Project Initiation Document (PID) Strategic Plan PID Committee Meeting - November 5, 2012

Overview  Where have we been  Where we are now  Where do we want to be  How do we get there  How do we measure our progress

Where have we been…  Project Initiation Document (PID) Strategic Plan initiated in 2009  Response to Legislative Analyst Office and Legislature request to streamline the PID development process  Developed in collaboration with regional and local partners  Three Year Plan updated annually in January  March 2010  January 2011  The 2010 and 2011 Strategic Plans included the PID workload and resourcing needs.

Where are we now…  Adopted 20 recommendations to improve PID process  Completed 17 of 20 recommendations ( Attachment B – PID Strategic Plan)  Major Accomplishments  Project Study Report – Project Development Support (PSR-PDS)  Small Capital Value Project (SCVP)  Streamlined PID Reimbursement Agreement  Pending recommendations:  Establish a PID conflict resolution process - Summer 2013  Streamline PID review procedures for PID oversight activities – Summer 2013  Develop and use performance measures to manage the PID program – Summer 2013

Where do we want to be…  Provide a Strategic Plan that is independent from the PID workload.  Identify improvements to the PID program rather than workload development  Mission- The overarching goal for the PID Program. Efficiently and collaboratively utilize PID resources to maximize project delivery on the State Highway System (SHS).  Vision- A compelling, conceptual image of the desired future. Create a consistent, transparent, and fiscally-efficient process for delivering PIDs for priority candidate projects identified in state and regional transportation plans.

…and how are we going to get there  Goals- The desired end result.  Define current major priorities  Objectives- Specific and measureable targets for accomplishment of a goal.  Actions- Detailed description of key strategies used to implement each objective.  Complete pending recommendations  Create an action plan with due dates for achieving new objectives.

How do we measure our progress…  Monitor implementation of recommendations/actions  Develop performance measures and monitoring systems  Example: Measure effectiveness of the PSR-PDS in PID streamlining  Anticipated PY versus Actual PY Expended

Since the last PID Committee meeting…  OPSC met with PID management and development staff from all 12 districts.  The districts were divided into three groups and attended 9 WebEx meetings  Expanded remaining Goals, Objectives, and Strategies to improve the PID program.  Groups presented objectives and strategies during Statewide PID Meeting held Oct. 8 – 10 in Sacramento  Statewide WebEx follow up meeting held in October to address outstanding comments/questions.

Goal 1 Caltrans will continue to improve efficiencies throughout the PID process. Goal 2 Caltrans will continue to improve the management of the PID program and PID resources. Goal 3 Caltrans will continue to provide transparent communication with internal and external PID Stakeholders. Strategic Goals

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.1: Caltrans will establish a conflict resolution process. Strategy 1.1.1: Develop a conflict resolution process and update the PDPM and policy documents to include conflict resolution. Due Date: TBD Strategy 1.1.2: Convene an Executive Review Committee in the event that conflict over the necessary content of the PID arises. Due Date: TBD Strategy 1.1.3: Implement and communicate the processes, guidelines, and policies for the conflict resolution process. Due Date: TBD Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.1: Develop process to streamline PID review procedures and oversight activities. Due Date: TBD Strategy 1.2.2: Provide training to District staff to guide the work of PID oversight activities. Due Date: TBD Strategy 1.2.3: Caltrans staff will only review completed PID sections or return the PID with comments indicating what must be done to make the PID reviewable. Priority of review will be to complete PIDs. Due Date: TBD Strategic Goals

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.1: Caltrans will establish a conflict resolution process. Strategy 1.1.1: Coordinate with other Caltrans divisions to develop a conflict resolution process to be incorporated into the PDPM and policy documents. The conflict resolution process should include a District Executive Review Committee, members to be decided by District Director, in the event that conflict over the necessary content of the PID arises during the PID phase. - The conflict resolution process should incorporate the processes set in place in Chapter 2 of the PDPM and in the Conflict Management process in the Project Communication Handbook by Project Management. Strategy 1.1.1: Develop a conflict resolution process and update the PDPM and policy documents to include conflict resolution. Due Date: TBD Strategy 1.1.2: Convene an Executive Review Committee in the event that conflict over the necessary content of the PID arises. Due Date: TBD Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.1: Caltrans will establish a conflict resolution process. Strategy 1.1.2: Implement and communicate the processes, guidelines, and policies for the conflict resolution process. Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.1: Develop process to streamline PID review procedures and oversight activities. - Implement Quality Management System established by Design. - Used on All projects -Included in Coop Agreement and work plan resources - Project Manager schedules review when ready Strategy 1.2.1: Develop process to streamline PID review procedures and oversight activities. Due Date: TBD Lead: Planning and Design Year End Target: 100% Due Date: June 30, 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.2: Provide training to District staff to guide the work of PID oversight activities. Due Date: TBD Lead: Planning and Design Year End Target: 100% Due Date: June 30, 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.3: Caltrans staff will only review completed PID sections or return the PID with comments indicating what must be done to make the PID reviewable. Priority of review will be to complete PIDs. Lead: Planning and Design Year End Target: 100% Due Date: June 30, 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.4: Increase the project value threshold from $3M to $5M to more frequently utilize the streamlined SCVP document. - The SCVP should be considered for every SHOPP project (DOF). Lead: Planning and Maintenance Year End Target: 100% Due Date: December 2012

