Chapter 4 Project Design Phases - dot.ny.gov · 4-2 PROJECT DESIGN PHASES . May 2019. approvals occurring after DA. The authority for various the project design phase approvals rests

PROJECT DEVELOPMENT MANUAL

Chapter 4

Project Design Phases

May 14, 2019

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CHAPTER 4

PROJECT DESIGN PHASES

i May 2019

Contents Page

4.1 INTRODUCTION ........................................................................................................... 4-1

4.2 DESIGN-RELATED APPROVALS ................................................................................ 4-1 4.2.1 Responsibilities ................................................................................................... 4-1 4.2.2 Coordination between the Regional Office and Main Office Project Liaison .. 4-9 4.2.3 Submitting Requests to the Main Office Project Liaison .................................. 4-9

4.3 PROCEDURAL STEPS .............................................................................................. 4-13 4.3.1 CPM Scheduling Relationship .......................................................................... 4-13 4.3.2 Introduction to Project Step Tables .................................................................. 4-13 4.3.3 Maintenance and Simple Project Steps ........................................................... 4-18 4.3.4 Moderate Project Steps ..................................................................................... 4-36 4.3.5 Complex Project Steps ...................................................................................... 4-72

4.4 CONCURRENT DESIGN PROGRESSION ............................................................... 4-100

APPENDIX A – List of Acronyms ..................................................................................... 4-101

APPENDIX B – Main Office Project Liaison and FHWA Review Process Flowcharts... 4-103

APPENDIX C – Public Hearing Process Flowcharts ....................................................... 4-110

APPENDIX D – Procedural Steps for Individual Section 4(f) Evaluations ..................... 4-117

APPENDIX E – Instructions for Creating Searchable PDF Documents ......................... 4-122

CHAPTER 4

PROJECT DESIGN PHASES

May 2019 ii

Exhibits Page

4-1 Main Office Liaison with FHWA .................................................................................4-2 4-2 Design-Related Approval Matrix ................................................................................4-4 4-3 Post-Design-Approval Matrix.....................................................................................4-7 4-4 DCED Design-Related Approval Request Procedure ............................................. 4-10 4-5 FHWA Design-Related Approval Request Procedure ............................................ 4-11 4-6 Primary NEPA and NYSDOT Activities that Occur Within NYSDOT Scoping

Phase......................................................................................................................... 4-73

4-7 Is MOPL Review Needed? ...................................................................................... 4-104 4-8 MOPL Review Process for DCED or FHWA Design Approval with NYSDOT

Categorical Exclusion Determination ................................................................... 4-105

4-9 MOPL Review Process for FHWA Categorical Exclusion DeterminationReview and Regional Director Design Approval .................................................. 4-106

4-10 MOPL Review Process for FHWA Categorical Exclusion DeterminationReview and DCED Design Approval...................................................................... 4-107

4-11 MOPL Review Process for FHWA Categorical Exclusion DeterminationReview and FHWA Design Approval ..................................................................... 4-108

4-12 MOPL Review Process for FHWA EA Title Sheet Signature/FONSI Approval .... 4-109 4-13 NEPA Class II Moderate Project Public Hearing Process .................................... 4-112 4-14 NEPA Class III (NEPA EA) Public Hearing Process ............................................. 4-113 4-15 NEPA Class I (EIS) Complex Project Public Hearing Process ............................ 4-114 4-16 100% State Funded SEQRA Non-Type II (EIS) Public Hearing Process ............. 4-115 4-17 EDPL Public Hearing Process ............................................................................... 4-116

PROJECT DESIGN PHASES 4-1

May 2019

4.1 INTRODUCTION This chapter summarizes the primary responsibilities and procedures to progress a project through the design phases of the project development process (Preliminary Design Phases I through IV and Final Design Phases V and VI) including the responsibilities and procedures associated with Design-Related Approvals.

• The design stage begins at scope approval and concludes at project letting. Chapter 2, Section 2.3.2 of this manual provides an overview of the Project Design Phases and descriptions of the six design phases.

