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

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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

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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)

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Relationship Between Project Development and Funding

Planning Project Scoping

PID

Programming

Project Development

PA&ED PS&E R/W

Construction

Const

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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.

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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.

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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

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Relationship Between Scope, Cost, and Schedule

Scope

ScheduleCost

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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.

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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.

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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).

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PSR vs. PSR-PDS

PSR PA&ED PS&E R/W Const

PSR-PDS PA&ED

PR PS&E R/W Const

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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.

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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.

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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

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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

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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

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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

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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.

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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

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Questions