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy 1.2.5: Consider moving the SHOPP programming deadline from June to September 30 to allow for coordination between Headquarters and District SHOPP and PID staff to produce consistent work programs. - Decision Making Process (Approach) - The June date is required to meet 4/1 even year statutory due date. (Rick Guevell) Lead: Planning and SHOPP Year End Target: TBD Due Date: December 30, 2012

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Objective 1.2: Caltrans will streamline PID review procedures for PID oversight activities. Strategy Provide PID guidance to local agencies to improve quality of documents received and efficiency of Caltrans review, and monitor effectiveness. - Online training course available to internal and external partners (ie. PSR-PDS). - Districts communicate availability of on-line training to local partners Lead: Planning Year End Target: 100% Due Date: June 30, 2012

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Strategy 1.3.1: Caltrans will examine the PEER policy to explore opportunities to expand the parameters for which a PEER can be used. - Caltrans will communicate PEER criteria with local agencies as a tool in the project development process. Objective 1.3: Caltrans will continue to identify opportunities to streamline PIDs Lead: Planning and Design Year End Target: 100% Due Date: March 2013

Goal 1: Caltrans will continue to improve efficiencies throughout the PID process. Strategy 1.3.2: Caltrans will examine the need to improve PEER guidance to the PDPM PID guidance. Objective 1.3: Caltrans will continue to identify opportunities to streamline PIDs Lead: Planning Year End Target: 100% Due Date: March 2013

Strategic Goals Goal 2: Caltrans will continue to improve management of the PID program and PID resources. Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.1: Develop and reassess performance measures to manage PID program. Due Date: TBD Strategy 2.1.2: Continue the PID Committee, including internal and external stakeholders, to continuously evaluate the effectiveness of the PID program and the PID Strategic Plan. Due Date: TBD Strategy 2.1.3: The PID Committee will recommend further improvements related to cost sharing, reducing costs and delays, and streamlining procedures associated with PID oversight. Due Date: TBD Strategy 2.1.4: The PID committee will meet quarterly, or as needed, to report its findings in annual December 1 updates of the PID Strategic Plan. Due Date: TBD

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.1: Develop and reassess performance measures to manage PID program. Due Date: TBD Strategy 2.1.1: Assess performance measures annually to manage the PID program. - Measure how many PIDs were completed within the total resource allocation. Lead: Planning Year End Target: 100% Due Date: September 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.2: Continue the PID Committee, including internal and external stakeholders, to continuously evaluate the effectiveness of the PID program and the PID Strategic Plan. Due Date: TBD Strategy 2.1.2: Continue the PID Committee, meetings, including internal and external stakeholders, on a quarterly basis, to continuously evaluate the effectiveness of the PID program and the PID Strategic Plan. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.3: The PID Committee will recommend further improvements related to cost sharing, reducing costs and delays, and streamlining procedures associated with PID oversight. Due Date: TBD Strategy 2.1.3: On an annual basis, the PID Committee will recommend further improvements related to cost sharing, reducing costs and delays, and streamlining procedures associated with PID oversight. Lead: Planning Year End Target: 100% Due Date: October 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.4: The PID committee will meet quarterly, or as needed, to report its findings in annual December 1 updates of the PID Strategic Plan. Lead: Planning Year End Target: 100% Due Date: October 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.5: Reassess workload norms on an annual basis - Assess norms by program Lead: Planning Year End Target: 100% Due Date: September 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.6: Utilize annual District Agreements to monitor Program deliverables. - Monitor number of projects completed. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.7: Ensure coordination between Headquarters and District SHOPP Coordinators and PID staff. - Quarterly teleconference meetings with District SHOPP Coordinators and PID staff - Biannual teleconference meetings with HQ SHOPP Managers Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly and Biannual