• Section 4.3 of this chapter provides steps that should be followed by designers to determine which project alternative to advance to Design Approval (Phases I - IV) followed by the steps that transform the approved preliminary design concepts into detailed plans and specifications (Phases V and VI).

The steps contain information that will direct the designer to appropriate chapters and appendices of this manual for guidance on report format and content development; shells are available at https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm/shells for DAD development (i.e., IPP/FDR, BRR, PSR/FDR, DDR). Detailed guidance and standards for specific design tasks are contained in the Highway Design Manual, ROW Mapping Procedure Manual, Land Surveying Standards and Procedures Manual, Bridge Manual, Environmental Manual, and other appropriate Department publications. The responsibilities and procedures presented in this chapter are for NYSDOT projects with federal funding through FHWA and those that are 100% State funded. The responsibilities and procedures for projects with involvement of the Federal Transit Administration (FTA) or Federal Railroad Administration (FRA) must be determined on a project by project basis. 4.2 DESIGN-RELATED APPROVALS Design-related approvals include:

• Environmental Determination (ED) • Draft Design Report/Draft Environmental Impact Statement (DDR/DEIS) - approval to

distribute for Phase II review • Final Design Report/Final Environmental Impact Statement (FDR/FEIS) - approval to

circulate • Environmental Assessment (EA) Title Sheet Signature • Approval of Nonstandard Features • Design Approval (required to proceed to detailed design phases V and VI) • Finding of No Significant Impact (FONSI) approval • Record of Decision (ROD) approval • PS&E approval and amendment approval

4.2.1 Responsibilities Exhibits 4-2 and 4-3 identify the authorities responsible for granting various project approvals throughout the design stages. Exhibit 4-2 Design-related Approval Matrix identifies the approving authorities for Design Approval (DA), Environmental Determination and Non-Standard Feature Approval. Exhibit 4-3 Post Design Approval Matrix identifies the approving authorities for

https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm/shells

4-2 PROJECT DESIGN PHASES

May 2019

approvals occurring after DA. The authority for the various project design phase approvals rests with FHWA, NYSDOT (Regional Office or Main Office), NYS Thruway Authority, NYS Canal Corporation or the Responsible Local Official (RLO) depending on the administering agency, funding source, estimated construction cost, project type, environmental classification, and whether the project is a FHWA Project of Division Interest (PoDI) on the National Highway System (NHS). Exhibit 4-1, Main Office Project Liaison (MOPL) with FHWA/DCED

Federal-Aid Project Types Covered by PDM1 MOPL with FHWA or DCED - Phases I - IV

MOPL with FHWA – Phases V-VI

EIS and designated special projects OE

DQAB-PS&E

Bridge rehabilitation projects: deck treatments, deck replacements, superstructure replacements, and general bridge rehabilitation

OS

Highway reconstruction/new construction DQAB-PDS

Intersection or interchange reconstruction/new construction DQAB-PDS

Resurfacing, restoration and rehabilitation (3R) DQAB-PDS

New and replacement bridges DQAB-PDS

Park and ride lots DQAB-PDS

Bicycle and pedestrian facilities LAB

Rest areas/information centers/comfort stations/ LAB

Landscape development LAB

Fishing and hiking access LAB

Intelligent Transportation System (ITS) projects2 ITSU

Specialty, Safety or Enhancement projects Varies with type of work 3

Local Projects RLPL RLPL DQAB–PDS: Design Quality Assurance Bureau, Project Development Section for Phase I-IV approvals DQAB-PS&E: Design Quality Assurance Bureau, Plans, Specifications &Estimate Section for PS&E approvals OE – Office of Environment OS – Office of Structures LAB – Landscape Architecture Bureau ITSU – ITS Unit, Systems Optimization Bureau RLPL – Regional Local Project Liaison

NOTES: 1 For project types not identified, contact DQAB, Project Development Section for guidance. 2 The Design Approval Document (DAD) for ITS projects and for non-ITS projects with ITS elements must be

submitted to the Main Office ITS Unit for review and to obtain FHWA’s review and approval of the ITS-related portions of the DAD.

