Projection Initiation Document (PID) Streamlining

April 12, 2012California Department of TransportationPID Committee MeetingProject Initiation Document (PID) Streamlining

PID Streamlining OverviewTimeline ReviewGuidance ChangesCaltrans ExpectationsWhat Have We Heard So Far?Useful ResourcesTakeawaysNext StepsFeedbackApril 12, 20122California Department of TransportationPID Streamlining Timeline ReviewApril 12, 20123California Department of TransportationPID Value Analysis StudyPID Value Analysis (VA) Team included Caltrans staff and regional and local partners met early 2011.Met February 1-3 and March 22-24.Local Agency Participation: Santa Clara Valley Transportation Authority, Riverside County Transportation Commission, and Orange County Transportation CommissionCaltrans Participation: HQ Design, HQ Planning, D3, D4, D5, D6, D8, and D12.VA Team Recommended:Streamlining the existing Project Study Report-Project Development Support (PSR-PDS) .Developing new local PID (PSR-Local).April 12, 20124California Department of TransportationPID VA Team Key RecommendationsPSR-PDSPSR-LocalApril 12, 2012California Department of Transportation5Implement for local projectsStreamline the processReview this teams findings to immediately improve the PSR/PDS processRemove optional wording throughout the documentRemove redundant workIdentify and assign risk ownershipShorten PID delivery and reduce costsEncourage stronger partnerships and communicationImprove quality of local PIDsAllow projects to move to the next phaseOrder of magnitude cost estimatesUse existing information onlyMinimal engineering detail for preliminary geometricsPSR-PDS Interim Guidance MemoApril 12, 2012California Department of Transportation6Caltrans Director issued PSR-PDS interim guidance memo to districts and regional and local partners April 2011.PSR-PDS is the standard PID for all STIP and locally-funded projects unless agencies seek and obtain approval from Caltrans District Director to use an alternative PID.The use of an alternative PID format is contingent on the availability of resources.PSR-PDS Guidance DevelopmentApril 12, 2012California Department of Transportation7Team of core Caltrans staff from the VA team met between April and August 2011 to streamline PSR-PDS guidance.HQ Planning provided updates to the PID Committee and other stakeholders throughout the process.Nine PID Committee Meetings.Three PID Steering Committee Meetings.Draft PSR-PDS guidance sent to districts and regional and local agencies for review and comment on August 5, 2011.RTPA Yahoo Group Distribution ListLocal PID Stakeholders via DistrictsDistricts and HQ DivisionsCore Caltrans staff reviewed comments during the month of September 2011.Guidance CommentsApril 12, 2012California Department of Transportation8Local and Regional Agency InputApril 12, 2012California Department of Transportation9Nine local and regional agencies and one organization representing local agencies provided commentsMetropolitan Transportation CommissionSan Francisco County Transportation Authority Santa Clara Valley Transportation AuthoritySanta Cruz County Regional Transportation CommissionTransportation Agency for Monterey CountyLos Angeles County Metropolitan Transportation AuthoritySan Bernardino Associated Governments/TransNetOrange County Transportation AuthorityCity of IndustryCalifornia State Association of CountiesLocal Comments by ChapterApril 12, 2012California Department of Transportation10ChapterDescription# of Comments1Introduction (Purpose for PSR-PDS and Applicability)112PSR-PDS Process (Preparation Procedures)443Outline for PSR-PDS134Estimates05Scoping Tools116PID Templates988PSR-PDS Guidance ImplementationApril 12, 2012California Department of Transportation11Guidance was finalized in October 2011.Project Development Procedures Manual (PDPM) updated in November 2011.Training given via web conference between November 2011 and January 2012.Held seven 1-2 hour training sessions via web conference. All sessions are posted to Caltrans website.Posted nine short introductory videos on Caltrans website. Each video highlights various changes in the guidance.PSR-PDS OverviewApril 12, 2012California Department of Transportation12Key opportunity for Caltrans and regional and local agencies to achieve consensus on the project purpose and need, scope, and schedule.Means for gaining scope approval to move into the Project Approval and Environmental Document (PA/ED) phase.PSR-PDS does not provide conceptual approval of the project.Costs EstimatingIdentifies the support costs needed to complete PA/ED.Identifies a reasonable range of alternatives each with order of magnitude (or ballpark) capital costs. The projects capital cost will be identified in the project report, the outcome of the PA/ED.Reducing RedundanciesApril 12, 2012California Department of Transportation13Cost EstimatesEstimate the support costs that will be needed to complete PA&ED.Use ballpark cost estimates for capital costs.Storm WaterSummarize potential impacts on project alternatives, right of way needs, or project costs.Traffic Engineering Summarize major traffic information.Right of Way, Utilities, and Railroad Summarize anticipated right of way, utilities, and railroad impacts and needs.Design StandardsApril 12, 2012California Department of Transportation14Fact Sheets are not required the goal is to identify potential non-standard geometrics and determine if a Mandatory or Advisory Design Exception is anticipated.Consult Headquarters Design Coordinator