3.01.00.00 DEPARTMENTAL DATABASES AND DATA MANAGEMENT .
CHAPTER 3PROGRAMMING AND BUDGETINGTABLE OF .0001.0001.0101.0201.0301.0401.0501.06DEPARTMENTAL DATABASES AND DATAMANAGEMENT SYSTEMSGeneralR/W Data Management SystemsDepartment Data Management SystemsR/W Data System UsersR/W Reporting ToolsEXPENDITURE AUTHORIZATION (EA)/PROJECTIDENTIFIER (PROJECT ID)GeneralMultiphase Project IDsPhase 2 – SupportPhase 9 – CapitalSingle Phase EAEstablishing EA/Project IDProject ID Adjustments for Combined and Split ProjectsSuspending R/W Phase 2/9RESOURCE MANAGEMENT - SUPPORTGeneralPerson Years (PYs) - Capital Outlay SupportPMCS & PRSM Workplan CalculationsProjects Involving Work by OthersPYs on Hardship and Protection ParcelsReimbursable WorkDuties of R/W Project Coordinator(REV 1/2020) 2021 California Department of Transportation. All rights reserved.
16.0116.0216.0316.0417.0017.0118.0018.01RESOURCE MANAGEMENT - R/W CAPITALOUTLAYGeneralR/W Capital PlanR/W EstimateTransportation ProgrammingProject ProgrammingR/W Project Programming CoordinationPMCS COST ScreensKeeping PMCS CurrentBudget Development ProcessFund ReservationDistribution of Allocation and Sub-AllocationIndividually Allocated ProjectsBudgetary ControlsAllocation LimitationsMovement of Capital Outlay DollarsAllocation Augmentation and SupplementsHardship and ProtectionInverse Condemnations - Damages to PropertyHazardous Waste/Materials FundingTitle and Escrow FeesFederal Participation in Right of WayAdvance Mitigation ProjectsAccountability of Donated LandsCTC Reporting RequirementsQuarterly CTC Reporting RequirementsYear-End CTC Reporting RequirementsR/W Capital ReportsProject Change Request ProcessR/W Project Cost ChangesReporting R/W Project Cost ChangesR/W Capital Cost ControlR/W Capital Cost Control PlanR/W LedgerReconciliation with AdvantageCodingCoding Verification(REV 1/2020) 2021 California Department of Transportation. All rights reserved.
AL-AID PROJECT FUNDINGGeneralDepartmental Policies and GuidelinesFederal-Aid on State and Local R/W ProjectsEarly Acquisition Under 23 CFR Section 710.501Credit (Soft Match) Toward State’s Share of Project CostFederal Participation in R/W ProjectsFederal Funding OverviewFederal Authorization/ApprovalFederal Authorization for Advance Construction (AC)ProjectsFederal Participation in Preliminary Acquisition ActivitiesStage 1 Authorization - Hardship and Protection (H&P)AcquisitionsStage 2 Authorization - Conversion to Regular Federal AidProject10-Year and 20-Year RuleProject IdentificationFederal-Aid Project NumberEA Adjustments for Combined and Split ProjectsRequest for Federal-Aid Funding Approval/To Proceed(E 76)R/W Project EstimateAmendment/Modification of Federal-Aid ProjectAgreementMultiple Federal FundingFederal Emergency Relief (ER) Funded ProjectsFederal ReimbursementImportance of Federal ReimbursementsMaximizing Federal ReimbursementFederal Project Setup in AdvantageReimbursable R/W CostsDefinitionsFederal-Aid Eligibility CodingSupporting Claims for ReimbursementCurrent BillAccruals - Unbilled Federal ShareExcess of Agreement – Cost OverrunsInactive ProjectsFHWA Citations - Federal Ineligibility NoticeGeneralPurpose of FINFHWA Issuance of FIN(REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.05.00.00FEDERAL AID PROJECT FUNDING (Cont.)3.06.00.00MONITORING PROCESS3.07.00.00COOPERATIVE AGREEMENTS WITH R/WINVOLVEMENT3.08.00.00PREREQUISITES FOR RIGHT OF WAY 03.0004.00Required Adjustments to Current BillProcess for Resolving FINFinal Adjustments to ProjectsFederal Funds ManagementGeneralMonitoring Federal Aid Project ExpendituresProject Expenditure Report, Federal Aid ReportEstimating Remaining Project CostsAccelerated Closing ProceduresCancellation of Obligational AuthorityRelease (De-obligation) of Excess FundsSuspend/Close R/W EAsFinal Vouchering – Project Close OutFinal R/W Maps and Parcel ListGeneralObjectiveRoles and ResponsibilitiesScopeFederal EligibilityProceduresDocument LogExpenditure Document Retention FileR/W FormsWeekly Monitoring ReportVariance ResolutionFollow-Up ActionPreliminary Right of Way (R/W) Activities – DefinedPrerequisites for Commencement of Preliminary Right ofWay ActivitiesRegular Right of Way Activities – DefinedPrerequisites for Commencement of Regular Right of WayActivities(REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.09.00.0001.00DELEGATIONSDelegations of Authority(REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.00.00.00 - PROGRAMMING ANDBUDGETING3.01.00.00 - DEPARTMENTAL DATABASES ANDDATA MANAGEMENT SYSTEMS3.01.01.00GeneralThe