3 Specialty, safety or enhancement projects that include work that would require DCED or FHWA approval must use the MOPL identified for the most applicable Federal-Aid Project Type. Contact DQAB, Project Development Section for guidance.


May 2019

Note that other approvals may be required within the process. Follow the procedural steps in Section 4.3 of this chapter to help determine these approvals, or contact DQAB, Project Development Section for guidance. Exhibit 4-1 identifies the Main Office Project Liaisons (MOPL) by project type. The MOPL serves as the point of contact between NYSDOT and FHWA for projects that need environmental determination and/or design approval 4.2.1.1 Regional Office Responsibilities Design-Related Approvals granted by the Regional Director For applicable projects, the Regional Director (RD) is the granting authority for design-related approvals in accordance with NYSDOT Official Order No. 1658. Refer to Exhibits 4-2 and 4-3 to determine project types that have Regional Director (RD) design-related approval authority. The responsibility for quality control activities on design submissions resides with the Regions. The Regional Quality Control Plan (see PDM Appendix 12 for information) and Regional policies and procedures should be followed when requesting design-related approvals from the Regional Director. Design-Related Approvals granted by the DCED or the FHWA For projects that need design-related approvals from the DCED or the FHWA, the Regional Office works through a Main Office Project Liaison (MOPL) to obtain the approvals. The responsibility for quality control activities on design documents resides with the Regions (see PDM Appendix 12 for information). Requests for design-related approvals to the DCED or FHWA are made by the MOPL after a quality assurance review. Refer to Exhibits 4-2 and 4-3 to determine projects that require DCED or FHWA design-related approval authority. Refer to Exhibit 4-1 to identify the appropriate MOPL. Contact DQAB, Project Development Section for questions about identifying the appropriate MOPL. PS&E and Amendment Approvals granted by the RD and the FHWA Depending upon the project’s PoDI category, PS&Es and Amendments on some projects (refer to Exhibit 4-3) require separate approvals by the RD or FHWA. The responsibility for quality control activities on design submissions resides with the Regions (see PDM Appendix 12 for information). Regions should follow their Regional Quality Control Plan and Regional policies and procedures for approval from the Regional Director. When the project requires PS&E approval from the FHWA, Regions should clearly indicate that on the PS&E transmittal memo (see Highway Design Manual Chapter 21). DQAB PS&E Section, will then obtain FHWA approval for the PS&E.


May 2019

Exhibit 4-2, DESIGN-RELATED APPROVAL MATRIX

Funding Highway System Project Type1,2 Project

Administered by24

Non-Standard Feature

Approval

Environmental Determination Design Approval Request Memo

NEPA SEQR From To

Design Approval Grantor CE3 EA/EIS

Federal Aid

NHS

PoDI Pre-Screening Criteria ►Estimated Construction Cost ≥ $104,5 million - Regions 1-9 & NYSTA/CC (e.g., 3R, 4R, Reconstruction and New Construction, New Bridges, Bridge Rehab, and Bridge Reconstruction Projects) ► Estimated Construction Cost ≥ $254,5 million - Regions 10 & 11 (e.g., 3R, 4R, Reconstruction and New Construction, New Bridges, Bridge Rehab, and Bridge Reconstruction Projects) ► Freeways on New Location ► EIS Projects ► Sub-Major Projects ($100 - $500 million)6 ► Major Projects (> $500 million)6 ► Interstate Designation Projects ► Proposed Interstate Access Break or Modification ► Major and unusual Structures7 ► Projects Funded with ADHS or TIGER Funds ► Discretionary PoDIs identified by FHWA2

