
Ready To List Guide - 1.3.2,
Utilities
Project Development Procedures- Appendix LL;
Right of Way Manual- Chapter 13;
Plan Preparation Manual 2

Page | 61

Environmental
Aspect
Indexing (reference a policy, manual, standard, regulation, or practice
as specific and reasonable)
Purpose and Need
Aspect Key Reference Materials Link(s)
Capacity,
Congestion,
Transportation,
Demand, & Safety
Various standards. TCR would contain Concept
LOS. Safety Index. Project specific traffic studies.
STRAIN to identify bridge needs.

Pavement Indices:
http://www.dot.ca.gov/hq/oppd/hdm/pdf/chp0610.pdf

1)
http://www.dot.ca.gov/ser/downloads/
templates/ao/is_ea_ao.docx 2)
templates/ao/eir_ea_ao.docx, 3)
templates/ao/nepa_eis_ao.docx
Roadway
Deficiencies
Project specific. Should follow guidelines for design
exceptions where applicable:
PDPM Chapter 21
http://www.dot.ca.gov/hq/oppd/pdpm/chap_pdf/chapt
21.pdf

1)
templates/ao/eir_eis.docx, 4)
templates/ao/nepa_ea_ao.docx, and
5)
Social Demands
or Economical
Development
Varies per project. May be within a general plan or
other planning document.
1)
5)
Legislation
Varies per project. Depends on specific legislation
guiding a project.
1)
5)
Modal
Interrelationship
and System
Linkages
This and many of the items on the list come straight
out of the technical advisory from FHWA:

http://www.dot.ca.gov/ser/vol1/sec1/ch1fedlaw/TA66
40.txt

1)
5)
Air Quality
Improvements

1)
Page | 62

Environmental
Aspect
5)
Independent
Utility
1) 23 CFR 771.111 [f], 2)
http://www.environment.fhwa.dot.gov/
guidebook/vol2/doc12a.pdf
Logical Termini
1) 23 CFR 771.111 [f], 2)
guidebook/vol2/doc12a.pdf

The Federal Highway Administration
(FHWA) regulations outline three
general principles at 23 CFR
771.111(f) that are to be used to
frame a highway project:
In order to ensure meaningful
evaluation of alternatives and to
avoid commitments to transportation
improvements before they are fully
evaluated, the action evaluated in
each environmental impact statement
(EIS) or finding of no significant
impact (FONSI) shall:
1. Connect logical termini and be of
sufficient length to address
environmental matters on a broad
scope;
2. Have independent utility or
independent significance, i.e., be
usable and be a reasonable
expenditure even if no additional
transportation improvements in the
area are made; and
3. Not restrict consideration of
alternatives for other reasonably
foreseeable transportation
improvements.
http://www.dot.ca.gov/ser/vol1/sec1/c
h1fedlaw/Termini.pdf

"Under Section 6005, EAs have been
divided into two categories: complex
EAs and routine EAs. Complex EAs
are defined as those EAs that have
complex issues or impacts in that
they may include multiple location
alternatives, debate related to
purpose and need, strong public
controversy, issues related to logical
termini or independent utility,"
http://www.dot.ca.gov/ser/vol1/sec4/c
h31ea/chap31ea.htm

Also, PDPM page 8-23, logical limits
of the project are a key function of the
PDT team.
Page | 63

Environmental
Aspect
Purpose and
Need Statement
The Council on Environmental Qualitys (CEQ)
regulations for implementing the National

Environmental Policy Act (NEPA) mandates that
Chapter 1 of an Environmental Impact

Statement (EIS) or Environmental Assessment (EA)
discuss the purpose of and need for action (CEQ
Regulations, Section 1502.13).

The California Environmental Quality Act (CEQA)
requires a statement of objectives sought by the
proposed project, including the underlying purpose
of the project (CEQA Guidelines,
Section 15124(b)).
http://www.dot.ca.gov/hq/env/emo/purpose_need.ht
m
http://www.dot.ca.gov/hq/oppd/design/DD-83.pdf

http://www.dot.ca.gov/hq/oppd/pdpm/chap_pdf/chapt
08.pdf

1)
http://environment.fhwa.dot.gov/guide
book/Gjoint.asp
2

general/PN_Report.pdf,3)
projdev/tdmneed.asp,4)
http://environment.fhwa.dot.gov/projd
ev/impTA6640.asp, 5)
http://www.dot.ca.gov/hq/oppd/pdpm/
chap_pdf/chapt10.pdf, 6)
guidebook/Ginterim.asp, 7)
http://www.dot.gov/execorder/13274/
workgroups/purposeneed.htm, 8)
Environmental Commitments, Minimization, & Compliance
Environmental
Impacts: Level of
Impact (Based on
Review both
Design Product
and
Environmental
Document)
PDPM Chapter 12
Contents of Project
Reports/Consistency with
Environmental Document:

http://www.dot.ca.gov/hq/oppd/p
dpm/chap_pdf/ch12.pdf

Environmental
Impacts:
Displayed in
Design Document
PDPM Chapter 12
Contents of Project


Scope
Consistency
PDPM Chapter 12
Contents of Project

Page | 64

Environmental
Aspect
Air Quality
Conformity
PDMPM Chapter 11
PDPM Chapter 10
PDPM Chapter 1
Air Analysis:
http://www.dot.ca.gov/ser/vol1/s
ec3/physical/ch11air/chap11.htm

PDPM (page 10-11) on
Conformity
dpm/chap_pdf/chapt10.pdf
PDPM (page 1-32, 1-33)
Conformity and RTPs
dpm/chap_pdf/chapt01.pdf

Purpose & Need
Consistency

See Purpose and Need
guidance above.

