PID Program Guidance and Policy
When is a Project Initiation Document (PID) Required?
Chapter 9 of the Caltrans Project Development Procedures Manual states that projects shall be adequately scoped prior to approval for funding. The basis for scope, cost, and schedule shall be documented in a PID for all major projects on the State Highway System (SHS).
Projects funded by others will require an encroachment permit and either a permit engineering evaluation report (PEER) or a PID using the Project Study Report - Project Development Support (PSR-PDS) template.
If a project is considered to be a non-complex project and the construction cost of the project is less than $1 million, then the review and approval of the project is completed under the encroachment permit process. For projects less than $1 million, Caltrans determines the complexity of the project through the permit application review.
If the project is considered to be a non-complex project and the construction cost of the project is less than $3 million, then review and approval of the project can be completed through the PEER process. The PEER melds engineering review of permit proposals into the normal encroachment permit application review to eliminate any separate processing of a PID. The PEER process is intended to streamline the processing of projects-funded-by-others by reducing the steps in the project development process.
If the project is considered to be a complex project or exceeds $3 million, then review and approval of the project can be completed through the traditional PID process using the PSR-PDS template.
Do non-STIP Projects Require a PID?
Yes. Streets and Highways Code Section 137 states that Caltrans “shall determine the kind, quality, and extent of all highway work done under its control, and may prepare and approve all plans, specifications, and estimates for all such work.”
Caltrans is responsible for protecting the public's investment in the SHS and Caltrans must review all proposed highway improvements that are funded by others. This includes reviewing and approving locally-developed PIDs for projects funded through the State Highway Transportation Improvement Program, local sales tax measures, local fund sources, and private funds.
Early discussions with Caltrans (beginning in the PID phase) to establish the viability of the proposals, procedural requirements, and the schedule for various project deliverables is critical.
These discussions along with the approval of the PID help Caltrans to:
- Ensure that the proposed scope for local projects are consistent with Caltrans’ standards and policies.
- Determine future maintenance needs and costs.
Conflict Resolution
In order to streamline the PID conflict resolution process, a PID Conflict Management Plan has been developed using existing Caltrans Project Management guidelines. The PID Conflict Management Plan is to be used jointly by Caltrans and (Local Agency), and is intended to provide a framework for resolving conflicts between the parties, should they arise, and an impasse has occurred between the parties.