System Planning To Programming SP2P System Planning To Programming Project Study Team Meeting May 23, 2016

AGENDA Project Status Update Draft report: Existing Processes, Gaps, Issues, Constraints, Opportunities for Improvement Coordination with other initiatives Action Items / Next Meeting

STUDY PURPOSE Analyze existing Caltrans system planning to programming process to ensure an efficient and integrated process for reaching decisions and implementing transportation solutions Provide recommendations for improving communication, consultation, and exchange of data between stakeholders involved in the SP2P process

PROJECT SCHEDULE 1. Stakeholder Identification June – Sept 2015 Task Description Timeframe 1. Stakeholder Identification June – Sept 2015 2. Outreach, Interview, Information Gathering; Analyze SP2P Process and Identify Improvement Opportunities Oct 2015 – May 2016 3. Develop Strategies and Recommendations for Improvement May – July 2016 4. Develop Draft Study Report and Deliverables and Circulate to Stakeholders for Review and Comment July – Sept 2016 5. Circulate Draft Study Report and Deliverables for Review and Incorporate Comments Sept – Nov 2016 6. Circulate Final Draft Study Report and Deliverables for Review and Incorporate Comments Nov 2016 – Feb 2017 7. Distribute Final Report and Deliverables; and Finalize Consultant Contract Feb 2017

STATUS Over 75 Caltrans staff and external partners interviewed Every Caltrans district and key HQ managers CTC, CalSTA Rural Counties Task Force, Self Help Counties Coalition Discussions with HQ Planning on coordination with parallel initiatives

FINDINGS Lack of standard process System planning by Caltrans not valued by funding partners Lack of involvement in SHOPP Lack of involvement in ITIP Stakeholders want CSMPs Value of system planning varies by district type Some districts are pursuing changes

GAPS, ISSUES, CONSTRAINTS, OPPORTUNITIES

Gap #1: Caltrans System Planning documents are not used to program funds No apparent use of TCRs for programming either internally or externally Disconnect most pronounced in urban districts Constraints: Majority of funding controlled at local levels Agencies frequently bound by project lists in sales tax measures Opportunities: Strengthen planning documents and develop collaboratively Implement processes to generate specific project recommendations

Gap #2: Link from Caltrans System Planning documents to RTP is weak District staff not actively engaged in RTP development Lack of specific project recommendations Constraints: Caltrans “not at the table” in RTP development, especially in urban areas Opportunities: Develop performance-based recommendations in collaboration with partners Provide training so staff can be more engaged in RTPs Explore institutional partnerships such as for D-11/SANDAG

Gap #3: System Planning documents not developed collaboratively Minimal collaboration both internally and externally Little “buy-in” from other Caltrans functions Constraints: Lack of needed technical and collaboration skill sets Insufficient resources to distribute to other internal functions Insufficient time & resources for active external engagement Opportunities: Re-assess existing system planning process and develop recommendations for type and degree of internal and external collaboration needed

Gap #4: DOF requirement for TCRs has become box-checking exercise District system planning efforts driven by need to meet quota Constraints: Mandated DOF quota and inadequate resources for comprehensive system planning Opportunities: Pursue budget change proposal, or investigate modification to DOF agreement Investigate potential efficiency measures

Gap #5: Lack of metrics & recommendations that link to programming TCRs mainly collection of capacity-expansion projects Concepts vs. specific project recommendations Constraints: Insufficient resources to develop recommendations that are meaningful to programming No guidance for performance-based assessment framework Opportunities: Identify metrics meaningful to programming decision-makers Leverage TAG/TISG work Investigate ways to expand data sources and availability

Gap #6: Lack of comprehensive planning leads to scope creep System planning process is opportunity to fully identify scope, features and regulatory hurdles Constraints: Insufficient time and resources to develop detailed project recommendations No guidance on key issues that should be investigated that would be useful during project development Opportunities: Develop list of regulatory issues and project features that should be considered in corridor planning

Gap #7: Funding silos result in isolated planning for each fund source Complex funding environment with different fund sources, different controlling agencies, different project selection processes, different goals and timelines Constraints: Funding silos makes comprehensive corridor planning difficult Opportunities: SHOPP Asset Management pilot project System planning process should consider all possible fund sources

Gap #8: Analysis & planning expertise do not match programming needs Comprehensive system planning requires ability to conduct quantitative performance-based assessments Constraints: Technical analysis capabilities lacking in many districts Training resources limited Opportunities: Identify skill gaps as part of Planning Froward charter teams Consider cross-training with other functions Share analysis duties with local partners

Gap #9: Transportation budget shortfalls undermine relevance of system planning Some external stakeholders question the value of Caltrans long term planning since it controls only a small portion of funding. Constraints: Continual budget shortfalls negate effectiveness of long term plans Caltrans controls only a portion of funding, so has limited authority Opportunities: Collaborative system planning

Gap #10: Communication & coordination Definition of “collaboration” differs Constraints: Limited coordination with internal and external partners Large number of stakeholders Trust issues generated from limited communication Opportunities: Identify communication & coordination needs, both statewide and for each district Conduct joint workshops with internal and external partners

NEXT STEPS Joint SP2P-P4Ops Workshops How best to organize workshops? Evaluate roles & responsibilities related to system management at Caltrans Identify information gaps, and responsibilities for data gathering and analytics Identify P4Ops functions as they relate to system management and programming Identify collaboration and communication needs How best to organize workshops?