Page | 65

Office Engineer
Aspect
Construction Contract Standards Compliance Office Engineer
Plans Standards Compliant
CADD Manual

Plan Preparation Manual
Standard Plans (NSP)
Specifications Standard Compliant
Specification Style Guide

Guide to Standard Specifications

Ready To List (RTL) Guide
Estimate Standards Compliant
BEEs requirements

RTL Guide
PLACs compliance
RTL Guide
System Process Requirements
RTL Guide

Page | 66

Construction
Aspect
Indexing (reference a policy, manual, standard, regulation, or
practice as specific and reasonable)
Protective Features
Construction Access Standard Specifications (SS) Section 12 Temporary Traffic Control
TMP Elements SS 12 Temporary Traffic Control
Traffic Handling Plan SS 12-4 Maintaining Traffic
Staging SS 8 Prosecution and Progress
Ability to Meet OSHA
Requirements
SS 7-1.02K(6) OSHA Standards
Lead compliance plan SS 7-1.02K(6)(j) Confined Space Safety
Confined places SS 7-1.02K(6)(d) Confined Space Safety
Hazardous materials SS 13 Water Pollution Control
Air quality SS 14-9.01, 18-1.01, AIR QUALITY
High Risk Facilities/Utilities SS 5-1.36D Non-highway Facilities
Trenching & Shoring SS 1.02K(6) OSHA, SS 15 Existing Facilities, Earthwork, 48
Temporary Structures, Trenching and Shoring Manual
Falsework SS 7-1.04 Public Safety, 12 Temporary Traffic Control, 48-2
Falsework
Detour Safety SS 7 Legal Relations and Responsibility to the Public, 12
Temporary Traffic Control, SS 15 Existing Facilities,
Minimize Night Work SS 7 Legal Relations and Responsibility to the Public, 12
Temporary Traffic Control,
Construction methods SS 9 Payment, SS 83-2.02D(3) Construction Methods
Construction Contract Standard Compliance
R/W Access SS 7-1.03 Public Convenience, 7-1.04 Public Safety
Permits Available/In Contract SS 5-1.020B Permits, Licenses, Agreements, and Certifications, SS
14 Environmental Stewardship
Non-conflicting Permit
Windows
SS 5 Control of Work, SS 8 Prosecution and Progress, SS 13
Water Pollution Control, 14 Environmental Stewardship
Subsurface Information
Complete
SS 2 2-1.30 Job Site And Document Examination, 8 Prosecution
and Progress, 49 Piling, 68 Subsurface Drains, 1 General, 86b
Electrical Systems
Adequate Work Windows 8 Prosecution and Progress
Available Materials Sources SS 2 Bidding, 4 Scope of Work, 5 Control of Work, 6 Control of
Materials, 7 Legal Relations and Responsibility to the Public
Complete Materials
Information Package
SS 6 Control of Materials
Page | 67

Construction
Aspect
Indexing (reference a policy, manual, standard, regulation, or
practice as specific and reasonable)
Staging Design Complete SS 8 Prosecution and Progress
Working Days Accurate SS 5 Control of Work, 8 Prosecution and Progress, 9 Payment
Accurate Pay Clause and
Quantities
SS 1 General, 2 Bidding, 9 Payment,
Liquidated Damages,
Incentives, Lane Rental
Reasonable
SS 8-1.10 Liquidated Damages, 9 Payment, 7 Prosecution and
Progress
Constructible
Subsurface Work Strategy SS 2 2-1.30 Job Site And Document Examination, 8 Prosecution
and Progress, 49 Piling, 68 Subsurface Drains, 1 General, 86b
Electrical Systems
Aerial Clearances 12 Temporary Traffic Control, SS 15 Existing Facilities, Temporary
Structures
Material Handling & Staging SS 2 Bidding, 4 Scope of Work, 5 Control of Work, 6 Control of
Materials, 7 Legal Relations and Responsibility to the Public
Traffic Control & Handling
Criteria
SS 12 Temporary Traffic Control
Permit Restrictions SS 5-1.020B Permits, Licenses, Agreements, and Certifications, SS
14 Environmental Stewardship
Working Day/Schedule
Analysis
SS 5 Control of Work, 8 Prosecution and Progress, 9 Payment
Utility Relocated SS 5-1.36D Non-highway Facilities
R/W Construction Easements SS 7-1.03 Public Convenience, 7-1.04 Public Safety
Fabrication/Submittal Lead
Time
SS 11 Quality Control and Assurance, 24 through 95 with sub-
section on Submittals.

