PLANNING HORIZONS Project Initiation Documents: Challenges and How to Move Forward
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Transcript of PLANNING HORIZONS Project Initiation Documents: Challenges and How to Move Forward
April 19, 2023 1
PLANNING HORIZONS
Project Initiation Documents:Challenges and How to Move
ForwardCalifornia Department of Transportation
Marlon Flournoy, ChiefOffice of Project Plan Coordination
April 19, 2023 2
Presentation Overview
• Overview of Project Development Process• Overview of PIDs• Different Types of PIDs• Influencing Factors• Challenges• How to Move Forward• Conclusions• Questions
April 19, 2023 3
How Projects are Built?
Planning
•System Planning•Regional Planning
•Maintenance and Preservation Needs
Project Scoping
•Establish Purpose and Need Statement
•Define Scope, Cost, and Schedule
Programming
• Identify funding amount
• Identify funding years and availability
Project Development
•Project Approval and Environmental Document (PA&ED)
•Plans, Specifications, and Estimates (PS&E)
•Right of Way (R/W)
Construction
•Advertise and award contract
•Construct project
•Close out project upon completion of construction
April 19, 2023 4
How Projects are Funded?
Project Scoping
PID
Programming
Project Approval and
Environmental Document (PA&ED)
Plans, Specifications, and Estimates
(PS&E)
Right of Way (R/W)
Construction (Const)
April 19, 2023 5
Relationship Between Project Development and Funding
Planning Project Scoping
PID
Programming
Project Development
PA&ED PS&E R/W
Construction
Const
April 19, 2023 6
What is a PID?
• Engineering or technical document that documents– Project scope, cost, and schedule– Conceptual or scope approval for locally-funded
projects• Outcome of the project scoping effort.• Both Caltrans and local entities prepare PIDs
for projects on the State Highway System.
April 19, 2023 7
Purpose of a PID
• PID documents the purpose and need.– Need (transportation deficiency)– Purpose (objectives that will be met to address the
transportation deficiency)• Also documents
– Approach (i.e. scope) including alternatives that will be taken to meet or reduce transportation deficiencies and address the purpose and need.
– Existing information, initial assumptions, identified risks, and constraints.
• The scope is tied to realistic cost estimates and schedules.
April 19, 2023 8
How a PID is Prepared?
Project in a Funding-Constrained
Planning Document
Decision to Prepare a PID
Project Development Team meets to Scope and
Standards
PSR Preparation1st District ReviewRevise
2nd District Review District Director Approves
April 19, 2023 10
Why are PIDs so Important?
• PIDs (i.e. project scoping) provide– a sound basis for commitment of future funding– a key opportunity to achieve consensus on project scope,
schedule, and proposed cost.• Projects programmed into state or local funding
programs that are inadequately defined or scoped carry additional project risks that can impact project costs and schedules.
• Funding programs are financially constrained– Cost overruns on one project translates into a reduction of
funds allocated to other projects.
April 19, 2023 11
When is a PID Required?
• Government Code requires– PIDs for projects programmed in the State Transportation
Improvement Program (STIP)– Caltrans review and approve PIDs prepared by local
entities• Caltrans policy requires
– PIDs for all major projects on the State Highway System regardless of funding.
• California Transportation Commission (CTC) Guidelines for the Preparation of Project Study Reports– Provide a framework for preparation of PIDs.
April 19, 2023 12
Different Types of STIP and Local PIDs
• Project Study Reports (PSR)– Used to program all project phases.– Require more detail.
• Project Study Report-Project Development Support (PSR-PDS)– Streamlined PID used to only program PA&ED phase.– Require only enough detail to fund PA&ED.– Develop order-of-magnitude estimate for PS&E, R/W, and
Const.– Approved Project Report (PR), the outcome of PA&ED, used
to program remaining phases (PS&E, RW, and Const).
April 19, 2023 14
State Highway Operation Protection Program (SHOPP) PIDs
• The 10-Year SHOPP Plan drives the need to develop PIDs for SHOPP projects.
• There are more than 30 SHOPP programs—each with very specific objectives.
• All SHOPP PIDs are driven by the SHOPP programs funding the project and thus have very specific goals.
• Vast majority of SHOPP projects are programmed through construction.
• Different types of PIDs are used depending on the project.– Most SHOPP PIDs that combine the PID and PAED phases.– Small Capital Value Project PID, a streamlined SHOPP PID, is used for
single alternative low risk safety and ADA projects that are $3 million and less.
April 19, 2023 15
History of Influencing Factors
• 2008 LAO Report– Concluded that PIDs completed for many projects could not be
funded– Recommended reducing staffing levels, basing staffing levels on
workload, and improving management of PID activities• 2010 Report to the Joint Legislative Budget Committee
– Identify options to share costs, lower costs, streamline procedures, and reduce delays associated with PIDs.
• 2010 Three-Year Strategic Plan for PIDs– An annually developed plan that provides resource needs over a
three-year period.– Roadmap for how the Department will manage and improve its PID
program.
April 19, 2023 16
Historical Reduction of PID Positions
FY 2008-09 FY 2009-10 FY 2010-11 FY 2011-120
50
100
150
200
250
300
350
400
450
500
456
309231 262
112
ReimbSHA
Posi
tions
April 19, 2023 17
Current and Future Challenges• State Budget
– Limited State Highway Account (SHA) funds– Budgeting Process
• PID Reimbursement– Local agencies required to reimburse the Department for developing PIDs and
providing oversight of PIDs– Limited local funds
• Streamlining but Striking a Balance– Many factors driving the need to streamline (e.g. state budget, PID
reimbursement, etc.)– Don’t want to streamline too much or too little
• Workload Standards– Most projects are unique in nature– Ensure that workload standards align with actual work performed
April 19, 2023 18
Moving Forward
• Current streamlining efforts– PSR-PDS (September)– Small Capital Value Project PIDs (September)
• Continue to streamline processes and procedures
• Limit the number of PIDs on the shelf– Focus on funding PIDs tied to available funding
• Define the appropriate level and effort
April 19, 2023 19
PSR-PDS Streamlining Efforts
• Caltrans is coordinating with local entities to streamline the PSR-PDS.
• Expand the use of the PSR-PDS• Goals include– Streamline scoping processes and procedures– Eliminate process redundancies– Clarify roles and responsibilities– Improve communication between Caltrans, local
agencies, and project stakeholders– Improve risk identification
April 19, 2023 20
Conclusions
• PIDs are a very important project scoping tool.• PIDs add a lot of value to the project
development process.• Important to tie PID development to fundable
projects.• Strike a balance between streamlining and
having adequate detail in the PID.
April 19, 2023 21
Resources
• Project Development Procedures Manual– http://www.dot.ca.gov/hq/oppd/pdpm/pdpmn.htm
• Office of Projects Plan Coordination– http://www.dot.ca.gov/hq/tpp/offices/oppc/index.html
• Guidelines for the Preparation of Project Study Reports– http://www.dot.ca.gov/hq/oppd/design/psr12-8.htm
• 2011 10-Year SHOPP Plan– http://www.dot.ca.gov/docs/reports/2011_Ten_
%20Year_Shopp_Plan.pdf