Department uses numerous databases and data management systems,and those used most frequently by R/W Planning and Management (P&M)personnel are discussed in the tables below entitled “R/W Databases and DataManagement Systems” and “Department Databases and Data ManagementSystems.”3.01.02.00R/W Data Management SystemsThe R/W Data Management Systems are comprised of the R/W ManagementInformation System (ROWMIS), R/W Property Management System (RWPMS),R/W Excess Lands Management System (ELMS), and the R/W UtilityManagement System (RUMS). ROWMIS is an Oracle-based database, and theremaining systems are mainframe databases written in COBOL language.R/W data is collected by the Division of Project Management for producingstatewide project status reports required by Caltrans management andexternal agencies. Therefore, it is critical that R/W information is kept up todate.3.01 - 1 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
R/W DATABASES AND DATA MANAGEMENT SYSTEMS Right of Way Management Information System (ROWMIS)ROWMIS houses data for several functions in R/W, including R/WEngineering, Estimating, Appraisals, Acquisitions/Condemnation, RAP,and Demolition. ROWMIS contains data on both a project and parcellevel. Right of Way Supplement System (ROWSUP)ROWSUP is a supplemental system that contains various reports relatedto project status, milestones, financial management, and other uses forR/W Planning and Management/Project Coordination activities. Right of Way Property Management System (RWPMS)RWPMS is one of the mainframe databases currently used to maintainProperty Management information. It contains information of parcelsacquired for project delivery, which can be rented until needed for theproject or becomes excess land inventory to be sold. Right of Way Excess Lands Management System (ELMS)ELMS is also a mainframe database being used to track all excessparcels that are no longer needed for project delivery. Right of Way Utility Management System (RUMS)RUMS is also a mainframe database being used to track utilityrelocation activities for project delivery. SCOPE (SCOPE)SCOPE is the mainframe system that houses PMCS, ELMS, RUMS, andRWPMS data systems.3.01 - 2 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
ROWMIS is the primary data system used in Right of Way for project deliverytracking and contains data at both the project and parcel levels. Project level data:o Currently, ROWMIS imports project information and milestone dates fromboth AMS Advantage and Project Resource and Schedule Management(PRSM) systems. There is a lag between these systems that may cause adelay in setting up a project in ROWMIS; in addition, data imported fromthese other systems is displayed in brown text.o ROWMIS Project page provides essential information pertinent to R/Wactivities such as Federal participation, Cost Estimating (Datasheets),Project Agreement(s) (i.e. Coop Agreements), R/W Engineer products,and lists of parcels.o ROWMIS offers a Comments and Project Docs tab to add commentsrelevant to the project and saves project-related documents to theserver.o There is a built-in R/W Parcel Tracking Report available in ROWMIS calledthe SOP (Status of Project) Report. Parcel level data:o The Parcel page provides information and the overall status of a specificparcel. Activities and deliverables can be tracked under each tab,including: R/W Engineering Appraisals Acquisitions & Condemnation RAP Demolition & Clearanceo Comments and related documents can be saved to the Parcel folder.o Limited parcel data is transferred to RWPMS and ELMS databases.All R/W functions are responsible for maintaining their own sections of ROWMISand/or other R/W systems and for providing P&M with data for input to otherDepartment databases and systems. These systems depend on accurateand timely input by district R/W personnel.3.01 - 3 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.01.02.01Department Data Management SystemsDEPARTMENT DATABASES DATA MANAGEMENT AND SYSTEMS Project Resource and Schedule Management (PRSM)PRSM is the Department’s project management tool to assist inproject resource and schedule development, projectmanagement, and tracking the status of projects. Project Management Control System (PMCS)PMCS is a mainframe computerized system for managing andcontrolling highway projects of all sizes from the earliest planningphase to contract completion, then back into the inventoryphase. All project data can be viewed on-line. PMCS becamefully operational on April 1, 1976; however, the projectmanagement