Page | 68

Structure Construction
Aspect
Constructible
Subsurface Work Strategy Foundation Manual (Chapter 1 Foundation Investigation,
Chapter 2 Type Selection, Chapter 3 Contract Administration),
Foundation Report, Geotech report, Standard spec(Sec. 19-3
earthwork, Sec. 46 Ground Anchors and soil Nails 46-2.03
Construction, Sec. 49 Piling, Sec 51 Concrete Structure),
Standard plans(Sec B2-3,5,8,9,10 and 11), Trenching and
Shoring Manual, Bridge Construction Record and
Procedure,(BCRAP) (sec.130, Foundation)
Traffic Control/Handling Criteria Traffic control manual, Construction Manual (Sec 2. Safety
and Traffic), Standard Plan(Temporary Traffic Control
Systems T10 ~ T17), BCRAP 2-11.0-1, Notice of Impaired
Clearance
Permit Restrictions Construction Manuals, RE's pending file, BCRAP 2-10.0
Utility Conflicts
Construction Operation laydown area
Stage construction Traffic handling , Memo to Designers, MTD 1-11, MTD 9, MTD
Sec 14, Bridge Design Aid, BDA 10-3 ~ 10-8.
Structure Type
Bridge Design Aids Section 10,Bridge Design Specifications,
MTD, Section1-29
Materials/Fabrication Special Provisions, AWS codes, Standard specs and plans,
AISD manuals, Steel manuals, concrete manuals, Building
Construction manual, Construction Manual Chapter 4-49
Piling, 4-50 Prestressed Concrete, 4-51 Concrete Structure, 4-
52 Reinforcement, 4-53 Shortcrete, 4-55 Steel Structure
Structure/Roadway compatibility Highway Design Manual, Plan Preparation Manual, Ready to
List Guide
Bridge Specs and Details Standard Spec(Div I ~ III, VI,VIII, X, XI) and Standard
Plans(Excavation & Backfill, Box Culvert, Bridge Details, Piles,
Retaining Walls, T-beam Details, Joint Seals, Deck Drains,
Utility Opening, CIP P/S Girder, Bridge Concrete Barriers,
Bridge Metal Rail Barriers, Structural Steel Plate Vehicular
Undercrossing, Communication and sprinkler control
Conduits(bridge), Water Supply Line(bridge), Sound Walls,
Overhead Signs(truss), Overhead Signs(tubular), Overhead
Sign(lightweight)), Bridge Standard Detail Sheet April 2000.
Removal operations Standard Special Provision(Bridge Removal), BCRAP
manuals(124 Demolition)

Page | 69

Traffic Operations
Aspect
Protective Features
Clearances HDM, Ramp Meter Design Manual, Standard Plans
Sight Distance HDM
Historical Analysis TASAS, Traffic Manual
Traffic Control / Handling Criteria MUTCD, CVC, Traffic Manual, Standard Plans
Safety Features Traffic Manual, MUTCD, CVC, Traffic Operations Policy
Directives
Design Standard compliance
MUTCD Signing MUTCD, CVC
MUTCD Markings MUTCD, CVC
Temporary Traffic Control (Staging
Plans only)
MUTCD, CVC, Traffic Manual, Standard Plans
Electrical Design Traffic Manual, Signal, Lighting & Electrical Systems Design
Guide
Operational Studies CVC, Highway Capacity Manual, Traffic Bulletins, Ramp
Meter Design Manual, Managed Lane Design TOPD 11-02,
HOV guidelines, Standard Plans
Bike/Ped Expectations (revised) Local bike/Ped plan, MUTCD, Complete Intersections,
Complete Streets Implementation Action Plan, Pedestrian and
Bicycle facilities in California
TMP Elements Transportation Management Plan Guidelines
ITS Elements Traffic Manual, HOV Guidelines, Managed Lane Design
TOPD 11-02, Ramp Meter Design Manual

Page | 70

Maintenance
Aspect
Protective Features
Maintenance Road Access HDM CP 100, Sec. 107.2 (Maintenance, Police); MVP
Roadside Feature Access HDM CP 700, Sec. 701.2 (Fences), CP 900, Sec. 902.1
(Maintenance Rd. Access);304.1 Sideslopes; 304.2 catch point
to R/W;
1) Vegetation Control - Reduce Recurring Maintenance
Memorandum, January 2, 2007?
2) New Design for Safety Practices - Roadside Paving
(Alleviate Maintenance Concerns), September 30, 1998?
3) Cal OSHA Rules and Regulation

OSHA Requirements (needs
description)
Confined Space Regulation Requirement T8 CCR, Article 108,
Sec. 5156-5158
1) Occupational Safety & Health Act (Means of Egress,
Protection on the job)
Bridge Access
1) ABME Structure Maintenance Procedures Manual
2) Bridge Inspector's Reference Manual
3) Memo to Designers 12-7, Catwalks on Steel Bridges,
August 2004
Worker Exposure HDM CP 200. Sec. 210.6 (Hand Rail), Chapter 8, "Protection of
Workers" of the Maintenance Manual
Workers", of the Maintenance Manual
1) Maintenance Manual Volume I, Chapter 7 - Traffic Control,
Safety and Convenience of Traffic
2) Maintenance Manual Volume I, Chapter 8 Protection of
Workers
3) Code of Safe Operation Practices
4) Division of Human Resources, Safety Manual
5) Safety Bulletin - Electrical Safety - Part 1 and 2
6) Safety Bulletin - Guardrail Protection, January 200
Maintainable
Corridor Consistency 1) Deputy Directive, DD-31, Protection of Scenic Corridors,
December 15, 1994
Roadside Features HDM CP 800, Sec. 823.2 (drainage pipe slopes)
1) Maintenance Manual Volume I, Chapter C5 - Drainage
Facilities, Fences, and Roadside Appurtenances
2) Maintenance Manual Volume I, Chapter D1 - Litter, Debris,
and Graffiti
3) Maintenance Manual Volume I, Chapter F - Maintenance
Storm Water Management Program
4) Maintenance Manual Volume I, Chapter G - Public Facilities
Page | 71

