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CHAPTER 1 Introduction Overview Airports are facing unprecedented challenges as they struggle to manage competing demands from a diverse group of stakeholders, decreasing financial resources, crowded airspace, and higher expectations of a traveling public. Responding to the needs of new and financially unsta- ble airlines as well as changing safety and security issues have overwhelmed many airports and their financial resources. To stay competitive in this industry, it is critical for airports to be on top of the changes and to maintain state-of-the art facilities with the safety and comfort of the traveling public as a top priority. This translates into significant funds invested to maintain and improve facilities. The capital planning process provides one of the most effective mech- anisms for organizations to plan and manage investments to get the best results for the available resources. Airports usually enumerate capital investment requirements in a capital improvement plan or program composed of many individual projects that together form a plan to maintain and improve airport facilities. A typical capital plan outlines how the plan was developed, how its constituent projects will be funded, and how the financing plan will affect airport rates and charges. However, every airport has a different capital planning process based on its size, com- plexity and organization, and many have not formally documented the processes. As demands for services increase while funding and staffing become more limited, many air- ports are so overwhelmed with resource constraints and organizational changes that the value and importance of collaborating on the airport capital planning process is not considered or abandoned. Currently, there is minimal guidance available on how to develop and implement an airport capital plan or how to measure the performance of key programs and projects, and there is little or no guidance on how to do either collaboratively. Airports continue to face chal- lenges to establishing collaborative procedures, developing useful performance metrics and selecting appropriate and cost-effective information technology systems to develop and imple- ment their capital plans. This Handbook provides the guidance airports have needed to address these challenges. Objective of the Collaborative Airport Capital Planning Process and the Handbook The objective of this Handbook is to research best practices in airport capital planning and outline a process for developing, implementing and overseeing a Collaborative Airport Capital Planning (CACP) process. This Handbook provides a guide for the development, implementa- tion and oversight components of the process, which details the basic goals, key actions, timing, key participants, methods for communicating and collaborating, recommended products and suggested results for a CACP process. 1
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2 Collaborative Airport Capital Planning Handbook This Handbook is a guide, not a prescriptive "how to" manual, for a CACP process. It includes methods for effective communication and collaboration among the parties responsible and accountable for the airport capital plan (ACP). It demonstrates the importance of a carefully planned and managed capital planning process and the value of a CACP process for developing financially sound capital plans, predictive execution and delivery of projects, accountable per- formance and reliable results regardless of political, management or leadership changes. This Handbook provides illustrative examples of · Best practices currently in use, · Methods and processes for implementing and sustaining collaboration throughout the process, · Performance metrics for achieving collaboration (qualitative and quantitative), and · Sample guidance strategies and methods to assist managers in achieving a CACP process. The CACP process has three components: 1) The Foundation: Leadership, 2) The Nuts and Bolts: Development and Implementation Phases of the CACP process; and 3) Checks and Bal- ances: Oversight. This Handbook includes a step-by-step process that outlines the actions to be completed in each step, defines the roles and responsibilities of key participants, recommends methods for collaboration and communication and suggests products to get the results. The process in this Handbook is designed for use by airports of different sizes, organizations, governing structures, and management characteristics, and will therefore be flexible in its appli- cation. Furthermore, this process is presented in detail in this Handbook. In an ideal world, all airports could do every step of this process in its entirety. However, smaller airports with fewer resources (funding and personnel) might start with a simplified version of the steps presented herein and build from there, and larger airports with hiring freezes and financial challenges might start with a streamlined version of the process to reduce the demand on resources. Figure 1 illustrates how the number of steps and level of detail may change depending on the airport size, number of facilities and complexity of capital projects and programs. This process can be simplified or streamlined to fit any size airport. The mechanics of the Development and Implementation phases are more complex due to the technical nature of the actions executed in those phases, and that complexity increases with the size of the airport and number of facilities. Regardless of the number of steps used in the Development and Implementation phases (see Chapter 5), it is always important to build a strong foundation to address the four areas of Lead- ership discussed in Chapter 4 (Agency Policy, Organization, Resources and Management) and to establish a system of Checks and Balances for executing the four elements of Oversight outlined in Chapter 6 (Performance Management, Evaluation, Meeting and Reporting and Motivation). These two components, Leadership and Oversight, are critical to establishing a collaborative organization that is flexible, transparent and accountable. Research This Handbook is based on research that included a literature search and preliminary and detailed surveys. The following is a summary of the research effort. The Literature Search. Hundreds of sources were examined, including documents and web- sites, from many industries, including · Aviation; · Transportation; · Program and project management; · Capital program and asset management systems and technology; and · Housing, healthcare, and secondary and higher education.
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Introduction 3 GA/Non-Hub Small/Medium Hub Large Hub 1. ACP Policy, Planning 1. ACP Policy 1. Translate Mission and Goals and Programming 2. Financial Planning 2. Targets, Revenue and Operating Expenses 3. Capital Plan Revisions 3. Capital Planning 4. Identify Needs 5. Develop ACP Project Request List Development 4. Programming 6. Prioritize Projects 7. Identify Funding Sources 8. Analyze ACP Project Request List Leadership Oversight 9. Financial Analysis of ACP 10. Trade-Off Analysis 2. Draft ACP 5. Draft ACP 11. Draft ACP 12. Vet with Stakeholders 13. Final ACP Approval 3. Planning and Design 6. Project Planning and Definition 14. Planning Studies and Project Definition Implementation 7. Design 15. Design 4. Construction, Closeout 8. Construction 16. Construction and Evaluation 9. Project Closeout and 17. Project Closeout Evaluation 18. Project Evaluation 5. Operation 10. Operation 19. Operation Figure 1. The CACP process and airport diversity.