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

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

3. 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

4. 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

5. 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

6. 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

7. GAPS, ISSUES, CONSTRAINTS, OPPORTUNITIES

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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?