Maintenance
Aspect
Landscape Features HDM CP 900 Sec. 902.1 (HWY Planting Std, Guide), 902.3
(Planting Guidelines) 902.4 (Irrigation. Guidelines)
1) Maintenance Manual Volume I, Chapter C2 - Vegetation
Control
2) Maintenance Manual Volume I, Chapter E - Landscaping
3) Deputy Directive, DD 03/04-02, Vegetation Control, October
5, 1992
Pavement Strategy HDM CP 600, Sec. 618.1
1) Maintenance Technical Advisory Guide (MTAG)
2) Pavement Condition Survey Manual
3) Maintenance Manual Volume I, Chapter A - Flexible
Pavement
Electrical Access HDM CP 700, Sec. 706.1 (Roadside Management)
Maintenance Manual Volume I, Chapter K - Electrical
Mechanical Access Access for Pumping Plant HDM CP 800, Sec. 839.5
1) Safety Bulletin - Definition of a Confined Space, October
2001
Bridge & Structure Access CP 800, Sec. 822.1 (Drainage Access)
1) Maintenance Manual Volume I, Chapter H - Bridges
2) Maintenance Manual Volume I, Chapter J1 - Tunnels,
Tubes, Ferries, and Pumping Plants
3) Maintenance Manual Volume I, Chapter J2 - Drawbridge,
Tunnel, Tube, and Ferry Operations
4) ABME Structure Maintenance Procedures Manual
5) Memo to Designers 18-3 Supply Lines, Communication and
Sprinkler Control Conduit on Bridges, Dec 1990
6) Memo to Designers 7-10 Bridge Deck Joint Rehabilitation
Projects, September 1994
Inventory Resources IMMS
1) IMMS (database system)
2) Maintenance Manual Volume I, Chapter 10 - Maintenance
Management
3) Division of Transportation Systems Information - Highway
Performance Monitoring System (HPMS)
4) Division of Transportation Systems Information - Highway
System Engineering Data (HSEB)

Page | 72

Planning
Aspect
Indexing (reference a policy, manual, standard, regulation, or practice as
specific and reasonable)
Statewide Plan
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 771.105(b), 420, 450.200, 450.206 (a 1-8), 450.214 & 450.216 (k);
American Disability Act (ADA) of 1990;
CA Gov Code Sections 4450 et seq. (ADA), 65086 (Planning);
AB 32 Global Warming Solutions Act & SB 391 California Transportation Plan;
DD-23-R1 Roles & Responsibilities for Development of Projects on the SHS, DD-
31 Protection of Scenic Corridors, DD-34-R1 Program and Project Management for
Capital Outlay Projects, DD-64-R1 Complete Streets, DD-62-R1 The Ten-Year State
Highway Operation and Protection Program (SHOPP) Plan, DD-83 Project Purpose
and Need;
DP-05 Multimodal Analysis, DP-08 Freeway System Management, DP-09 New
Technology Implementation, DP-11 Caltrans Workforce, DP-14 Quality in Caltrans,
DP-19 Working with Native American Communities, DP-21 Environmental Justice,
DP-23-R1 Energy Efficiency, Conservation, and Climate Change, DP-26 Intelligent
Transportation Systems;
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 4 pages (6-14), Ch. 8 pages (5-
6, 10-12), Ch. 9 pages (11-16);
Tools: California Transportation Plan (CTP), California Rail Plan, Interregional
Transportation Strategic Plan (ITSP), California Aviation System Plan, Goods
Movement Action Plan (GMAP), California Strategic Highway Safety Plan, the State
Transit Plan, District System Management Plans (DSMPs), Transportation System
Development Programs (TSDPs), Corridor System Management Plans (CSMPs),
Transportation Concept Reports (TCRs), Transportation Management System
(TMS) Master Plans, Interim Guidance on Incorporating Sea Level Rise, Regional
Transportation Plans (RTPs), and California Interregional Blueprint (CIB).
System
Planning
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 420, 450.200, 450.206 (a 1-8), 450.214 & 450.216 (k) & 40 CFR Parts
1500 et seq.;
CA Gov Code Section 65086 (Planning);
Capital Outlay Projects, DD-60-R1 Transportation Management Plans, DD-64-R1
Complete Streets, DD-62-R1 The Ten-Year State Highway Operation and Protection
Program (SHOPP) Plan, DD-83 Project Purpose and Need;
DP-05 Multimodal Analysis, DP-08 Freeway System Management, DP-09 New
Technology Implementation, DP-10 Department Commitments, DP-11 Caltrans
Workforce, DP-14 Quality in Caltrans, DP-19 Working with Native American
Communities, DP-21 Environmental Justice, DP-23-R1 Energy Efficiency,
Conservation, and Climate Change, DP-26 Intelligent Transportation Systems;
Page | 73