NYSDOT FHWA8 FHWA/ RD FHWA RD RD MOPL9 FHWA

NYSTA FHWA8 FHWA/ RD FHWA NYSTA NYSTA MOPL9 FHWA

NYSCC FHWA8 FHWA/ RD FHWA NYSCC NYSCC MOPL9 FHWA

Local Local = RLO25 NHS = FHWA

FHWA/ RD FHWA RLO LD10/ RLO11 RD FHWA12

Programmatically Delegated Projects (Projects Not Meeting the PoDI Pre-Screening Criteria listed above)

► Freeway 2R/3R ► Reconstruction and New Construction ► Major Intersection Reconstruction ► New & Replacement Bridges (including Pedestrian Bridges)

NYSDOT DCED8 FHWA/ RD FHWA RD RD MOPL9 DCED

Local Local = RLO25 NHS = RD

FHWA/ RD FHWA RLO LD10 RLO11 RD12

► All Other Project Types (Note 5) NYSDOT RD8 FHWA/

RD FHWA RD RDE RD RD

Local Local = RLO25 NHS = RD


► Some work on or related to the State Highway System13 NYSTA NYSTA8 FHWA/

RD FHWA NYSTA NYSTA DCED NYSTA14

NYSCC NYSCC15 FHWA/ RD FHWA NYSCC NYSCC DCED NYSCC16

► All work off and unrelated to the State Highway System13 NYSTA NYSTA8 FHWA/

RD FHWA NYSTA NYSTA

NYSCC NYSCC15 FHWA/ RD FHWA NYSCC NYSCC

Non-NHS2

IF a non-NHS projects meets the PoDI Pre-Screening Criteria above THEN consultation between NYSDOT (RPPM or RDE), NYSTA or NYSCC and FHWA shall occur at close of project scoping to determine the appropriate level of FHWA’s involvement. Discussion topics to include scope, schedule, cost, location, etc.

► Reconstruction and New Construction ► Major Intersection Reconstruction ► New & Replacement Bridges (including Pedestrian Bridges)

NYSDOT DCED8 FHWA/ RD FHWA RD RD MOPL9 DCED

► All Other Project Types (Note 5) NYSDOT RD8 FHWA/ RD FHWA RD RDE RD RD

► Some work on or related to the State Highway System13

NYSTA NYSTA8 FHWA/ RD FHWA NYSTA NYSTA RD NYSTA17

NYSCC NYSCC15 FHWA/ RD FHWA NYSCC NYSCC RD NYSCC18

Local Local = RLO25 NHS/State = RD


► All work off and unrelated to the State Highway System13

NYSTA NYSTA8 FHWA/ RD FHWA NYSTA NYSTA


Local RLO FHWA/ RD FHWA RLO LD10 RLO RLO12


May 2019

Exhibit 4-2, DESIGN-APPROVAL MATRIX – CONTINUED

Funding Highway System Project Type1,2 Project

Administered by24 Non-Standard

Feature Approval

Environmental Determination Design Approval Request Memo

NEPA SEQR From To

Design Approval Grantor CE3 EA/EIS

Federal Aid ITS/OperationsProjects19

► Exempt19 and Low-Risk19 NYSDOT DCED8 FHWA/ RD FHWA RD RD MOPL9 DCED

● Some work on or related to the State Highway System13 NYSTA NYSTA8 FHWA/ RD FHWA NYSTA NYSTA MOPL9 NYSTA20

NYSCC NYSCC15 FHWA/ RD FHWA NYSCC NYSCC MOPL9 NYSCC21

Local Local = RLO25 NHS/State = RD


● All work off and unrelated to the State Highway System13 NYSTA NYSTA8 FHWA/ RD FHWA NYSTA NYSTA


Local RLO FHWA/ RD FHWA RLO LD10 RLO RLO12

► High-Risk19

NYSDOT FHWA8 FHWA/ RD FHWA RD RD MOPL9 FHWA

NYSTA FHWA8 FHWA/ RD FHWA NYSTA NYSTA MOPL9 FHWA

NYSCC FHWA8 FHWA/ RD FHWA NYSCC NYSCC MOPL9 FHWA

Local Local = RLO25 NHS = FHWA

FHWA/ RD FHWA RLO LD10/ RLO11 RD FHWA12

100% State All

► Projects types listed in the PoDI Pre-Screening Criteria above ► Freeway 2R/3R ► Reconstruction and New Construction ► Major Intersection Reconstruction ► New & Replacement Bridges (including Pedestrian Bridges) ► Interstate Access Modifications and Breaks in Interstate Access (these projects require a NEPA document – see note 22)