and discuss design exceptions with Headquarters Design Coordinator.Design exceptions will be approved or denied early in the project report and PA/ED phase before circulation of environmental document.EnvironmentalApril 12, 2012California Department of Transportation15Preliminary Environmental Analysis Report (PEAR) includes:A discussion of environmental resources and a description of the potential project issues or impacts, which could delay the project or affect any project alternative.Description of studies that are needed to complete an environmental evaluation in PA/ED.A recommended environmental determination/documentation and a tentative schedule for its completion in PA/ED.Required or anticipated permits or approvals.PEAR is not an environmental document nor is it a report of environmental analysis.The level of detail in a PEAR should be proportionate with the level of detail in the PID document. The PEAR should be a concise (approximately 5 to 15 pages).Value-Added WorkApril 12, 2012California Department of Transportation16Transportation PlanningThe Transportation Planning Information Sheet summarize all transportation planning issues related to the project. This will drastically reduce risks by validating consistency with established planning concepts and statewide goals.Risk RegisterThe Project Development Team (PDT) must discuss and evaluate potential risks.Ownership of the risks shall be identified.Major risks shall be identified and monitored throughout project development.Quality Management Plans for Local SHS PIDsEstablish quality requirements for PIDs.Facilitate an effective and efficient process for the development, review and approval of PIDs for State Highway System (SHS) projects sponsored by others.PID OversightApril 12, 2012California Department of Transportation17Goal is to shorten and standardize the review and approval of locally-developed PIDs for SHS projects and ensure that proposed SHS projects are in accordance with Caltrans standards, policies and practices.Define quality and characteristics for measuring quality for all PIDs.Self assessment for local agencies performing Quality Assurance/Quality Control (QC/QA).Caltrans will perform Independent Quality Control (IQA) by examining overtime how well local agencys quality processes (i.e. QC/QA) are working.HQ Design anticipates providing guidance to districts by summer of 2012.Hold pre-PID meetingsDiscuss PID procedures, roles and responsibilities, and expectations prior to PID development.Set the framework for getting consensus of purpose and need.Periodic consultation meetings over the life of the PID development.Caltrans ExpectationsApril 12, 2012California Department of Transportation18Reduce overall costs to complete the PSR-PDSCompared to historical expenditures, we expect the PSR-PDS streamlining to save the Caltrans and local agencies anywhere between 30 and 50 percent depending on the project.Shorten the schedule of PSR-PDS development to a maximum of 18 months.Tailor PIDs to urgency, complexity, risk, and need of each project.Since every project is unique, only include elements that are essential and necessary for successful project delivery.What Have We Heard So Far?April 12, 2012California Department of Transportation19Functional units are on board with streamlined PSR-PDS but additional training is still needed.Streamlined PSR-PDS documents are less cumbersome.Cost estimating is simplified - looking at a range is helpful.PSR-PDS attachments are shorter.Have support of local agencies in developing future lead streamlined PSR-PDS documents.For consistency, need to establish a methodology for developing reimbursement costs for PSR-PDS development and oversight so local agencies know what to expect.Useful ResourcesApril 12, 2012California Department of Transportation20Project Development Procedures Manual (Appendix S)http://www.dot.ca.gov/hq/oppd/pdpm/pdpmn.htmScoping Tools Websitehttp://www.dot.ca.gov/hq/tpp/offices/opsc/project_scoping.htmlPSR-PDS Introductory Videoshttp://www.dot.ca.gov/hq/tpp/offices/opsc/psr-pds_intro_videos.htmlPSR-PDS Training http://www.dot.ca.gov/hq/tpp/offices/opsc/psr-pds_training.htmlOPSC Website http://www.dot.ca.gov/hq/tpp/offices/opsc/index.htmlTakeawaysApril 12, 2012California Department of Transportation21Continue to work and coordinate with local agencies to innovate and identify opportunities to streamline the PID.PSR-PDS streamlining incorporated the PSR-Local concepts.It is premature to evaluate the success or failure on the streamlined PSR-PDS as the guidance was implemented in November 2011 and training was completed January 2012.Caltrans and local agencies invested significant time and resources on streamlining the PSR-PDS. We need to continue monitor and assess the streamlining work.The streamlined PSR-PDS strikes a balance and is an option to move a project into the PA/ED quickly.Next StepsApril 12, 2012California Department of Transportation22Develop best practices as PSR-PDS documents are produced and we move forward.Document challenges and successes throughout the processMonitor performance of the PSR-PDS over time.Expected and actual costs to develop and oversee PIDs.Expected and actual time to develop and oversee PIDs.Are PID stakeholders expectations being met?Identify potential improvements.Update PSR-PDS guidance and other guidance, as needed.FeedbackApril 12, 2012California Department of Transportation23

Do the changes in the PSR-PDS guidance reflect PID streamlining?Is Caltrans on the right track?