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April 12, 2012 California Department of Transportation PID Committee Meeting Project Initiation Document (PID) Streamlining

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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

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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

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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

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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

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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.

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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.

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Guidance Comments April 12, 2012 California Department of Transportation 8

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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

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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

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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.

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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.

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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.

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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.

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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).

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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.

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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.

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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.

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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.

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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

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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.

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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.

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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?