Project Initiation Document (PID) Strategic Plan

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 2012-13

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



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: PlanningYear 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.


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 DesignYear End Target: 100%Due Date: June 30, 2013




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.



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 MaintenanceYear End Target: 100%Due Date: December 2012


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 SHOPPYear End Target: TBDDue Date: December 30, 2012


Strategy 1.2.6. 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



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 DesignYear End Target: 100%Due Date: March 2013


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: PlanningYear End Target: 100%Due Date: March 2013

Strategic Goals 2012-13Goal 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: PlanningYear 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: PlanningYear End Target: 100%Due Date: FY 12/13 Quarterly

Goal 2: Caltrans will continue to improve management of the PID program and PID resourcesObjective 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: PlanningYear End Target: 100%Due Date: October 1, 2013


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.



Strategy 2.1.5: Reassess workload norms on an annual basis

- Assess norms by program

Lead: PlanningYear End Target: 100%Due Date: September 1, 2013


Strategy 2.1.6: Utilize annual District Agreements to monitor Program deliverables.

- Monitor number of projects completed.



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: PlanningYear End Target: 100%Due Date: FY 12/13 Quarterly and Biannual


Strategy 2.1.8: Analyze resource allocation vs. expenditure on an annual basis

- Reimbursable (0042R) and Non-Reimbursable (0042)



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 DesignYear End Target: 100%Due Date: TBD


Strategy 2.1.10: Annually evaluate adherence to the 3-year PID Work Program.


Goal 2: Caltrans will continue to improve management of the PID program and PID resourcesObjective 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: PlanningYear End Target: 100%Due Date: FY 12/ 13 Quarterly


Strategy 2.2.2: On a project basis, monitor the percent complete compared to the percent of resources expended on a quarterly basis.



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


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


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



Strategy 2.2.6: Headquarters to provide expenditure reports on a quarterly basis.

- Expenditures vs. allocations by program.



Strategy 2.2.7: District PID Program representative attendance at PDT meetings.

Lead: PlanningYear End Target: 100%Due Date: June 30, 2013 Ongoing


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: PlanningYear End Target: 100%Due Date: October 8-10, 2012



Strategy 3.1.2: Headquarters PID staff will conduct district wide visits to provide training on PID procedures, as needed.




Strategy 3.1.3: Caltrans will provide training for new streamlined PIDs (i.e. CAPM)

Lead: Planning, Headquarters SHOPPYear End Target: 100%Due Date: TBD



Strategy 3.1.4: Caltrans will ensure PID guidance is available online.




Strategy 3.1.5: Caltrans will attend partner meetings with local agencies to provide program updates.

Lead: PlanningYear End Target: 100%Due Date: TBD


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.



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.




Strategy 3.3.2: Establish email notification when new information is posted to Intranet.




Strategy 3.3.3: Central location for communication “in-basket” for new PID program information posted to the Intranet.


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. Goals Objectives StrategiesOriginal 3 5 12Modified 0 2 7Added 0 3 24

Total 3 8 36

Next Steps…

Strategic Plan Process

Present to Steering Committee OPSC monitors implementation of Action Plan

Documents

Project Initiation Document (PID) Strategic Plan