NYSDOT DCED8

See Note 23

RD RD MOPL9 DCED

Local RLO25 RLO LD10 RLO RLO12

► All Other Project Types NYSDOT RD8 RD RDE RD RD

Local RLO25 RLO LD10 RLO RLO12

► Some work on or related to the State Highway System13 NYSTA NYSTA8 NYSTA NYSTA DCED NYSTA13

NYSCC NYSCC15 NYSCC NYSCC DCED NYSCC15

► All work off and unrelated to the State Highway System13 NYSTA NYSTA8 NYSTA NYSTA

NYSCC NYSCC15 NYSCC NYSCC

Key to Abbreviations: DCED - NYSDOT Deputy Chief Engineer Design CE - Categorical Exclusion RD - NYSDOT Regional Director

MOPL - NYSDOT Main Office Project Liaison ROD - Record of Decision DONSE - Determination of No Significant Effect

FHWA - Federal Highway Administration NHS - National Highway System PLAFAP - NYSDOT Procedures for Locally Administered Federal-

Aid Projects manual

State Highway System – all roadways owned and/or maintained by NYSDOT (excludes the Thruway

system)

NYSTA – Thruway Authority NYSCC - Canal Corporation LD - Local Designer

RLO - Responsible Local Official as defined in PLAFAP Chapter 1 Section 1.6 (e.g., mayor, town supervisor, county executive, chair of county board of

supervisors, state agency commissioner, etc.) PoDI – FHWA Project of Division Interest

SOA – Stewardship and Oversight Agreement on Project Assumption and Program oversight by and between Federal Highway Administration and the New York State Department of Transportation


May 2019

Exhibit 4-2, DESIGN-APPROVAL MATRIX – CONTINUED

Footnotes:

1) Project types are defined in PDM Appendix 5, Section 2.0.

2) FHWA may select any project as a discretionary PoDI, regardless of highway system or discretionary screening criteria (MAP-21 SOA Attachment C Table 2). If selected, projects will follow the appropriate process from the PoDI Pre-Screening Criteria.

3) NEPA categorical exclusion determination by FHWA or NYSDOT as determined by the Federal Environmental Approvals Worksheet (FEAW).

4) Estimated construction cost based on current Engineer's Estimate (total cost including local (including betterment shares), state, and federal funds). If at PS&E cost estimates exceed the thresholds, FHWA may require a review of the project prior to

providing approval to advertise.

5) RD retains approval authority for all 1R, element specific, VPP, sign replacement, Type II (retrofit) noise abatement, rest area, pavement marking, and guide rail replacement projects regardless of cost. An approved copy of the DAD for rest area

projects shall be submitted to the Landscape Architecture Bureau for information purposes. An approved copy of the DAD for element specific projects shall be submitted to the Design Quality Assurance Bureau Project Development Section (highway

projects) or Structures Design Q/A Bureau (structures projects) for information purposes. For a full list of element specific work types, refer to PDM Appendix 7, Exhibits 7-4 and 7-5.

6) Estimated costs to complete design, right-of-way, and construction stages.

7) This project category includes tunnels and the following bridge types: pre-cast segmental, cable-stayed, suspension, and movable. It also includes the four major East River Bridges and the East River Bridge Preventative Maintenance contracts in New

York City.

8) For projects that propose new or retained non-standard features (NSFs) on more than one system, the Design Approval Grantor (FHWA, DCED, RD or NYSTA) will approve NSFs on the NHS and the DCED or RD will approve NSFs on State highways

and local roadways.

