DRAFT 10/20/09

pID strategic PLan & streamlining

EXECUTIVE SUMMARY

recommendations for

a three-year plan for

Project initiation documents

and

FOR STREAMLINING THE PID PROCESS

~ Executive Summary ~

The goal of the Strategic Plan is to communicate a consistent, transparent, statewide process for translating needs identified in long-range plans into Project Initiation Documents (PID) for the development of projects.

The increasingly complex and dynamic nature of California’s transportation funding environment and the California Legislative Analysis Office’s FY 2009-10 Budget Analysis Series on Transportation are the catalysts for the development of a strategic and streamlining framework for the California Department of Transportation’s (Department) Project Initiation Document (PID) Program.

The Key Recommendations of this report are:

Strategic Plan:

  1. Create a three-year Strategic Plan, to be updated annually.
  2. The number of PIDs developed is correlated to a likely funding source.
  3. Improve shelf management by annually reviewing shelf projects by applying shelf removal criteria.

Streamlining:

  1. Document the Purpose and Need in the PID Charter with concurrence of the Department and project sponsor.
  2. Seek approval from CTC on a reduced scope of work and associated cost estimates. Sponsor to accept ownership and ramifications of risk associated with a specific project.
  3. Vary the scope of work for the PID based upon risk analysis and concurrence of project sponsor.
  4. Initiate a Preliminary Environmental Analysis Report (PEAR) Pilot Program.

The three-year Plan will improve both the effectiveness and efficiency of the PID Program and will include specific projects clearly linked to their potential funding sources and the tactical management of “shelved” PIDS through an annual review process. Projects will include the right mix of small operational improvement projects, and medium and large projects, whose PIDs must be on the shelf in preparation for the unpredictable influx of transportation dollars.

The Strategic Plan identifies an inventory of PIDs for the State Highway Operation and Protection Program (SHOPP) for routine pavement, bridge, mobility, and roadside rehabilitation projects for the next three years. The only additional PIDs necessary for the SHOPP are for emergency, safety, and legal or regulatory, mandated projects. The value of PIDs under development for these programs is estimated at $6 billion (capital outlay plus capital outlay support) over the life of this plan (see Appendix “A”).

The Plan also identifies an inventory of shelf PIDs for NONSHOPP projects for operational improvements at 92 Projects estimated at $3.1 billion (capital and support). PIDs underdevelopment for this category is 277 projects estimated at $19.8 billion and 228 PYs, over the three year period of this plan. (see Appendix “B”).

The Department and several regional and local partners collaborated to develop a strategic plan framework for PIDs and to streamline the PID procedure process. The Strategic Plan workgroup first convened July 28, 2009, and the Streamlining workgroup first met August 18. The Strategic Plan group developed a framework, which includes a proposed project listing for a three-year program designed to link PID development with potential transportation funding. The five subgroups are:

  • PEAR
  • Scope of Work
  • Cost Sharing/Reimbursement
  • Stormwater
  • Risk Management

The framework also includes PID “shelf” management and performance measures to determine the effectiveness of both the Strategic Plan and the streamlining effort. The Streamlining workgroup identified streamlining options, and five subgroups were tasked with recommending improvement for the PID program. The Department’s finding and recommendations will be reported to the Joint Legislative Budget Committee no later than March 1, 2010.