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.8: Analyze resource allocation vs. expenditure on an annual basis - Reimbursable (0042R) and Non-Reimbursable (0042) Lead: Planning Year End Target: 100% Due Date: October 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy 2.1.9: Implement a process to assess the quality of completed PIDs (i.e. did PID meet the anticipated scope, cost and schedule and allocation? Is the PID adequate for future phases?) - Quality Management System (Design) Lead: Planning and Design Year End Target: 100% Due Date: TBD

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.1: Caltrans will develop and use performance measures to manage the PID program. Strategy : Annually evaluate adherence to the 3-year PID Work Program. Lead: Planning Year End Target: 100% Due Date: October 1, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.1: Evaluate, by project, PID expenditures compared to PID allocation on an annual basis. Lead: Planning Year End Target: 100% Due Date: FY 12/ 13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.2: On a project basis, monitor the percent complete compared to the percent of resources expended on a quarterly basis. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.3: Conduct PID Status Meetings with project managers, district SHOPP advisors, and Design representative every six weeks. Lead: Planning, PPM, SHOPP, and Design Year End Target: 100% Due Date: FY 12/13 Every 6 Weeks

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.4: Review and streamline the Project Control process - Measure the length of time it takes to open and close an EA. - Close EA 4 weeks after a PID is approved. - Address 010 projects- expedite movement to next phase - Address the impact of Headquarters fire drills on Project Control - Evaluate HQ multiple levels of approval process to open an EA - Develop common tracking terminology to determine status of project in Advantage Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.5: Reassess the number of copies made for distribution after PID is completed. - Utilize web-based tools - Determine common storage and location policy Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.6: Headquarters to provide expenditure reports on a quarterly basis. - Expenditures vs. allocations by program. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resources Objective 2.2: Caltrans will develop and use a process improvement tool to manage PID resources. Strategy 2.2.7: District PID Program representative attendance at PDT meetings. Lead: Planning Year End Target: 100% Due Date: June 30, 2013 Ongoing

Strategic Goals Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.1: Hold a statewide meeting in Sacramento to provide training to key Caltrans PID staff on new and existing guidance and procedures. Due Date: October 8-10, 2012 Objective 3.2: Caltrans will maintain a PID Committee made up of Caltrans staff and local PID stakeholders. Strategy 3.2.1: Quarterly PID Committee meetings will be held to continuously evaluate the effectiveness of the PID program and recommend further improvements related to cost reductions and streamlining opportunities. Due Date: TBD

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.1: Hold a statewide meeting in Sacramento to provide training to key Caltrans PID staff on new and existing guidance and procedures. Lead: Planning Year End Target: 100% Due Date: October 8-10, 2012

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.2: Headquarters PID staff will conduct district wide visits to provide training on PID procedures, as needed. Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.3: Caltrans will provide training for new streamlined PIDs (i.e. CAPM) Lead: Planning, Headquarters SHOPP Year End Target: 100% Due Date: TBD

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.4: Caltrans will ensure PID guidance is available online. Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.1: Caltrans will provide training for new and existing procedures. Strategy 3.1.5: Caltrans will attend partner meetings with local agencies to provide program updates. Lead: Planning Year End Target: 100% Due Date: TBD

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.2: Caltrans will maintain a PID Committee made up of Caltrans staff and local PID stakeholders. Strategy 3.2.1: Quarterly PID Committee meetings will be held to continuously evaluate the effectiveness of the PID program and recommend further improvements related to cost reductions and streamlining opportunities. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.3: Caltrans will provide early dissemination of information to districts and local agencies through electronic communication and online tools. Strategy 3.3.1: Headquarters PID staff will compose a quarterly newsletter for internal and external staff to communicate current guidance. Lead: Planning Year End Target: 100% Due Date: FY 12/13 Quarterly

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.3: Caltrans will provide early dissemination of information to districts and local agencies through electronic communication and online tools. Strategy 3.3.2: Establish notification when new information is posted to Intranet. Lead: Planning Year End Target: 100% Due Date: June 30, 2013

Goal 3: Caltrans will continue provide transparent communication with internal and external PID Stakeholders. Objective 3.3: Caltrans will provide early dissemination of information to districts and local agencies through electronic communication and online tools. Strategy 3.3.3: Central location for communication “in-basket” for new PID program information posted to the Intranet. Lead: Planning Year End Target: 100% Due Date: June 30, 2013

In summary…  Goals – Remained the same  Objectives – 2 of 5 existing objectives were modified, and 3 added.  Strategies – 7 of 12 existing strategies were modified, and 24 added. GoalsObjectivesStrategies Original3512 Modified027 Added0324 Total3836

Next Steps…  Strategic Plan Process  Present to Steering Committee  OPSC monitors implementation of Action Plan