Figure 1.

Receive
Permit OVERVIEW OF ENCROACHMENT
Application PERMIT PROCESS

Determine
Type of Project

Special Funded
Projects Determine Fee
and
Accept Application
Adopt-A-Highway
Projects
Request Perform
Additional Engineering Review Applicant
Information Deny
Appeal
from Permit
Process
Applicant Perform Technical Review
(If Needed) [By Other Caltrans Units]
See Figure 1.2
for an Overview
of the
Procedures for Developing Prepare
Special Funded Project Engineering
State Highway Evaluation Report
Projects (PEER)
If Required

Perform
Determine
Technical
Bonding Requirements
Review

Issue
Collect Additional Fee
Encroachment
(If Required)
Permit

Issue
Issue Distribute Permit to Other Caltrans Units Encroachment
Encroachment Permit as Required by Project Type Permit

Perform Inspection, Completion, and

Record-Keeping Activities Microfilm
Process Receive Issue Release
[By Other Caltrans Units] Inspect Project Work Records and
Changes As-Built Plans Completion Notice Bonds
to Permit Close Out
1-6

Project
 Task and Funding Responsibilities:

Project Sponsor Task Shared Task and Figure 1.2

Funded by Project Sponsor Shared Funding
SPECIAL FUNDED STATE HIGHWAY PROJECTS
Caltrans Task Caltrans Task
Funded by Project Sponsor Funded by Caltrans Roles and Funding Responsibilitie

SALES TAX FUNDED LOCALLY FUNDED, PRIVATELY FUNDED

PROJECT NON-SALES TAX PROJECT PROJECT
Prepare
Develop
Project Study Identify Identify
Expenditure Input
Reports Project Project
(PSR‘s) Plan

Approve County
Determine Encourage Sponsorship
Tax Measure Funds
Funding Sources by Local Entity
(Ballot Passed)

Review Determine Project Sponsored

Priorities and Schedules Estimate Designate
and by Local Entity
and Project Cost Project Sponsor
Comment Prepare Strategic Plan (Preferred)

Execute Project Sponsored

Cooperative Agreement by Private Entity
(Exception)

Project Cost Project Cost

Specify Estimate
More Than $1,000,000
Project Project Cost
$1,000,000 or Less

Prepare Provide Existing Provide Existing Prepare Project Cost Project Cost
Technical and Technical and Project Study Report
Initial Project Report $1,000,000 More Than
Financial Financial
(IPR) Information Information (PSR) or Less $1,000,000

Request Capacity Determine

Project Development
Improvement Extent of Capacity
through Environmental
Clearance by Caltrans Substantial Improvement Provide
Prepare Technical
Project Study Report and
(PSR) Financial
Information
Caltrans Able to Caltrans Unable to Meet Capacity Improvement
Meet Schedule Accelerated Schedule Not Substantial

Execute Execute Execute Execute Highway

Cooperative Agreement Cooperative Agreement Cooperative Agreement
** ** Improvement Agreement
for Project for Project for Project for Project

Produce Produce Review, Produce Produce Review,

Project Development
through Environmental
Clearance & Project
Report
Approval, Submit Submit
Project Development Oversight Project Development Project Development Approval,
through Environmental and Application for Application for through Environmental
through Environmental and
Clearance & Project Report Oversight Clearance & Project Report Encroachment Permit Encroachment Permit Clearance & Project Report Oversight

Review, Complete Final Design, Review, Complete Final Design, Process Process Complete Final Design, Review,
Approval, Acquire Right of Way, Approval, Acquire Right of Way, Acquire Right of Way, Approval,
Permit Engineering Permit Engineering
and and Construct Project and and Construct Project Obtain Encroachment and
Oversight Oversight Evaluation Report Evaluation Report Permit, & Construct Project Oversight
* *
* Caltrans may agree to perform these activities at sponsor‘s cost. ** All landscaping projects.
1-7

Rev. 6/97
 Figure 1.3
Roles and Responsibilities

Request Encroachment Permit Process

Encroachment
< $1,000,000
Direct Request
to Permit Office

CALTRANS RESPONSIBILIT Y
Permit Engineer
Determines Complexity
APPLICANT’S RESPONSIBILITY

Conduct Meeting
with Reviewers and YES
Complex?
Applicants

NO

Applicant Prepares Submit Application

Application Package Package

Preliminary
Review

Inform Applicant of
Information Needed NO Accept as Submit Applicant Prepares
(In Writing) Complete? Revisions Revisions

YES

NO Review by Permit
Complex? Engineer or Inspector

YES

District Review
Approve?
(Sometimes HQ Review
60 Needed)
DAYS YES NO YES
MAX
Request
Revisions?

NO

Issue Permit and Deny Permit Applicant’s

Assign Inspector Application Appeal

Rev. 7/97

1-8
Figure 4.1 TIME LIMITS FOR ENVIRONMENTAL ANALYSIS

Application Received

Caltrans Is Caltrans Is
Lead Agency Responsible Agency

30 30
days days
max. max.

Is Application Is Application
Complete, Including Complete,
Environmental Including Approved
Portion? EIR/ND/Cat.Ex.?

yes no no yes

Notify Applicant in Return to Applicant Notify Applicant in

Writing Application for Completion Writing Application
Is Complete Is Complete

45
days 0
max. days

Determine If Has Lead Agency

ND or EIR Approved
105
days Is Required Project?
max.

no yes

Lead Agency
Complete Approves or 180
days
1 ND Disapproves Project max.
year
max.

180
days
max.

Approve or Complete and Certify

Caltrans
Disapprove EIR and
Approves or Denies
ND Approve or
and Project Permit Application
Disapprove Project

May 1992 Encroachment Permits Manual

4-7
Figure 6.1 EXAMPLES OF MECHANICAL PROTECTION

Casing Wrapping or Overbreak

coating

Carrier
Carrier or Carrier or
casing casing
Chair
Bored hole

Grout

(a) Encased (b) Coated (c) Grouted

Ground or pavement

▲
Cover

Trench Trench Trench

Sidefill Overfill
▼

Concrete
▼
Pipe Pipe Pipe

Concrete Bed Concrete

(d) Cradled (e) Walled (f) Boxed or

Jacketed

Ground or pavement

Trench Reinforced Concrete

On
Concrete hanger
On
On cradle bracket
or piers
Pipe
Fill Fill

(g) Capped (h) Allied Mechanical Protection

by Use of Tunnel or Gallery

May 1992 Encroachment Permits Manual