Local Assistance Program Guidelines LAPG Exhibit 22-D
Request for Project Scope Change (Local ATP Projects)
LAPM Exhibit 22-D Request for PROJECT SCOPE CHANGE (Local ATP Projects)
[To Be Placed on Local Agency Letterhead]
To: (DLAE Name) Date:
District Local Assistance Engineer
Caltrans, Office of Local Assistance PPNO:
(District Address) Federal PROJECT #:
ATP ID #: ATP - -
Project Name (Per CTC programming): ______
Approved Project Description (As submitted in Application): ______
Approved Project Limits (As submitted in Application): ______
For Federally Funded Projects: <Omit if not applicable>
Current FTIP/FSTIP Description: ______
Current FTIP/FSTIP Limits: ______
Dear (DLAE Name):
<Optional: General Introduction and/or background information>
Consistent with the California Transportation Commission’s (CTC) “Policy on Project Amendments and Advance Project Allocations”, adopted on August 18, 2016, we request that Caltrans consider and the CTC approve the proposed Project Amendments as documented below:
Required Elements (per CTC’s Project Amendment Policy):
1. An explanation of the proposed scope change;
< Address all applicable elements per the instructions that follow this form-template
< Optional: Reference attachments that support and/or document the text in this section>
2. The reason for the proposed scope change;
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
3. The impact the proposed scope change would have on the overall cost of the project;
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
4. An estimate of the impact the proposed scope change would have on the potential of the project to increase walking and bicycling as compared to the benefits identified in the project application (increase or decrease in benefit);
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
5. An estimate of the impact the proposed scope change would have on the potential of the project to increase the safety of pedestrians and bicyclists as compared to the benefits identified in the project application (increase or decrease in benefit);
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
6. An explanation of the methodology used to develop the aforementioned estimates; and
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
7. For projects programmed in the Metropolitan Planning Organization (MPO) component, evidence of MPO approval and the MPO rationale for their approval.
< Address all applicable elements per the instructions that follow this form-template >
< Optional: Reference attachments that support and/or document the text in this section>
Required revisions to the Project’s Description and/or Limits:
The proposed Project Amendments documented above will require the following changes to the Project’s Description and/or Limits: Insert “N/A” if not applicable>
Proposed changes to the Project Description: ______
Proposed changes to the Project Limits: ______
For Federally Funded Projects: Insert “N/A” if not applicable>
Proposed changes to the FTIP/FSTIP Description: ______
Proposed changes to the FTIP/FSTIP Limits: ______
Project Delivery Status:
The following is a side-by-side comparison of the original project schedule and the current project schedule. The explanations for each milestone date change is listed below:
Anticipated CTC Allocation Dates (at the time of Application Submittal for funding):
PA&ED: _____ PS&E: _____ R/W: _____ CON: _____ CON-NI: _____
Actual/New Anticipated CTC Allocation Dates (at the time of this request):
PA&ED: _____ PS&E: _____ R/W: _____ CON: _____ CON-NI: _____
Explanation for milestone changes: < Only list/explain the milestones that have changed>
PA&ED: ______
PS&E: ______
R/W: ______
CON: ______
CON-NI: ______
Local Agency Certification:
This Request for Scope Change has been prepared in accordance with the Procedures for Administering Local Projects in the Active Transportation Program (ATP). I certify that the information provided in the document is accurate and correct. I understand that if the required information has not been provided this form will be returned and the request may be delayed. Please advise us as soon as the scope change has been approved. You may direct any questions to
______at ______
(name) (phone number)
Signature:______Title:______Date:______
Agency/Commission: ______
Attachments:
Distribution:
(1) Original -DLAE
(2) Copy – Division of Local Assistance, Headquarters ATP Program Manager
(3) Copy – MPO/RTPA/County Transportation Commission
LAPG Exhibit 22- D November 13, 2017
Page | 3
Local Assistance Program Guidelines LAPG Exhibit 22-D
Request for Project Scope Change (Local ATP Projects)
Request for Project Scope Change Instructions
(do not submit these instructions)
This Project Scope Change Request Form is intended to support the California Transportation Commission (CTC) “Policy on Project Amendments and Advance Project Allocations”, adopted on August 18, 2016. The policy states that “Implementing agencies must notify Caltrans in writing of proposed project scope changes. It also states that “Caltrans will review the proposed scope change and forward the proposed scope change with Caltrans’ written analysis and recommendations to the Commission for the Commission’s approval.” This form is initiated by the implementing agency, and prepared on their letterhead as a letter addressed to the District Local Assistance Engineer (DLAE). Requests must be received by the DLAE and the Division of Local Assistance ATP Program Manager (P.O. Box 942874, MS-1, Sacramento, CA 94274-0001). For scope changes of a “more significant” nature (as defined in the CTC’s policy), the form must be submitted at least 60 days prior to the date of the CTC meeting where the request will be considered/voted.
This form and instructions have been prepared to further define the process and documentation needed as part of the Implementing Agency’s scope change submittals. These instructions outline both the “Required documentation” for Caltrans and Commission staff to analyze and make their final recommendations based on the need and benefits of the proposed scope change, and the “Recommended process” that Implementing Agencies should follow/expect as they submit their scope change requests.
Required Documentation:
ATP Project Scope Change Requests are to be prepared by the Implementing Agency responsible for delivering the project as defined in the original application submitted. When the agency is not able to deliver or desires to change the scope that was approved as part of the competitive selection process, it becomes the agency’s responsibility to fully document both the need for the proposed scope change and the impact the change will have on the active transportation users. The following is an outline for agencies to follow to ensure their request directly answers each question included in the CTC’s adopted policy and provides the necessary supporting documentation for Caltrans and Commission staff to analyze the request and make final recommendations.
