April 12, 2012 California Department of Transportation PID
Committee Meeting Project Initiation Document (PID)
Streamlining
Slide 2
PID Streamlining Overview Timeline Review Guidance Changes
Caltrans Expectations What Have We Heard So Far? Useful Resources
Takeaways Next Steps Feedback April 12, 2012 2 California
Department of Transportation
Slide 3
PID Streamlining Timeline Review Feb.-Mar. 2011 PID Value
Analysis Team Met Caltrans and Local Participation and Input Apr.
2011 PSR-PDS Interim Guidance Memo Issued Apr.-Aug. 2011 PSR-PDS
Guidance Developed Caltrans and Local Participation and Input Sept.
2011 Caltrans and Local Comments Reviewed Oct. 2011 PSR-PDS
Guidance Finalized Nov. 2011 PDPM Updated (Appendix S) Nov.-Jan.
2012 Training Implemented April 12, 2012 3 California Department of
Transportation
Slide 4
PID Value Analysis Study PID 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
Commission Caltrans 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, 2012 4 California
Department of Transportation
Slide 5
PID VA Team Key Recommendations PSR-PDSPSR-Local April 12, 2012
California Department of Transportation 5 Implement for local
projects Streamline the process Review this teams findings to
immediately improve the PSR/PDS process Remove optional wording
throughout the document Remove redundant work Identify and assign
risk ownership Shorten PID delivery and reduce costs Encourage
stronger partnerships and communication Improve quality of local
PIDs Allow projects to move to the next phase Order of magnitude
cost estimates Use existing information only Minimal engineering
detail for preliminary geometrics
Slide 6
PSR-PDS Interim Guidance Memo April 12, 2012 California
Department of Transportation 6 Caltrans 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.
Slide 7
PSR-PDS Guidance Development April 12, 2012 California
Department of Transportation 7 Team 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
List Local PID Stakeholders via Districts Districts and HQ
Divisions Core Caltrans staff reviewed comments during the month of
September 2011.
Slide 8
Guidance Comments April 12, 2012 California Department of
Transportation 8
Slide 9
Local and Regional Agency Input April 12, 2012 California
Department of Transportation 9 Nine local and regional agencies and
one organization representing local agencies provided comments
Metropolitan Transportation Commission San Francisco County
Transportation Authority Santa Clara Valley Transportation
Authority Santa Cruz County Regional Transportation Commission
Transportation Agency for Monterey County Los Angeles County
Metropolitan Transportation Authority San Bernardino Associated
Governments/TransNet Orange County Transportation Authority City of
Industry California State Association of Counties
Slide 10
Local Comments by Chapter April 12, 2012 California Department
of Transportation 10 ChapterDescription # of Comments 1Introduction
(Purpose for PSR-PDS and Applicability) 11 2PSR-PDS Process
(Preparation Procedures) 44 3Outline for PSR-PDS13 4Estimates0
5Scoping Tools11 6PID Templates9 88
Slide 11
PSR-PDS Guidance Implementation April 12, 2012 California
Department of Transportation 11 Guidance 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.
Slide 12
PSR-PDS Overview April 12, 2012 California Department of
Transportation 12 Key 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
Estimating Identifies 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.
Slide 13
Reducing Redundancies April 12, 2012 California Department of
Transportation 13 Cost Estimates Estimate the support costs that
will be needed to complete PA&ED. Use ballpark cost estimates
for capital costs. Storm Water Summarize 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.
Slide 14
Design Standards April 12, 2012 California Department of
Transportation 14 Fact 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.
Slide 15
Environmental April 12, 2012 California Department of
Transportation 15 Preliminary 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).
Slide 16
Value-Added Work April 12, 2012 California Department of
Transportation 16 Transportation Planning The 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 Register The 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 PIDs Establish 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.
Slide 17
PID Oversight April 12, 2012 California Department of
Transportation 17 Goal 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 meetings Discuss 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.
Slide 18
Caltrans Expectations April 12, 2012 California Department of
Transportation 18 Reduce overall costs to complete the PSR-PDS
Compared 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.
Slide 19
What Have We Heard So Far? April 12, 2012 California Department
of Transportation 19 Functional 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.
Slide 20
Useful Resources April 12, 2012 California Department of
Transportation 20 Project Development Procedures Manual (Appendix
S) http://www.dot.ca.gov/hq/oppd/pdpm/pdpmn.htm Scoping Tools
Website
http://www.dot.ca.gov/hq/tpp/offices/opsc/project_scoping.html
PSR-PDS Introductory Videos
http://www.dot.ca.gov/hq/tpp/offices/opsc/psr-pds_intro_videos.html
PSR-PDS Training
http://www.dot.ca.gov/hq/tpp/offices/opsc/psr-pds_training.html
OPSC Website
http://www.dot.ca.gov/hq/tpp/offices/opsc/index.html
Slide 21
Takeaways April 12, 2012 California Department of
Transportation 21 Continue 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.
Slide 22
Next Steps April 12, 2012 California Department of
Transportation 22 Develop best practices as PSR-PDS documents are
produced and we move forward. Document challenges and successes
throughout the process Monitor 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.
Slide 23
Feedback April 12, 2012 California Department of Transportation
23 Do the changes in the PSR-PDS guidance reflect PID streamlining?
Is Caltrans on the right track?