Stakeholder Engagement Plan

CALTRANS SYSTEM PLANNING TO PROGRAMING STUDY (SP2P) Stakeholder Engagement Plan Final 9/1/15 Prepared By Emergent Transportation Concepts, Kittleson & Associates, Inc. and System Metrics Group

SP2P Stakeholder Engagement Plan FINAL 9/1/15 2 Purpose of this Plan The purpose of this document is to lay out a plan for identifying and engaging stakeholders in this System Planning to Programming (SP2P) Study effort. Caltrans recognizes that a clear understanding of the stakeholders involved and the development of an engagement strategy for managing them is absolutely essential to the success of this project, given the many agencies and functions that are involved in and affected by transportation system planning and programming processes. It is anticipated that this document will be updated as the study progresses to respond to information gathered during some of the initial engagement efforts, with the intent of ensuring that the most efficient and effective engagement strategy is used. Project Background The California Department of Transportation (Caltrans) is investigating means to strengthen its Planning program in response to several calls for transformational shifts in the department s direction. The recently updated mission, vision, and goals in conjunction with a host of broad internal and external reviews direct Caltrans to evaluate all of its functions to ensure that policies and practices are aligned with the new mission, vision and organizational goals. The January 2014 State Smart Transportation Initiative assessment recommended strengthening the planning unit as a key action for Caltrans to improve performance, as well as developing a strategy for using planning information for agency decision-making. The Caltrans Program Reviews conducted in 2012 and in 2014 both called for clarifying department and local agency roles in transportation planning. The Caltrans Improvement Project (Jan 2015) strongly reaffirms the calls for change identified by the SSTI and Program Reviews. These are just the most prominent reviews that recommend culture and process changes within Caltrans. The department conducts numerous system planning efforts, ranging from long-range statewide strategic plans to corridor-specific management plans. The process by which these efforts move from planning recommendations to projects or strategies that are actually allocated funding so that they can be implemented is not consistent from district to district, region to region, and program to program. Moreover, the complex transportation funding environment in California, with the rise of local transportation sales tax measures and SB 45 (1997), has convoluted the interrelationship between the system planning that Caltrans performs and the local & regional choices for use of funding under their control. This System Planning to Programming (SP2P) project seeks to analyze the current state of practice in reaching decisions and implementing transportation solutions, and then identify gaps and opportunities for improvement. The goal of this effort is to ensure that planning and funding decisions are integrated, and that investment choices align with state planning and policy goals. This SP2P study also seeks to provide recommendations for improving communication, consultation, and exchange of data between stakeholders involved in the system planning to programming process.

SP2P Stakeholder Engagement Plan FINAL 9/1/15 3 Project Objectives This study will: 1. Examine the benefits of providing resources to conduct project-related studies earlier during system planning rather than the development of the project initiation document (PID). 2. Provide recommendations to realign the system planning to programming process with the new Caltrans mission, vision, and goals. 3. Analyze the system planning to programming process and provide recommendations to improve communication, consultation, and coordination and exchange of data between stakeholders involved in the system planning to programming process. The final products of this study will include: - A SP2P study report which will include recommendations to improve processes; - An informational booklet outlining the planning process; - A one to two-page informational pamphlet illustrating the system planning to programming process (flowchart); - A final power point presentation; and - A web page template. Deliverables will be provided in hard copy and digital format. Project Approach Broad Stakeholder Engagement Many stakeholders are involved in the SP2P process, both internally within Caltrans and externally with MPOs, RTPAs, and local governments, for which a representative but manageable engagement process is needed. There will be overlap and iteration between some of the tasks, particularly those that involve documenting the processes currently employed, identifying gaps and opportunities, and developing recommendations and strategies for improvement. Ultimately, we will be trying to answer the questions How are programming decisions made? and What changes are necessary to ensure that programming decisions are properly aligned with the department s mission, vision, and goals? The Project Approach graphic below shows a high-level summary of the tasks, deliverables, and corresponding stakeholder engagement process that is envisioned for this study, mapped up against the overall timeframe of this effort (May 2015 through November 2016). The next section outlines the engagement process in greater detail, with an emphasis on who the stakeholders are, and why and how they are being included in this effort.

