1. April 12, 2012 California Department of Transportation PID Committee Meeting STIP and Local PID Workload Framework

2. Presentation Overview April 12, 2012 California Department of Transportation 2 Problem Statement Framework Objectives Summary of Proposed Framework Walk Through the Proposed Framework Questions

3. Problem Statement April 12, 2012 California Department of Transportation 3 In order to zero-base its Project Initiation Document (PID) workload and align the development of PIDs with available funding capacity for new transportation projects on the State Highway System, Caltrans must clearly explain how projects transition from 20-year financially-constrained Regional Transportation Plans (RTP) into the Caltrans’ PID workload. RTP (20-Year List of Candidate Projects) ???PID Workload

4. Framework Objectives April 12, 2012 California Department of Transportation 4 Tell the story to Department of Finance (DOF), Legislative Analyst Office (LAO), and the Legislature how projects transition from the 20-Year Regional Transportation Plans (RTP) to the PID workload. Tie priority candidate and shelf projects in the PID workload to “anticipated” funding. Establish a formalized process where the Caltrans and local and regional agencies can work together to develop PID needs.

5. Summary of Proposed Framework April 12, 2012 California Department of Transportation 5 Step 1: Develop and Update Caltrans and Local Plans Step 2: Develop and Update Regional Transportation Plans Step 3: Assess Four-Year Funding Capacity for New Projects Step 4: Assess RTPs for Highest Priority Projects Step 5: Develop Financially-Constrained List of Candidate and Shelf Projects Step 6: Determine PID Workload for future years Step 7: Develop Budget Proposals and Allocate Resources Step 8: Develop and Oversee PIDs Step 9: Update Four- Year List of Candidate Projects as PIDs are Completed Step 10: Measure Performance

6. Develop and Update Caltrans, Local, and Regional Plans (Steps 1 and 2) April 12, 2012 California Department of Transportation 6 Caltrans develop and update system planning products for long-range transportation needs. Local agencies develop and update plans at the local level which includes general plans, transit plans, bicycle and pedestrian plans, and other plans. Regional agencies develop and update RTPs which include financially-constrained lists of proposed projects.

7. Assess Four-Year Funding Capacity for New Projects (Step 3) April 12, 2012 California Department of Transportation 7 Using the financial assumptions in the RTP as a basis, local agencies would need to assess “anticipated” funds covering 4 years (e.g. STIP, other state fund sources, local measure, etc.). Four years of “anticipated” funds would represent funding capacity to program new projects (with a PID) into Project Approval and Environmental Document (PAED) phase within 4 years.

8. Basis for Four-Years of Funding April 12, 2012 California Department of Transportation 8 The State Transportation Improvement Program (STIP) is a 5-Year Program. Through the adopted Fund Estimates, Years 1 through 3 are typically consumed with existing projects in the STIP; and New funding is added last 2 years, a total of 1.466 billion. 2012 STIP Commission Staff Recommendation advises Caltrans to use this approach. 2012-132013-142014-152015-162016-17 2012 STIP Target Capacity$761$633$683$733 2010 STIP Program 931506 62500 Net Difference($170)$127$59$733

9. More About the STIP April 12, 2012 California Department of Transportation 9 Due to the State budget process, PID workload and budget development would cover two (2) STIP cycles. PID development for FYs 2011-12 and 2012-13 would cover the 2014 STIP. STIP PIDs should be completed prior to 12/2013 in time for the RTIP adoptions. PID development for FYs 2013-14 and 2014-15 would cover the 2016 STIP. The PIDs should be completed prior to 12/2015. Hence, four-years of funding comes from two STIP cycles (two years for each STIP cycle).

10. 20-Years vs. 4-Years April 12, 2012 California Department of Transportation 10 Years Fund Sources123456-17181920Total STIP$10M $120M$10M $200M Local Measure$50M $600M$50M $1,000M Total$60M $720M$60M $1,200M Years Funding Sources1234Total STIP$10M $40M Local Measure$50M $200M Total$60M $240M Regional Transportation Plan (20-Years) Funding Highest Priority Projects (4-Years)

11. Assess RTPs for Highest Priority Projects (Step 4) April 12, 2012 California Department of Transportation 11 Based on the RTP, develop a list of priority candidate projects that can reasonably be programmed (or funded) over the next 4 years. During this phase of the process, the list should be constrained based on an agency’s ability to fund projects over a four-year period, not availability of PID resources. Consider incorporating candidate projects with completed PIDs and candidate projects with PIDs in development. Do not provide specific years that the projects will be funded until the PID is developed. Only identify the planned STIP funding cycles (2014 or 2016) For STIP projects.

12. Develop List of Candidate and Shelf Projects (Step 5) April 12, 2012 California Department of Transportation 12 Financially-Constrained List of Candidate Projects (Funding over 4 Years) Proposed PIDs for Candidate Projects Ongoing PIDs for Candidate Projects Completed PIDs for Candidate Projects Represent a comprehensive list of priority candidate and shelf projects that can be funded in the next 4 years. All projects on the list must be included an approved RTP. Comprehensive approach to managing the PID shelf The total project list should not exceed total “anticipated” funding capacity. RTP Proposed Projects (Funding over 20 Years)

13. Determine PID Workload (Step 6) April 12, 2012 California Department of Transportation 13 Based on the list of candidate projects, Caltrans districts and regional and local agencies will determine PID resource needs. Include resources needed to update older PIDs that are still a priority and in a RTP. Financially-Constrained List of Candidate ProjectsPID Resources (PY) RoleRouteImprovementYear 1Year 2Year 3 Lead5Interchange Improvement.5 Oversight50Lane Widening.1.2 Lead80Auxiliary Lane Oversight99Mobility Improvement

14. Develop Budget Proposals and Allocate Resources (Step 7) April 12, 2012 California Department of Transportation 14 Using the resource needs identified in the list of candidate projects, the Caltrans will allocate resources to the districts and develop budget proposals for upcoming budget years.

15. Develop, Oversee, and Monitor PIDs (Steps 8, 9, & 10) April 12, 2012 California Department of Transportation 15 Based on approved resources, districts will use state and/or reimbursement resources to develop and oversee PID development. As PIDs are completed and updated, Caltrans districts will coordinate with local and regional agencies to update information in the candidate list of projects (e.g. PIDs completed, project costs, etc.). Caltrans will measure the performance of PIDs, which include: PIDs developed vs. projects programmed; Costs and time needed to develop and oversee PIDs; and For Caltrans lead projects, performance of streamline PIDs vs. outcomes in project delivery (local agencies may want to use a similar approach with their projects).

16. Questions April 12, 2012 California Department of Transportation 16