Capital Outlay Support (COS)Project Delivery Overview

June 2020HQ Project Management Division

What we’ll cover:

• Organization and Funding

• Project Development Process

• Risk and Change Management

2

Caltrans Organization

3

“SHOPP” includes SHOPP SB1 workload. “Other” includes Prop 1B Bond, TCRP, High Speed Rail, Real Property Services, and Materials Engineering and Testing Services. 4

FY 2020-21 COS by Fund Type

5

Workload/Delivery (Last 10 years)

1 As of June 30 of each year.

1

346

279

170

219

343

244 227

282263

313342

275

167

214

337

239220

279252

0

50

100

150

200

250

300

350

Projects Planned vs. Delivered

No. of Projects Planned for DeliveryActual No. of Projects Delivered

3.12.7

1.22.1

2.51.7

2.12.02

2.614.9

0 1 2 3 4 5

2010-112011-122012-132013-142014-152015-162016-172017-182018-192019-20

$Billion

Fisc

al Y

ear

Capital Value of Delivered Projects ($Billions)

814 739 713 673 652 817 927 937 865

10.9 11.3 12.311.1 10.6

8.8 9.2 9.2 10.0

02468101214

0

200

400

600

800

1000

2010-11 2011-12 2012-13 2013-14 2014-15 2015-16 2016-17 2017-18 2018-19

Valu

e ($

Billi

on)

No.

of P

roje

cts

Fiscal Year

Ongoing Contracts and Value ($Billion)

No. of Ongoing Contracts2 Value of Ongoing Contracts ($ Billions)

What we’ll cover:

• Organization and Funding

• Project Development Process

• Risk and Change Management

6

7

How Caltrans Builds Projects

Planning Capital Outlay Support (COS) COS Closeout

Prog

ram

min

g

PA&

ED C

ompl

ete

Des

ign

Com

plet

e, R

TL a

ndR

ight

of W

ay C

ertif

icat

ion

Phases of Project Development

ProgramTAMP

Beg

in C

onst

ruct

ion

End

Con

stru

ctio

n

End

Proj

ect

LEGENDTAMP Transportation Asset Management PlanPID Project Initiation DocumentPA&ED Project Approval and Environmental DocumentPS&E Plans, Specifications and EstimateRTL Ready to List for Advertising

8

PA&EDPID

PS&E (Design) Construction

Right of WayProgramming & Allocation

Allocation

Allocation

Need & Priority

Identified

SHOPP Support and Capital Expenditures1

1 For each dollar of SHOPP expenditures for projects that completed construction in Fiscal Years 2016-17, 2017-18, and 2018-19. 9

Construction Capital

69¢

Construction Support

14¢

Right of Way Capital

1¢

Project Approval &Environmental

Document4¢

Right of Way Support

1¢

Plans,Specifications and Estimate

11¢

What we’ll cover:

• Organization and Funding

• Project Development Process

• Risk and Change Management

10

PA&EDPID

PS&E (Design) Construction

Right of WayProgramming & Allocation

Risks and Uncertainty During Project

Allocation

Allocation

Need & Priority

Identified

PROJECT APPROVAL AND ENVIRONMENTAL DOCUMENT• Engineering and Environmental Studies• Survey Data• Scope• Environmental Footprint

RIGHT OF WAY• Utility Relocation• Railroads• Right of Way

Condemnation• Environmental Mitigation

PS&E (DESIGN)• Environmental Permits• Construction Windows (# of Seasons)• Staging & Traffic Handling (# of Seasons)• Coordination with Adjacent or Overlapping

Projects

CONSTRUCTION• Geotechnical Differing Site Conditions• Weather (# of Seasons)• Coordination with Adjacent or Overlapping

Projects• Number of Bidders

11

LEGENDPID Project Initiation DocumentPA&ED Project Approval and

Environmental DocumentPS&E Plans, Specifications and

EstimateRTL Ready to List for Advertising

Risk and Uncertainty During Project

Modified version of Project Management Institute, A Guide to the Project Management Body of Knowledge, (PMBOK® Guide) – Fifth Edition, Project Management Institute Inc., 2013 Page 40 Figure 2-9 12

PA&EDPID

PS&E (Design)

Construction

Right of Way

Programming & Allocation

AllocateAllocateNeed &

Priority Identified

Prog

ram

med

PA&

ED C

ompl

ete

Con

stru

ctio

n C

ompl

ete

Des

ign

Com

plet

e

Risk and Uncertainty

Low

High

Clo

seou

t Com

plet

e

Preliminary Engineering Construction

Greater than 120%

Supplemental to• Complete Construction• Complete Closeout

Project Amendments

LEGENDPID Project Initiation DocumentPA&ED Project Approval and Environmental DocumentPS&E Plans, Specifications and EstimateRTL Ready to List for Advertising

13

Supplemental Funding and Greater Than 20% Allocation Requests

95-99% of

Projects

Project Cost Risk Management

Watch List

Caltrans District - Project Change Management

CTC

Caltrans HQ - Project Change Management

Questions?

14