Planning
Aspect
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 4 pages (6-14), Ch. 8 pages
(5-6, 10-12, 23-30, 40-41, 46-49), Ch. 9 pages (11-16, 24-26, 28-30);
Tools: CSMPs, TCRs, DSMP, TSDP, Purpose and Need - Why, Who, When, What,
How - http://www.dot.ca.gov/hq/env/emo/4wh.htm, and the MPR.
Regional
Planning
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 771.105(b), 420, 450.200, 450.206 (a 1-8), 450.214 & 450.216 (k), & 450
& 40 CFR Parts 1500 et seq.;
AB 32 Global Warming Solutions Act & SB 375 Sustainable Communities and
Climate Protection Act of 2008;
CA Gov Code Section 65080, 65086 (Planning);
34-R1 Program and Project Management for Capital Outlay Projects, DD-46
External Advisory Committees, DD-83 Project Purpose and Need;
DP-04 Environmental Policy, DP-06 Caltrans Partnerships, DP-07 Project Delivery,
DP-08 Freeway System Management, DP-09 New Technology Implementation, DP-
10 Department Commitments, DP-19 Working with Native American Communities,
DP-21 Environmental Justice, DP-23-R1 Energy Efficiency, Conservation, and
Climate Change, DP-26 Intelligent Transportation Systems;
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 8 pages (5-6, 10-12, 23-30, 40-
41, 46-49), Ch. 9 pages (11-16, 28-30);
Tools: RTPs, General Plans & Zoning Plans, Community Plans, Capital
Improvement Program (CIP), Congestion Management Plan (CMPs), Regional
Blueprint Plans, and Sustainable Community Strategies (SCS).

Air Quality
23 USC 134, 135 & 49 USC 5303, 5304;
42 USC 7506((c)) Clean Air Act;
40 CFR 93.216, 93.127, 93.218 & 23 CFR 450.200, 450.206 (a)(5), 450.208 (b);
Clean Air Act of 1990 and subsequent amendments;
AB 32 Global Warming Solutions Act, SB 375 Sustainable Communities and
Climate Protection Act of 2008, & SB 391 California Transportation Plan;
External Advisory Committees;
DP-04 Environmental Policy, DP-07 Project Delivery, DP-08 Freeway System
Management, DP-23-R1 Energy Efficiency, Conservation, and Climate Change, DP-
26 Intelligent Transportation Systems;
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 4 pages (6-14), Ch. 8 pages
(5-6, 10-12, 40-41), Ch. 9 pages (11-16, 30);
Tools: Climate Action Plans, Air Quality Conformity, Climate Change, RTPs, CMPs,
SCS, and Regional Blueprint Plans.
Page | 74

Planning
Aspect
Multimodal
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.200, 450.208 (a1-8) & (g), 450.214;
Sections 1502.13 & 1502.14; CEQA 15124(b);
28 CFR 35.102 (ADA);
CA St & Hwy Code Sections 146.5 (Park & Ride);
CA Vehicle Code (CVC) Sections 21200-21212, 21960 (Bikes);
External Advisory Committees, DD-60-R1 Transportation Management Plans, DD-
64-R1 Complete Streets, DD-83 Project Purpose and Need,DD-98 Integrating Bus
Rapid Transit into State Facilities;
DP-05 Multimodal Analysis, DP-07 Project Delivery, DP-09 New Technology
Implementation, DP-08 Freeway System Management, DP-11 Caltrans Workforce,
DP-14 Quality in Caltrans, DP 27, DP-23-R1 Energy Efficiency, Conservation, and
Climate Change, DP-26 Intelligent Transportation Systems, DP-27 Bus Rapid
Transit Implementation Support;
6, 10-12, 26-30, 40-41, 48-49, 54-59), Ch. 9 pages (11-16, 24-30);
Tools: RTPs, Long and Short Range Transit Plans, Rail Plans, DSMPs, TSDPs,
TCRs, and CSMPs.
Non-Motorized
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.200 & 450.208(a)(1-8);
CEQ Sections 1502.13 & 1502.14; CEQA 15124(b);
28 CFR 35.102 (ADA);;
CA St & Hwy Code Sections 890-894.2 (Bikes);
CVC Sections 21200-21212, 21960 (Bikes);
External Advisory Committees, DD-64-R1 Complete Streets;
DP-05 Multimodal Analysis, DP-07 Project Delivery, DP-08 Freeway System
Management, DP-09 New Technology Implementation, DP-11 Caltrans Workforce,
DP-14 Quality in Caltrans, DP-23-R1 Energy Efficiency, Conservation, and Climate
Change;
6, 10-12, 23-30, 40-41, 48-49, 54-55, 57), Ch. 9 pages (11-16, 24-30);
Tools: District and regional bicycle plans, equestrian plans, trail plans, specific
plans, pedestrian plans, RTPs, general plans, and community plans.
Goods
Movement
23 COF 450.206 (a)(4)(6);
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 771.105(b), 450.200, 450.208 (a)(1-8);
Page | 75