SP2P Stakeholder Engagement Plan FINAL 9/1/15 4

SP2P Stakeholder Engagement Plan FINAL 9/1/15 5 Project Stakeholder Engagement: Who, What, Where, When, Why and How? Who & Why As stated above, multiple stakeholders are involved in the transportation system planning to programming process, both internally and externally. Within the department, it is necessary to look into the various functional areas that are involved, or should be involved, in the planning part of the process. For example, should realistic funding expectations be factored into the long-range planning process, and if so, should staff from the Transportation Programming unit be more actively involved? What about the involvement of Operations and Maintenance staff? Is there a process by which high-level planning guidance from Headquarters should be translated to actual programming decisions at the district level? Moreover, it is important to recognize that these processes differ from District to District, given the different geographic nature, size and complexity of each. The bulleted list below provides a high-level summary of the various internal Caltrans functions that can be considered as stakeholders in this effort. For a complete listing of all of the internal stakeholders, both at Headquarters and each of the 12 Caltrans Districts, please see Appendix 1 SP2P Stakeholder List. In addition to function, this list has been further stratified by geographic designation as urban, semi-urban, rural or statewide. Internal Caltrans Stakeholders by Function Executive Management Transportation Planning Local Assistance Programming Environmental Analysis Project Delivery Project Management Traffic Operations Maintenance Looking into the external collaboration process is even more important. With the funding decision authority structure in California, any investigation of the system planning to programming process must look into how Caltrans interacts, consults, and collaborates with its local and regional funding partners. Most transportation funding in California is generated and controlled locally, but Caltrans is the owner-operator of the state highway system, and must continue to operate and maintain the system regardless of who paid for the projects. The list below provides a summary of the external stakeholders by agency type. For a complete listing of all of the external stakeholders, please see Appendix 1 SP2P Stakeholder List. The Self-Help Counties Coalition (SHCC) has already been involved in reviewing possible changes to various aspects of the project delivery process, and thus is an important stakeholder to engage with on this effort. For example, the SHCC has requested greater transparency in the development of the Caltrans-controlled SHOPP (for which the department has already begun to do) and they have also been instrumental in updating the Project Initiation Document process. Moreover, again recognizing the differences between the urban and more rural areas, it is also important to seek the input of the Rural Counties Task Force. Other involved statewide agencies have also been included, such as the California State Transportation Agency and the California Transportation Commission. External Caltrans Stakeholders by Agency Type MPOs RTPAs CMAs Tax Authorities Cities Counties Self-Help Counties Coalition (SHCC) Rural Counties Task Force (RCTF) California Transportation Commission (CTC) California State Transportation Agency (Cal STA) Governor s Office of Planning and Research (OPR) US Dept. of Transportation/Federal Highway Administration (FHWA)

SP2P Stakeholder Engagement Plan FINAL 9/1/15 6 What & How Given that this SP2P project seeks to analyze the current state of practice in reaching decisions and implementing transportation solutions, identify gaps, issues and opportunities for improvement, and then develop recommendations for improving communication, consultation, and exchange of information between stakeholders, and given the vast number of stakeholders involved, a strategy is needed to manage this involvement in an effective, yet efficient, way. The following engagement types have been developed specifically for this project to ensure that a representative sampling of all affected agencies, functions, and individuals are involved. Moreover, the purpose and/or strategic objectives of each engagement method are also listed to ensure consistency with the larger study goal of ensuring that planning and funding decisions are integrated, and that investment choices align with state planning and policy goals. 1) PROJECT STUDY TEAM (PST) Provide guidance and oversight on the study direction and project approach to the Consultant and Caltrans Project Management Team Ø Ensure the right topics are covered Ø Ensure the right questions are asked Ø Ensure the right people are consulted Assess study recommendations and determine feasibility Provide broad expertise over a wide range of multi-modal transportation planning and programming processes Review key deliverables for all Tasks 1 7 and attend meetings throughout entire study process (approximately 8 PST meetings, in addition to interviews/small group discussions and workshops) Convened at strategic times throughout the entire duration of the project (May 2015 Nov 2016) Strategize as needed before larger meetings or workshops are held with stakeholders Forum for open, honest discussion of issues and potential impacts (process, policy, technical, etc.) Responsible for follow-up implementation actions after consultant contract ends Membership: Not all Districts need to be represented, but representation by urban, semi-urban and rural areas necessary Must include external partner agency staff, such as from MPOs/RTPAs, CMAs and Tax Authorities from Northern and Southern CA areas Must include internal Caltrans staff representing various functional areas (i.e. Planning, Programming, Project Management/Delivery) in Districts and HQ Must include Senior and/or Management-level staff both internally and externally whose daily work involves dealing with and resolving planning to programming issues Full listing of PST members can be found in Appendix 1 SP2P Stakeholder List No formal chair or voting process needed 2) INTERVIEWS/SMALL GROUP DISCUSSIONS Conducted separately for internals and externals as part of Task 2 Identify Existing System Planning to Programming Process and Deficiencies to solicit open, honest feedback on gaps, issues and constraints in existing system planning to programming processes Conducted as needed involving the appropriate internals and externals as part of Task 4 Develop Strategies and Recommendations for Improvement to circle back on process maps developed and facilitate open collaboration and communication in developing strategies for moving forward and addressing issues