component was replaced by PRSM in 2015, butR/W still maintains the R/W Cost Screens for its annual lump sumallocation development process. Refer to the PMCS User Manualissued by the State and Local Project Development Program fordetails on how to use the system and the purpose of the screens. AMS Advantage (AMS)AMS is the Department’s accounting, procurement, and budgetdatabase, implemented in July 2010, which houses data for allfinancial transactions (accounts receivable and payable),support and capital expenditures, procurement transactions, andbudgets. The Division of Accounting is responsible formaintenance and support of this statewide system. AMS isaccessible to all staff for view only, or for data input byappropriate approved staff, through CT Pass. Enterprise Datalink (Datalink)Datalink contains information from AMS and was developed as amethod to obtain data in a timely manner for inquiry andreporting purposes. Information is updated nightly and containshistorical financial data from the former financial system calledTRAMS. Datalink is accessible to all staff through CT Pass.3.01 - 4 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
DEPARTMENT DATABASES DATA MANAGEMENT AND SYSTEMS (Continued) Federal Aid Data System (FADS)FADS was created to replace manual processing of Federal AidFunding Requests, formerly known as FNM-76 or E-76 (Request forApproval to Proceed) with an electronic transfer data system.This system allows the Department to enter project informationdirectly and to transmit the data electronically to FHWA’s FiscalManagement Unit in Sacramento. FHWA is able to review andapprove project data expeditiously and to process the data intoFHWA’s Federal Management Information System (FMIS) inWashington, D.C. California Transportation Improvement Program System (CTIPS)CTIPS is an Oracle database used internally and externally tomanage the programming and allocation of funds forSTIP/TCRP/BOND, SHOPP and local projects.3.01.02.02R/W Data System UsersTo access R/W Data Systems, users must have appropriate user rights. Anagent has full access to the specific database in the functional unit he/she iscurrently assigned and may have read-only access to other databases.An agent can request access to ROWMIS and SCOPE accounts throughhis/her immediate supervisor as follows:1. ROWMIS Account – Each district has a designated ROWMISAdministrator who can assign a user account, or a request can be sentto the ROWMIS Administrator (internal Caltrans link).2. SCOPE Account – R/W Agents who work in Planning & Management,RW Property Management, RW Excess Lands, or RW Utilities functionalunits would require a SCOPE Account to access PMCS, RWPMS, ELMS, orRUMS. Each district has a designated RACF Coordinator listed on theProject Delivery intranet (internal Caltrans link) who can assign a SCOPEaccount. Additional software installation may be required.3.01 - 5 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.01.02.03R/W Reporting ToolsIn addition to R/W databases, there are reporting tools available. These toolsprovide access to datasets in R/W databases as well as other Departmentdatabases. Statewide R/W users have access to Discoverer and ROWSUP,and Quality Management Reporting System (QMRS) reporting tools. Districtsmay have other reporting tools, not mentioned here, serving their own needs.1. Discoverer Account – This is an Oracle tool allowing an agent todownload data from a variety of R/W databases for analysis andreporting purposes. Discoverer can be accessed by all staff from theDiscoverer log-in page (internal Caltrans link). The Discoverer User Guide(internal Caltrans link) includes instructions for logging into the system andcreating reports. A Discoverer account is required. User can request anaccount under the same process as requesting ROWMIS account.2. ROWSUP Account – ROWSUP is a reporting tool created and maintainedby North Region R/W. It provides many useful datasets and queries fromboth R/W and Department databases. User accounts may be requestedby any staff via email request to the ROWSUP Administrator link shown onthe ROWSUP page (internal Caltrans link).3. QMRS – QMRS is a database reporting system for Project Delivery. It isused to aggregate and display data captured in the Project DeliveryWorkload Development Migration warehouse. Data is refreshed daily.QMRS reports can be accessed at the Project Delivery Reports page(internal Caltrans link). No user account is needed.3.01 - 6 (REV 1/2020) 2021 California Department of Transportation. All rights reserved.