Planning
Aspect
DP-08 Freeway System Management, DP-14 Quality in Caltrans, DP-23-R1
Energy Efficiency, Conservation, and Climate Change, DP-26 Intelligent
Transportation Systems, DP-11 Caltrans Workforce;
41, 48-49), Ch. 9 pages (11-16, 24-26, 28-30);
Tools: State & regional freight studies, DSMP, TSDPs, TCRs, CSMPs, RTPs,
GMAP, and RTPs.
System
Linkage and
Policy
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.206 (a)(1-8);
CA St & Hwy Code Sections 230 to 635, 890-894.2 (Bikes), 146.5 (Park & Ride);
CVC Sections 21655.6 (HOV), 21960 (Bikes);
DD-31 Protection of Scenic Corridors, DD-34-R1 Program and Project
Management for Capital Outlay Projects, DD-46 External Advisory Committees, DD-
60-R1 Transportation Management Plans, DD-62-R1 The Ten-Year State Highway
Operation and Protection Program (SHOPP) Plan, DD-64-R1 Complete Streets, DD-
83 Project Purpose and Need, DD-98 Integrating Bus Rapid Transit into State
Facilities;
DP-05 Multimodal Analysis, DP-06 Caltrans Partnerships, DP-08 Freeway System
Management, DP-09 New Technology Implementation, DP-11 Caltrans Workforce,
DP-14 Quality in Caltrans, DP-23-R1 Energy Efficiency, Conservation, and Climate
Change, DP-26 Intelligent Transportation Systems, DP-27 Bus Rapid Transit
Implementation Support; PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 4
pages (6-14), Ch. 8 pages (5-6, 10-12, 23-30, 40-41, 48-49, 55-69), Ch. 9 pages
(11-16, 24-26, 28-30);
Tools: State & regional freight studies, STAA, NHS, DSMP, TSDPs, TCRs, CSMPs,
RTPs, GMAP, MPR, 2011 Ramp Metering Development Plan, HOV plans, TMS
Master Plan, State Intelligent Transportation (ITS) Architecture, and Regional ITS
Architectures.
System
Performance
23 USC 134, 135 & 49 USC 5303, 5304;
46 External Advisory Committees, DD-60-R1 Transportation Management Plans,
DD-62-R1 The Ten-Year State Highway Operation and Protection Program
(SHOPP) Plan, DD-83 Project Purpose and Need;
DP-06 Caltrans Partnerships, DP-08 Freeway System Management, DP-09 New
Transportation Systems
41, 46-49, 55-69), Ch. 9 pages (11-16, 24-26, 28-30);
Page | 76

Planning
Aspect
Tools: MPR, TCRs, CSMPs, TMS Master Plan, State ITS Architecture and Regional
ITS Architectures.
Corridor
Preservation &
Management of
Transportation
Facilities &
Services
23 USC 134, 135 & 49 USC 5303, 5304;
Capital Outlay Projects, DD-46 External Advisory Committees, DD-60-R1
Transportation Management Plans, DD-62-R1 The Ten-Year State Highway
Operation and Protection Program (SHOPP) Plan, DD-83 Project Purpose and
Need;
DP-04 Environmental Policy, DP-08 Freeway System Management, DP-09 New
Transportation Systems, DP-27 Bus Rapid Transit Implementation Support (BRT)
PDPM Ch. 1 pages (20-39), Ch. 3 page (3-4), Ch. 4 pages (6-14), Ch. 8 pages (5-
6, 10-12, 23-30, 40-41, 46-49, 55-69), Ch. 9 pages (11-16, 24-26, 28-30);
Tools: MPR, TMS Master Plan, HOV plans, TCRs, and CSMPs.
Context
Sensitive
Solutions (CSS)
23 USC 134, 135 & 49 USC 5303, 5304;
28 CFR 35.102;
CA St & Hwy Code Sections 146.5 (Park & Ride), 890-894.2 (Bikes);
CVC Sections 21200-21212 (Bikes);
Capital Outlay Projects, DD-46 External Advisory Committees, DD-64-R1 Complete
Streets, DD-83 Project Purpose and Need;
DP-04 Environmental Policy, DP-05 Multimodal Analysis, DP-06 Caltrans
Partnerships, DP-07 Project Delivery, DP-08 Freeway System Management, DP-10
Department Commitments, DP-11 Caltrans Workforce, DP-14 Quality in Caltrans,
DP-22 Context Sensitive Solutions, DP-28 Title VI of the Civil Rights Act of 1964 and
Related Statutes;
41, 48-49, 54-55, 64-66), Ch. 9 pages (11-16, 24-30), Ch. 22-Community
Involvement, Ch. 10 pages (10-13);
Tools: Project communication plan, project charter, community plans, TCRs,
special studies, RTPs, and SCS.
Purpose and Need
Communication
/ Information
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.212 ((a)1-5);
CEQ Sections 1502.13 & 1502.14;
Case law: North Buckhead Civic Association v. Skinner, 903 F. 2d 1533 (11th Cir.
1990);
CEQA 15124(b);
Page | 77

