State Highway Operation and Protection Program (SHOPP) and Transportation Asset Management Plan (TAMP)

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The SHOPP is a four-year document of projects that is adopted by the Commission after holding at least two public hearings and a finding of consistency with the Transportation Asset Management Plan (TAMP). The adopted SHOPP is submitted to the Legislature and the Governor not later than April 1 of each even-numbered year. SHOPP projects are identified through periodic condition assessments and field reviews, through the biennial State Highway System Management Plan, are guided by the developing Transportation Asset Management Plan, and constrained to the funding in the adopted Fund Estimate. Funding for SHOPP projects is a mixture of Federal and State funds, including the Road Maintenance and Rehabilitation Account created by SB 1. Projects included in the program shall be limited to capital improvements relative to the maintenance, safety, operation, and rehabilitation of the state highway system that do not add new capacity to the system.

Senate Bill 1 (Beall, 2017)

Senate Bill 1 (SB 1) increased the Commission’s responsibility and accountability with regard to the State Highway Operation and Protection Program (SHOPP). The additional SB 1 SHOPP investment, estimated at approximately $1.5 billion annually, is earmarked to improve the condition of the State Highway System (SHS); and an additional $400 million annually identified specifically for maintenance and rehabilitation of bridges and culverts also along SHS. SB 1 requires the Commission to adopt and manage the SHOPP in a transparent and accountable manner, similar to the State Transportation Improvement Program (STIP), the Proposition 1B bond programs, and other programs under the Commission’s purview.

Specific SB 1 measures that increase the Commission’s role in enhancing the transparency and accountability of the SHOPP include:

  • Commission review and adoption of the four-year SHOPP document, after conducting Northern and Southern California public hearings.
  • Review of project budgets, delivery milestone dates, and performance measures for all projects included in the four-year SHOPP document.
  • Oversight of the development and management of the SHOPP program including authority to:
    • Review and program all proposed project scopes, costs and schedules.
    • Review and approve all changes to programmed project scopes, costs and schedules.
    • Allocate funds to all project development phases.
    • Allocate project construction funds including construction support.

SB 1 codified performance measures and targets for the four primary TAMP asset classes: pavement, bridges, culverts, and transportation management systems (TMS) elements. The performance targets included in SB 1 direct that over the next ten years not less than:

  • 98 percent of pavement on the state highway system be in good or fair condition
  • 90 percent of culverts be in good or fair condition
  • 90 percent of TMS units be in good condition
  • An additional 500 bridges be fixed

Caltrans is required to report to the Commission on expenditures and progress towards achieving these performance targets. Findings will be included in the Commission’s annual report to the Legislature. To ensure near-term progress is made towards achieving these long-term goals, in October 2017, the Commission, in working with Caltrans, required the TAMP to include intermediate annual benchmarks against which the Commission will evaluate progress towards meeting performance goals.

Annually, the commission shall evaluate Caltrans’ effectiveness in reducing deferred maintenance and the improvement in road conditions on the state highway system, as demonstrated by the progress made by the goals set forth in subdivision (n) of Section 1 of the Road Repair and Accountability Act of 2017. The Commission may make recommendations for improvement and may withhold future project allocations if it determines program funds are not being appropriately spent. The Commission shall annually include any findings in its annual report to the Legislature pursuant to Section 14535 of the Government Code.

Additional accountability is established through Commission-adopted SHOPP guidelines and Federal regulations that require two- and four-year targets be established for pavement and bridges.

As of July 1, 2017, to provide transparent oversight of Caltrans’ capital outlay support resources composed of both state staff and contractors, the Commission has been required to allocate Caltrans’ capital outlay support resources by project phase for the SHOPP, including preconstruction. Through this action, the Commission provides public transparency for the Caltrans’ budget estimates, increasing assurance that the annual budget forecast is reasonable.

Also beginning July 1, 2017, for projects that experience increases in capital or support costs above the amounts in the Commission allocation, the Commission established thresholds for requiring a supplemental project allocation. The thresholds that the Commission established for supplemental project allocations ensure efficiency and are necessary so that projects are not unnecessarily delayed. The Commission implemented these provisions with the approval of Commission Resolution G-12 in January of 2016.

Proposition 1B (2006)

The Highway Safety, Traffic Reduction, Air Quality, and Port Security Bond Act of 2006 was approved by the voters as Proposition 1B on November 7, 2006. It included $500,000,000 to be deposited in the newly created Highway Safety, Rehabilitation, and Preservation Account for highway safety, rehabilitation, and pavement preservation projects. Funds have been available to the Department, upon appropriation by the Legislature, for the purposes of the state highway operation and protection program.

  • SB 486 (DeSaulnier, Chapter 917, Statutes of 2014)
    • Requires Caltrans to develop a robust TAMP to guide and inform the selection of projects included in the SHOPP.
    • Requires the Commission to adopt TAMP targets and performance measures that reflect state transportation goals and objectives, and then to review and approve the Caltrans developed TAMP.
    • Provides that the Commission may approve the SHOPP only if it finds the program to be sufficiently consistent with the approved TAMP.
    • Requires Caltrans to report quarterly on the capital and support expenditures for all recently completed SHOPP projects to increase transparency and accountability of the SHOPP.
    • Requires Caltrans to provide specific project information in the SHOPP, including the capital and support budget for each project and the projected delivery date by project component.
  • SB 1 (Beall, 2017)
    • Created the Road Maintenance and Rehabilitation Program to address deferred maintenance on the state highway system and the local street and road system.
    • Requires the Commission, as part of its review of the program, to hold at least one hearing in northern California and one hearing in southern California regarding the Caltrans proposed SHOPP.
    • Requires the Commission to make capital outlay support allocations by project phase for each project in the program.

Government Code:

14526.4 – Asset management plan requirements for SHOPP

14526.5 – SHOPP Development

14526.6 – SHOPP Quarterly Reporting requirements

14526.7 – SHOPP SB1 performance targets and benchmarks

Streets and Highways Code:

164.6 – State Highway System Management Plan (SHSMP) requirements

800 – Advance Mitigation Program funding requirements for STIP and SHOPP

2030 – Road Maintenance and Rehabilitation Program funding priorities

2032.5 – Road Maintenance and Rehabilitation Program reporting and evaluation

Public Resources Code:

21102 –EIR requirements prior to fund allocation

Contact Information

Jon Pray
Assistant Chief Engineer
California Transportation Commission
Phone: Phone: (916) 654-4245