3.02.00.00 - EXPENDITURE AUTHORIZATION (EA)/PROJECT IDENTIFIER (PROJECT ID)3.02.01.00GeneralAn EA is a six-digit numeric code assigned to a direct project, or a non-projectactivity, such as overhead. EAs were recorded and stored in the previousfinancial system, TRAMS. However, with the implementation of AMSAdvantage (Advantage), EAs were replaced with a 10-digit code called aProject Identifier (Project ID) as the primary means of classifying expendituresfor a related activity. It is used to track costs for proper management ofproject-related expenses and for budgeting of future resources based onhistorical data. The EA numbering system is still in use since some of theDepartment’s legacy systems continue to use EAs. EAs are assigned in thedistricts by District Project Control, and when a Project ID is being created inAdvantage, the EA number is also entered in the project setup. Once tabledin Advantage, the Project ID and EA numbers are populated into the Project IDCrosswalk.3.02.02.00Multiphase Project IDsMultiphase EAs (0X01XX to 4X99X9) are for projects with more than one phase(category) of work that requires separate EA accounting for each phase. Amultiphase EA is structured as follows:XXXXFour CharactersBasic Serial Number(First character is in range 0-4)XFifthSegment CodeXSixthPhase Code (Phases specificto R/W activities are 2 and 9)The first four digits of the EA comprise the Basic Serial Number of a project.The district assigns this number before work is started on the Project StudyReport, and the number is retained for the entire life of the project, includingall phases of work.The fifth digit of the multiphase EA identifies the project segment, if the projectis segmented.3.02 - 1 (REV 1/2019) 2021 California Department of Transportation. All rights reserved.
The last or sixth digit represents the phase of the project. The functional phasecodes are as follows:PhaseDescriptionK0Project Study ReportProject Report/Project Approval & Environmental Document(PA&ED)Plans, Specification, and Estimate/DesignR/W Operations (Support)Construction Engineering (Support)Construction (Major, Minor A, Maintenance Contracts)R/W Capital123493.02.02.01Phase 2 – SupportA multiphase project EA ending with 2 accounts for R/W supportexpenditures. The Phase 2 EA covers labor charges and all operating andequipment expenses chargeable to a project.3.02.02.02Phase 9 – CapitalA multiphase project EA ending with 9 accounts for R/W capital outlayexpenditures. The Phase 9 EA usually covers costs of: R/W acquisitionExcess landInverse condemnationGains and losses from sales of excess landTitle and escrow feesCondemnation expert witnessesCondemnation legal expensesCondemnation depositsProject development permitsRAPDemolitionClearanceUtility relocation3.02 - 2 (REV 1/2019) 2021 California Department of Transportation. All rights reserved.
3.02.03.00Single Phase EAThe types of Single Phase EAs (9XXXXX) are: Overhead - to record costs incurred by each function/organization inmanaging, supervising, and supporting the work and personnel of theirareas of responsibility. Owner-Operator - to record costs considered necessary to ensure theintegrity of the Highway System, but which do not directly relate todelivery of a project. (Effective July 1, 1999, it is no longer a valid EAcategory.) Programmatic - to record costs associated with achieving the goals ofthe Department’s noncapital outlay programs (e.g., Airspace, OutdoorAdvertising). Single Task - for projects with only one phase (function of work). Service Center - to record time spent by Caltrans employees fortechnical services for the department’s functional units (e.g.,Information Services, Equipment, and Legal). Reimbursed Work for Others - to record costs of performing workrequested by and for the benefit of an entity external to Caltrans.3.02.04.00Establishing EA/Project IDThe District Project Control Officer assigns EA numbers sequentially, andestablishes its Project ID in Advantage with the EA number referenced in theproject setup. District P&M Project Control is responsible for creating R/WPhases for established Project IDs in Advantage. Normally, R/W Phases arecreated by a Cost Accounting Modification (CAM) document in Advantage.This enables the Department to maintain standard identification of projectsfor proper tracking and management of project costs.District P&M must ensure that Project IDs for federal-aid projects are tabled inAdvantage before commencing R/W work. Also, if Project IDs were previouslyestablished as State only funded, and federal participation is now secured onthe project, then District P&M must adjust the Project ID funding sourceeffective with the approval of the E-76.3.02 - 3 (REV 1/2019) 2021 California Department of Transportation. All rights reserved.
Accounting occasionally establishes non-project related EAs for specialpurposes; for example, EA 0R0005 for recording work activities related toexcess lands inventory, or 0R006 for recording work activities related toproperty management of state-owned parcels.Headquarters Project Control Branch provides “clearinghouse” controls onProject IDs input into the Advantage system for consistency with legal,financial, and administrative authorities or policies on work and maintains theintegrity of the overall system and process.R/W must conform to the standard identification system to avoiddiscrepancies between identification of the same project in Advantage
The Department uses numerous databases and data management systems, and those used most frequently by R/W Planning and Management (P&M) personnel are discussed in the tables below entitled “R/W Databases and Data Management Systems” and “Department Databases and Data Management Systems.” 3.01.02.00 R/W Data Management Systems
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