Planning
Aspect
Caltrans Project Management Handbook, 10-2007 5th ed., Project Communication
Handbook 9-2007 2nd ed., Project Charter; Guide to Capital Project Delivery Work
plan Standards, 10 - 2009;
34-R1 Program and Project Management for Capital Outlay Projects, DD 46, DD-64-
R1 Complete Streets, DD-83 Project Purpose and Need;
DP-02-R2 Ethics, DP-04 Environmental Policy, DP-05 Multimodal Analysis, DP-06
Caltrans Partnerships, DP-07 Project Delivery, DP-09 New Technology
Implementation, DP-10 Department Commitments, DP-11 Caltrans Workforce, DP-
14 Quality in Caltrans, DP-19 Working with Native American Communities, DP-21
Environmental Justice, DP-22 Context Sensitive Solutions ;
Project Management Directive 001;
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4) Ch. 8 pages (5-6, 10-12, 23-30, 40-
41, 46-49, 55-69), Ch. 9 pages (11-16, 22-24), Ch. 10 page (13);
Tools: TCRs, CSMPs RTPs, MPR, and the 2003 Caltrans Purpose & Need Team
Final Report & Recommendations.
Stakeholders
Needs & Public
Engagement
23 USC 134, 135 & 42 USC 200d-1 & 49 USC 5303, 5304;
23 CFR 771.105(b), 450.208 (a)(1-7), 450.218, Title VI of the Civil Rights Act of
1964 & 40 CFR Parts 1500 et seq. & 49 CFR 21;
28 CFR 35.102;
External Advisory Committees, DD-62-R1 The Ten-Year State Highway Operation
and Protection Program (SHOPP) Plan, DD-64-R1 Complete Streets,DD-83 Project
Purpose and Need;
Caltrans Partnerships, DP-07 Project Delivery, DP-08 Freeway System
Management, DP-10 Department Commitments, DP-11 Caltrans Workforce, DP-14
Quality in Caltrans, DP-19 Working with Native American Communities, DP-21
Environmental Justice, DP-22 Context Sensitive Solutions, DP-26 Intelligent
Transportation Systems, DP-27 Bus Rapid Transit Implementation Support (BRT),
DP-28 Title VI of the Civil Rights Act of 1964 and Related Statutes;
6, 10-12, 23-30, 40-41, 46-49, 54-55), Ch. 9 pages (11-16, 22-24, 26-28), Ch. 22-
Community Involvement;
Tools: Project Charter, Project Communication Plan, Regional Transportation
Planners, Caltrans Transportation Planners, Special Interest Groups, Community
Groups, State and Federal Agencies, TCRs, and RTPs.
Context
Sensitive
Solutions (CSS)
23 USC 134, 135 & 49 USC 5303, 5304;
CVC Sections 21200-21212 (Bikes);
Page | 78

Planning
Aspect
Capital Outlay Projects, DD-46 External Advisory Committees, DD-64-R1 Complete
Streets,DD-83 Project Purpose and Need;
DP-4 Environmental Policy, DP-05 Multimodal Analysis, DP-06 Caltrans
Partnerships, DP-07 Project Delivery, DP-08 Freeway System Management, DP-10
Department Commitments, DP-11 Caltrans Workforce, DP-14 Quality in Caltrans,
DP-22 Context Sensitive Solutions, DP-28 Title VI of the Civil Rights Act of 1964 and
Related Statutes;
PDPM Ch. 1 pages (20-39), Ch. 8 pages (5-6, 10-12, 26-30, 40-41, 48-49, 54-55,
64-66), Ch. 9 pages (11-16, 22-28), Ch. 22-Community Involvement;
Tools: Project Communication Plan, Project Charter, Community Plans, TCRs,
Special Studies, RTPs, and SCS.
State Planning
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.200, 450.206 (a)(1-8), 450.208 (a)(1-7), 450.214, 450.216 (k),450.320,
450.328;
AB 32 Global Warming Solutions Act & SB 391 California Transportation Plan;
Capital Outlay Projects, DD-62-R1 The Ten-Year State Highway Operation and
Protection Program (SHOPP) Plan, DD-64-R1 Complete Streets, DD-83 Project
Purpose and Need;
DP-06 Caltrans Partnerships, DP-08 Freeway System Management, DP-09 New
6, 10-12, 23-30, 40-41, 46-49, 55-69), Ch. 9 pages (11-16, 22-26, 28-30);
Tools: CTP, California Rail Plan, ITSP, California Aviation System Plan, GMAP,
California Strategic Highway Safety Plan, the State Transit Plan, DSMPs, TSDPs,
CSMPs, TCRs, TMS, Interim Guidance on Incorporating Sea Level Rise, RTPs, and
the CIB.
System
Planning
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.200, 450.206 (a)(1-8), 450.208 (a)(1-7), 450.214, 450.216 (k), 405.218
(a) (b) (c), 40 CFR Parts 1500 et seq.;
DD-31 Protection of Scenic Corridors, DD 34 R1, DD-62-R1 The Ten-Year State
Highway Operation and Protection Program (SHOPP) Plan, DD-64-R1 Complete
Streets, DD-83 Project Purpose and Need;
DP-06 Caltrans Partnerships, DP-07 Project Delivery, DP-08 Freeway System
Management, DP-09 New Technology Implementation, DP-10 Department
Commitments, DP-11 Caltrans Workforce, DP-14 Quality in Caltrans, DP-21
Environmental Justice, DP-23-R1 Energy Efficiency, Conservation, and Climate
Change, DP-26 Intelligent Transportation Systems;
Page | 79

