Chapter 7 — Field Review

The "PSR-equivalent" for off-system Federal-aid projects

Chapter 7 opens by drawing a precise analogy: "the field review for LPA transportation projects off the State Highway System (SHS) serves the same purpose as the Project Study Report (PSR) serves for state highway projects." This sentence does a lot of work. The Caltrans PSR is the formal project initiation document for on-SHS work, prepared under the PDPM, and it carries serious weight — once a PSR is signed it locks scope, cost band, schedule envelope, design exceptions, and key alternatives. Field Review under LAPM Chapter 7 is meant to do that same work for off-SHS LPA projects, just under a lighter procedural framework.

The actions Field Review documents and decides — in order, because the order matters:

1. Assigns an LPA project manager to oversee project studies, PS&E development, and/or construction. This single decision underpins everything that follows; the PM is the named accountable person for delivery.
2. Brings together representatives from involved agencies — LPA, Caltrans, other regional and local agencies, transit districts, state/federal permitting agencies, public utilities, railroads. FHWA may also be represented.
3. Affords opportunity for discussion of alternative proposals — the scope-shaping conversation that's harder to have once design is committed.
4. Secures agreement on general design features and exceptions — to AASHTO standards, 3R standards, or local standards selected for the project.
5. Identifies pedestrian facilities within the project area that need to be brought up to current federal, state, or local standards for ADA compliance.
6. Determines if the project is a Federal-aid ITS project, and if so, whether it's High-Risk, Low-Risk, or Exempt.
7. Determines timing and costs of NEPA — see LAPM Ch 6 and the SER.
8. Determines R/W and relocation assistance requirements.
9. Discusses funding, eligibility, federal/state participation.
10. Determines who advertises, awards, administers (AAA) and maintains the project.
11. Defines project schedule and target advertising date.
12. Discusses value engineering analysis — LAPM Ch 12 §12.5.

Notice what's happening in this list: Field Review reaches into seven other LAPM chapters. It's not a standalone procedure — it's the convergence point where the project's full scope, funding, environmental path, ROW posture, ITS classification, ADA obligations, AAA assignments, schedule, and value engineering all get pinned down. That's why missing or weak Field Review documentation cascades into problems later: the decisions you didn't make explicit at Field Review will be made implicitly by the design, and those implicit decisions are what audit findings come from.

The chapter also notes that certain DLA-administered programs have program-specific Field Review requirements not covered in this chapter (refer to program-specific guidelines). HBP, HSIP, ATP, and other programmatic guidelines layer additional expectations on Chapter 7's baseline. Always check the LAPG chapter for the funding program.

Formal vs informal, required vs optional

Field Review has two structural axes:

• Format — Formal or Informal
• Necessity — Required or Optional

Required Field Reviews. Caltrans determines required status for all projects on the NHS — "generally, a field review will only be required for significant NHS projects." A project is significant if:

• Total cost is over $10 million, or
• Involves an unusual structure (LAPM Ch 2 §2.4 Delegated Projects), or
• Involves multiple projects on a corridor involving more than one agency, or
• Any other complicating factors require a field review.

Two non-discretionary additions:

• HBP projects: Field Review is mandatory under LAPG Ch 6 regardless of NHS status. This is the most common required trigger at StanCOG-scale.
• Environmental site visit / early coordination meeting may be required for projects with environmentally protected resources, controversy, or significant impacts.

Required Field Reviews carry additional procedural obligations. When Caltrans requires a Field Review for significant NHS projects, PS&E and construction administration procedures will be discussed and put in writing for Caltrans and FHWA approval before the LPA starts final design and before construction authorization. NHS projects that aren't significant don't carry this additional layer.

Optional Field Reviews. Off-NHS projects (except HBP) and minor NHS projects have optional Field Reviews. "Optional" doesn't mean unnecessary — it means the LPA decides whether to perform one and how formal to make it. Exhibit 7-B is still required regardless of whether a Field Review is held. The procedural floor isn't zero; it's "complete Exhibit 7-B without a formal or informal review or meeting, but with a recommended on-site visit."

Who calls whom, and the 2-week notice rule

Required Reviews. The DLAE determines the type of review and coordinates with the LPA on scheduling. The DLAE notifies Caltrans and FHWA attendees; the LPA is responsible for making other review preparations and notifying other interested parties. Each attendee should receive a copy of the draft Field Review Form before the actual field review.

Caltrans attendees, when applicable, include — in addition to the District Local Assistance representative:

• An environmental reviewer (typically the District SEP or designee)
• A R/W reviewer (District Right of Way office)
• A representative from the Office of Structures Local Assistance if structures are involved

The Caltrans specialists should become familiar with the project before attending. For projects involving a state highway, a representative from the appropriate District Project Development or Traffic Branch must be contacted to determine their involvement, the need for a Project Report, and an encroachment permit.

Optional Field Reviews. The LPA decides whether to perform a review and notifies all affected agencies, utilities, etc. Factors: functional classification, project type, complexity, total cost, interested parties, type of funds.

If the LPA wishes Caltrans or FHWA staff to participate, a request must be made to the DLAE. Caltrans participation depends on staff availability, LPA staff experience, project complexity, type of structures, funding program, and R/W and design issues.

For railroad crossing projects, the California Public Utilities Commission participates in the review process.