SP2P Stakeholder Engagement Plan FINAL 9/1/15 7 Forum for mapping existing processes, both internally and externally, and for developing recommendations on how to improve these processes Process: Includes select HQ staff that are not members of the PST Includes Transportation Planning Deputy District Directors from all 12 Caltrans districts Includes some small group discussions with other internal divisions present to get a more complete view and better assess internal communication and coordination issues Small group discussions chosen for a sampling of urban, semi-urban and rural areas External interviews conducted for partner agencies in corresponding districts/geographic areas as internal interviews, as well as some statewide agencies like CalSTA, the CTC and the chair of the RCTF Full listing of suggested candidates for interviews/small group discussions can be found in Appendix 1 SP2P Stakeholder List Interview templates developed for both internal and external agency staff and reviewed by PST in advance When conducted separately, internal interviews conducted before external interviews For external agencies, work through MPO, RTPA, CMA or Tax Authority to determine whether additional interviews with representative cities/counties are needed Consultant Team division of internal interviews/small group discussions with corresponding external partner interviews can be found in Appendix 2 SP2P Consultant Interview Assignments Consultant Team will take care of scheduling and interview logistics May be conducted via phone/teleconference, but preferably in person, particularly for the small group discussions 3) LARGER GROUP WORKSHOPS Conducted separately for internals and externals as part of Task 3 Analyze Process and Identify Opportunities for Improvement to solicit open, honest feedback on the process maps and initial assessment of the gaps, issues and constraints identified as part of Task 2 and possible opportunities to address those gaps and improve processes Conducted jointly with internals and externals as part of Task 4 Develop Strategies and Recommendations for Improvement to facilitate open collaboration and communication in developing joint strategies for moving forward and addressing identified issues Conducted jointly with internals and externals as part of Task 6 Circulate Draft Study Report and Deliverables for Review and Incorporate Comments to solicit feedback on the draft study report and other deliverables (informational booklet, pamphlet and web page template) Process: Invitation list includes PST members, internals and externals consulted as part of the interviews/small group discussions, and may include the rest of the agencies listed in Appendix 1 SP2P Stakeholder List Attendees to be determined after Task 2 interviews/small group discussions are complete May be held in both northern and southern California areas at different points in the study process to make travel easier for attendees Video conferencing may also be used to minimize travel for attendees from different regions

SP2P Stakeholder Engagement Plan FINAL 9/1/15 8 4) CALTRANS EXECUTIVE MANAGEMENT BRIEFINGS Secure Executive and Division Chief-level management awareness, buy-in and appropriate staff resource support for project May be coordinated with pre-existing management group meetings, such as PLAN, Operations, and Planning Forward Charter Team meetings Conducted as needed throughout the project, including an initial briefing at the beginning as part of Task 1 Stakeholder Identification and Outreach and towards the end as part of Task 5 Develop Draft Study Report and Deliverables to provide a study update and solicit additional feedback prior to drafting the final report 5) INTERNAL/EXTERNAL AD-HOC MEETINGS Forum for working through specific internal issues between specific functional units/divisions at districts and/or HQ Forum for working through specific issues with specific partner agencies Could include: Ø Meetings with SHCC and RCTF Ø Meetings with specific MPOs, RTPAs, CMAs or Tax Authorities Ø Support to Caltrans for meetings with CalSTA Ø Support to Caltrans for meetings with CTC Ø Support to Caltrans for meetings with DOF/LAO (ex: resource issues) Scheduled only as needed 6) PROJECT WEBSITE Forum by which stakeholders can sign up to receive updates on the project and review and comment on certain deliverables Dedicated to the solicitation of review comments, tracking the team s responses to the comments, and documenting revisions to the study report and other deliverables Process: Access to the SP2P project website will be tiered into different levels, from internal team members having access to all project communication to external stakeholders reviewing approved drafts. The flow of content from one tier to another is governed by the Caltrans Contract Manager. The website will not be accessible by the general public. The website will: Ø Notify registrants of new documents available for review, Ø Make the documents available for downloading or viewing, Ø Facilitate the entry and posting of comments by reviewers so all can see each other s comments, Ø Display the project team s responses to the comments, and Ø Document the ultimate disposition of each comment.

SP2P Stakeholder Engagement Plan FINAL 9/1/15 9 When & Where Each of the six stakeholder engagement methods outlined above will be utilized at different points as appropriate throughout the study process, as shown (in part) on the Project Approach graphic on page 4. Prior to any engagement, especially for the interviews/small group discussions and the larger group workshops, a practical plan will be developed that covers all of the details and logistics associated with the engagement, including who is responsible for doing what both leading up to and on the day of the event. This practical logistics plan will be submitted in advance to the Caltrans Project Manager for review. A Few Final Thoughts Regardless of where ultimate funding authority resides, moving projects and strategies from planning to programming requires multi-agency collaboration, development of credible information in the form of comprehensive multi-modal performance assessments to make decisions, and some degree of advocacy from project sponsors. None of this can done in a vacuum, and thus communication, coordination and collaboration, both internally and externally, is key. Therefore, the stakeholder engagement plan for this study can be seen as one of the most important aspects of this project. Appendices 1. SP2P Stakeholder List 2. SP2P Consultant Interview Assignments