Planning
Aspect
6, 10-12, 23-30, 40-41, 46-49, 55-69), Ch. 9 pages (11-16, 22-30);
Tools: CSMPs, TCRs, DSMP, TSDP, Purpose and Need - Why, Who, When, What,
How - http://www.dot.ca.gov/hq/env/emo/4wh.htm, and the MPR.
Regional
Planning
Consistency
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 450.208 (a1-7), 450.214, 450.216 (k), 450.320, 450.328 & 40 CFR Parts
1500 et seq.;
CA Gov Code Section 65080, 65086 (Planning);
AB 32 Global Warming Solutions Act & SB 375 Sustainable Communities and
Climate Protection Act of 2008;
DD-34-R1 Program and Project Management for Capital Outlay Projects, DD-46
DP-05 Multimodal Analysis, DP-06 Caltrans Partnerships, DP-07 Project Delivery,
10 Department Commitments, DP-19 Working with Native American Communities,
DP-21 Environmental Justice, DP-23-R1 Energy Efficiency, Conservation, and
Climate Change, DP-26 Intelligent Transportation Systems; Program and Project
Management for Capital Outlay;
6, 10-12, 23-30, 40-41, 48-49, 55-69), Ch. 9 pages (11-16, 22-30);
Tools: RTPs, General plans & zoning plans, community plans, Capital Improvement
Program (CIP), Congestion Management Plan (CMPs), Regional Blueprint Plans,
and SCS.
Multimodal
23 USC 134, 135 & 49 USC 5303, 5304;
CVC Sections 21200-21212, 21960 (Bikes);
External Advisory Committees, DD-64-R1 Complete Streets, DD-83 Project Purpose
and Need, DD-98 Integrating Bus Rapid Transit into State Facilities;
11 Caltrans Workforce, DP-14 Quality in Caltrans, DP-23-R1 Energy Efficiency,
Conservation, and Climate Change, DP-27 Bus Rapid Transit Implementation
Support (BRT)
PDPM Ch. 1 pages (20-39), Ch. 3 pages (3-4), Ch. 8 pages (5-6, 10-12, 23-30,
40-41, 48-49, 55-69), Ch. 9 pages (11-16, 22-30);
Tools: BRT Guide, State Transit Plan, State Rail Plan, TCRs/CSMPs, Short/Long
Range Transit Plans, and RTPs.
System
Mobility
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR 771.105(b), 450.208 (a)(1-7), 771.111(f);
CEQ Sections 1502.13 & 1502.14; CEQA 15124(b);
External Advisory Committees, DD-62-R1 The Ten-Year State Highway Operation
and Protection Program (SHOPP) Plan, DD-64-R1 Complete Streets, DD 98, DD-83
Page | 80

Planning
Aspect
Project Purpose and Need, DD-98 Integrating Bus Rapid Transit into State Facilities;
11 Caltrans Workforce, DP-14 Quality in Caltrans, DP-23-R1 Energy Efficiency,
Conservation, and Climate Change, DP-26 Intelligent Transportation Systems, DP-
27 Bus Rapid Transit Implementation Support (BRT);
6, 10-12, 23-30, 40-41, 46-49, 55-69), Ch. 9 pages (11-16, 22-26, 28-30);
Tools: MPR, TMS Master Plan, 2003 Caltrans Purpose & Need Team Final Report
& Recommendations, TCRs, CSMPs, and HOV plans.
CT Functions
23 USC 134, 135 & 49 USC 5303, 5304;
34-R1 Program and Project Management for Capital Outlay Projects, DD-62-R1 The
Ten-Year State Highway Operation and Protection Program (SHOPP) Plan, DD-83
Project Purpose and Need;
DP-04 Environmental Policy, DP-06 Caltrans Partnerships, DP-07 Project
Delivery, DP-11 Caltrans Workforce, DP-10 Department Commitments, DP-14
Quality in Caltrans, DP-22 Context Sensitive Solutions, DP-26 Intelligent
41), Ch. 9 pages (22-24);
Tools: Project communication plan, project charter, and 2003 Caltrans Purpose &
Need Team Final Report & Recommendations.
Project Goals
and Objective
23 USC 134, 135 & 49 USC 5303, 5304;
23 CFR. 771.105(b) & 40 CFR Parts 1500 et seq.
CEQ Section 1502.13 & 1502.14;
CEQA Section 15124(b);
External Advisory Committees, DD-64-R1 Complete Streets, DD-83 Project Purpose
and Need;
Caltrans Partnerships, DP-07 Project Delivery, DP-08 Freeway System
Management, DP-09 New Technology Implementation, DP-10 Department
Commitments, DP-11 Caltrans Workforce, DP-14 Quality in Caltrans, DP-23-R1
Energy Efficiency, Conservation, and Climate Change, DP-26 Intelligent
41, 46-49, 55-69), Ch. 9 pages (11-16, 22-30);
Tools: MPR, the 2003 Caltrans Purpose & Need Team Final Report &
Recommendations, DSMP, TSDP, TCRs, CSMPs, and RTPs.

Page | 81

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