Sufficient, not detailed

The LPA must have available either prior to or at the Field Review:

• Tentative plan — typically a vicinity map and project layout sketch
• Horizontal and vertical alignment sketches
• For projects involving bridges: preliminary hydrologic and hydraulic data

The standard is "sufficient to make an engineering review of the proposal" — not detailed final design plans. Field Review is the early-action gate; if you've already produced detailed plans, you've gone too far into design before locking the scope decisions the Field Review is supposed to make. Bringing detailed plans to Field Review usually means you've also already locked in design exceptions, R/W footprint decisions, and utility conflict decisions without the multi-agency input the Field Review is supposed to provide.

Exhibit 7-B — what it is, when it's signed, what triggers update

The Field Review Form (Exhibit 7-B) documents the results and decisions of the Field Review and other initial project research. It also includes data helpful in the preparation of the Request for Authorization and the Program Supplement Agreement.

For ER projects, the FHWA Damage Assessment Form (DAF) is used in lieu of Exhibit 7-B (LAPG Ch 11: Emergency Relief).

Timing rule with teeth: "The field review document must be completed and submitted prior to, or concurrently with, the initial submittal of the PES form (completed and with supporting information attached) for Caltrans review and approval." Field Review precedes or runs in parallel with the PES — not after. This is procedurally tight: Field Review locks scope; PES identifies environmental studies based on scope; you can't ask the SEP to identify studies for a scope that hasn't been agreed.

Caltrans/FHWA-attended Field Reviews. For NHS projects, early review and discussions should be held with the DLAE and FHWA engineer. If Field Review is required, Caltrans and FHWA will attend. They may also attend optional reviews when requested.

Pre-meeting protocol: the LPA must fill out Exhibit 7-B as completely as possible prior to the field review and send a copy with a location map to each interested party. "The earliest date for the field review should be two weeks after the receipt of the drafted Exhibit 7-B by the district." Copies for FHWA, DLA, and Office of Structures Local Assistance must be submitted to the district for further transmittal.

Update at the review. The Field Review Form should be updated and signed by the LPA, district, and FHWA representatives at the field review even if some questions remain unanswered. Information determined after the field review is provided by the LPA as a supplement to the Field Review Form and may require FHWA concurrence.

Optional Field Reviews not attended by Caltrans/FHWA. The LPA may complete Exhibit 7-B without a formal or informal review or meeting. An on-site visit by the project engineer and project manager is recommended as good practice to verify the data and information used to complete the form.

What Exhibit 7-B captures and why each section matters

Section 7.6 walks through the data categories the Field Review documents.

Scope. The project must be defined in sufficient detail to accurately specify where it is, why it is necessary, and what will be done. This process began with planning and programming; now further details clarify the limited FSTIP description with specific location, system, and current vs proposed conditions.

If scope changes significantly from the approved FSTIP description, a FSTIP amendment may be necessary. Relevant items:

For non-roadway projects, Exhibit 7-B and attachments are modified — site plans, work plans, building sketches for facilities work.

Environmental Process. NEPA approval (Caltrans-signed CE, FONSI, or ROD) must be obtained prior to commencing final design, R/W acquisition, or construction. The PES Form documents requirements for technical studies and the NEPA Class of Action and is "equally as important as the environmental approval." Format and content of required technical studies and NEPA documents is in the SER.

Exhibit 6-A (PES) identifies: project scope; existing condition; sensitive environmental resources; required technical studies; agencies for early coordination or consultation; NEPA Class of Action.

Right of Way. The need to acquire R/W or relocate utilities can significantly affect project development. Activity within Caltrans R/W requires coordination and an encroachment permit. Federal laws must be followed if there is FHWA participation in any project phase — R/W or only construction. Acquisition and relocation conducted under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 USC 4601 et seq.). Item 6 of Exhibit 7-B highlights R/W activities with cost estimate breakdown; utility relocation needs identified.

Project Cost. Item 6 provides an overview by phase and anticipated federal participation; Item 7 breaks this down by federal fund type and state funding. State or local funds are normally required to match the federal funds. FHWA-funded projects should be funded at the full federal participating ratio (Ch 3 §3.6 Underfunded Projects).

Project Administration. The LPA is normally responsible for administering all phases. If another arrangement is expected, this should be noted. If the LPA plans to hire a consultant, this should be noted — allowing sufficient time for consultant selection (Ch 10). If the State administers any phase or reviews PS&E, hold early discussions with the district. A cooperative agreement is needed to define work and cost-sharing (Ch 4).

Project Schedule. A federal project is normally scheduled for a specific year in the FHWA-approved FSTIP. Significant delays require working with the MPO to reschedule through a current FSTIP amendment or the next FSTIP. In non-MPO areas, contact the Caltrans District FSTIP coordinator.

Required vs optional submittal — and the periodic review duty

As soon as formal or informal discussions are complete, the LPA prepares and submits the final Exhibit 7-B and attachments to the district. Scope depends on classification:

• Required Field Review (NHS): all appropriate forms and attachments must be completed.
• Optional Field Review: the first two pages of Exhibit 7-B summary must be completed as a minimum.

See the bracket ([ ]) notations under Item 10 of Exhibit 7-B for additional attachments.

The district forwards Exhibit 7-B with required attachments to the Division of Local Assistance. The LPA may provide copies to their MPO and other interested parties.

And once more, the closing reminder: "The field review document must be completely filled out and submitted prior to or concurrently with the initial submittal of the PES." The chapter repeats this in the introduction, in §7.5, and in §7.7. It's the timing rule that gets violated most often and is the easiest to enforce at the DLAE–LPA interface.