NOTE: Depending on the complexity and/or benefit-reduction of the propose project scope change, significant amounts of project details and supporting documentation are needed for the CTC’s Project Scope Change Approval Process. Agencies are encouraged to provide these details in a clear and concise manner and only provide documentation that directly addresses the CTC’s required questions in their policy.
Date: Date of request submittal.
Address: Send letter to District Local Assistance Engineer assigned to this project.
PPNO: Provide ATP project identifier. (Project programming number)i.e. 4420 or 1531A
Federal Project #: These numbers will be available if the project has received one or more allocations. i.e. ATPL-5000(020)
ATP ID #: Unique number found on the adopted ATP project list i.e. ATP01-07-123M
Current Project Name, Description and Limits: As approved and adopted by the CTC.
1. An explanation of the proposed scope change;
· All project elements that are proposed to change from the original approved application must be defined. List each of the original project elements that are proposed to change and the amount of the change.
· For each element, the request needs to fully document the proposed change at a level which can document the amended project scope in conjunction with the original ATP application. Given that the original application serves as the agency’s PSR Equivalent for the project; if the scope change request is approved, it will be formally amending this PSR Equivalent. Therefore the request needs to include “before”, “after”, and “net change” for the scope presented via new plans, cost estimate and/or application text.
o When a large number or majority of the project elements are proposed to change, it may be beneficial for the request to include all new location map, plans, cost estimate, and/or application text.
· This explanation of the overall proposed scope change should include the agency’s determination of whether the scope change is “minor” or “more significant” in nature – as defined by the CTC’s adopted policy.
2. The reason for the proposed scope change;
· All aspects of the reasons for the scope change must be well documented.
o For example (# 1): If the reason is project cost increases, then the reasons for the cost increases must be well defined and there needs to be an explanation on how much additional funding the agency can commit to the project to help keep it whole. In addition, there also needs to be an assessment to determine if there are any ineligible items and/or decorative items in the project that can be removed or reduced to create additional funding for the project elements that most directly contribute to furthering the purpose and goals of the ATP
o Example #2: If the reason is environmental, then the environmental issues need to be defined and there needs to be an explanation on why the issues cannot be mitigated while keeping the ATP elements of the project whole.
3. The impact the proposed scope change would have on the overall cost of the project;
· The overall cost includes:
o ATP and Non-ATP funded elements of the overall project
o All project delivery phases, including: PA&ED, PS&E, R/W, CON, and/or CON-NI
· The information provided must include documentation on:
o The original overall project costs in the approval application
o The current overall project costs based on the originally approved project scope
o The proposed overall project costs based on the proposed scope change
4. An estimate of the impact the proposed scope change would have on the potential of the project to increase walking and bicycling as compared to the benefits identified in the project application (increase or decrease in benefit);
· Per the CTC’s policy, the documentation for this question and the following question needs to separate the analysis of the impact on “increase walking and bicycling” and “increase the safety”.
· All project elements that are proposed to change must be included in the agency’s estimate of the impacts of the proposed scope changes
· When a project element includes multiple locations/corridors (as defined in the approved application), the net effect for each separate location/corridor needs to be discussed as well as the overall effect of the proposed change.
· When a project element or part of an element is proposed to be eliminated, the estimate of impact should include how the agency proposes to mitigate any decrease in benefit where possible.
· The agency is responsible to ensure the methodologies used to estimate the impacts directly support the methodologies included in the original application. The request should summarize how the original application portrayed the walking and biking needs and benefits of the scope that is now being proposed to change.
5. An estimate of the impact the proposed scope change would have on the potential of the project to increase the safety of pedestrians and bicyclists as compared to the benefits identified in the project application (increase or decrease in benefit);
· The documentation for this question should be similar to the prior question.
6. An explanation of the methodology used to develop the aforementioned estimates.
· The methodologies provided in the scope change request should reference and must directly support the methodologies included in the agency’s original application.
7. For projects programmed in the Metropolitan Planning Organization (MPO) component, evidence of MPO approval and the MPO rationale for their approval.
· For projects programmed in the Statewide or Small Urban and Rural components, agencies can simply include “N/A – Project funded in the ______component” for this question.
· For projects programmed in the MPO component of the ATP, agencies must work directly with their MPO to document both the MPO’s approval and the rationale for their approval.
Required revisions to the Project’s Description and/or Limits: As needed, provide your proposed Project Description/Limits to account for your proposed project scope change defined above. If the current Project Description/Limits can remain unchanged, insert “N/A”. For Federally Funded Projects, also address the “Proposed changes to the FTIP/FSTIP Description” and “Proposed changes to the FTIP/FSTIP Limits”.
Project Delivery Status: All requests for project scope changes must provide an update on the Project Delivery Status for all CTC allocation milestones. Insert “N/A” for all allocation milestones that do not apply to the project. In addition to providing milestone dates, agencies need to provide short explanations that stress the impacts of the proposed scope change. Explanation for milestone changes should only be provided for the milestones that have changed from the milestones approved in the original application.
Local Agency Certification: Provide information on who is the responsible party to contact with questions regarding this project and obtain signature of approving official.
Recommended process:
ATP Project Scope Change Requests are to be prepared by the Implementing Agency and submitted for approval through the following process. This process also outlines the expected process for how requests will be evaluated by Caltrans and CTC staff.