9) The MOPL for the various project types is shown in PDM Exhibit 4-1 (e.g., DQAB, Office of Structures, ITSU, etc.). For EIS Projects, the Office of the Environment is the MOPL, with DQAB performing engineering reviews.

10) Approval must be based on a request memo that includes certification by the licensed professional whose field of practice is consistent with the work type and is in responsible charge of the project.

11) The RLO must send a cover memo to the Regional Local Project Liaison (see PLAFAP for an example). The Regional Local Project Liaison will forward the Design Approval Request Memo to the Regional Director (or designee) for his or her approval,

or to the Regional Director (or designee) for forwarding to FHWA for their approval.

12) See PLAFAP for an example of the Design Approval Request memo.

13) Thruway projects that include work over the State Highway System must be submitted to NYSDOT for review and concurrence with design criteria of the under roadway (including horizontal and vertical clearance) prior to the granting of design approval.

14) The NYSTA Chief Engineer shall be responsible for granting design approval upon recommendation from the NYSDOT Deputy Chief Engineer.

15) For projects that propose new or retained non-standard features (NSF) on more than one system, the NYSCC will approve NSF on the canal system, the DCED or RD will approve NSF on the NHS and State highways and local roadways.

16) The NYSCC Deputy Director of Canal Engineering, Construction & Maintenance shall be responsible for granting design approval upon recommendation from the NYSDOT Deputy Chief Engineer.

17) The NYSTA Chief Engineer shall be responsible for granting design approval upon recommendation from the NYSDOT Regional Director.

18) The NYSCC Deputy Director of Canal Engineering, Construction & Maintenance shall be responsible for granting design approval upon recommendation from the NYSDOT Regional Director.

19) All ITS projects are to be presented to the FHWA Division Office for approval of a preliminary determination of project type in the following three categories: Exempt, Low-Risk, and High-Risk projects. (see Attachments C.1, C.2, C.3 and C.4 of the

FHWA/NYSDOT Stewardship and Oversight Agreement for review request to be submitted to FHWA at the initial funding stage.)

20) The NYSTA Chief Engineer shall be responsible for granting design approval upon recommendation from the NYSDOT MOPL (ITS Unit, Systems Optimization Bureau).

21) The NYSCC Deputy Director of Canal Engineering, Construction & Maintenance shall be responsible for granting design approval upon recommendation from the NYSDOT MOPL (ITS Unit, Systems Optimization Bureau).

22) FHWA must review and approve all Interstate Access Modification Reports for all projects that include Interstate access modification or breaks in Interstate access. A NEPA document is required for all projects including an Interstate Access

Modification.

23) On 100% State projects that do not require FHWA or other federal action, NYSDOT does not follow the NEPA process. However, when the project requires the granting of a permit or approval or other action by a federal agency (e.g., Corps permit,

FHWA ROW approval), that agency is required to follow the appropriate NEPA process. In such cases, the Region may be required to submit additional information to the federal agency in support of the agency's NEPA requirements.

24) For the purposes of this matrix, “Project Administered by” is the entity letting the Project.

25) For Locally Administered projects that propose new or retained non-standard features (NSFs) on more than one system, the RD will approve NSFs on the NHS and the RLO will approve NSF on local roadways.


May 2019

Exhibit 4-3, POST-DESIGN-APPROVAL MATRIX

PoDI Type1 Project

Administered by9

Design Actions Procurement Actions Construction Actions

Interstate Access

Modification2

Non-Interstate Access

Modification

Advanced Detail Plans

Review

Right of Way Projections

Concurrence PS&E

Approval Major PS&E Amendment

Approval SEP-14

Approvals3 Authorize

Advertisement Concur in

Award Approve

OOCs Approve time Extensions

Concur in Settlement of

Claims Final

Acceptance

Category I: Full Federal involvement

In All Phases

NYSDOT FHWA DCED FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA NYSTA or CC

Local DCED/RLO4,5 Category II:

Detailed Design / Contract Document Review and Approval

Only

NYSDOT

FHWA DCED

FHWA FHWA FHWA FHWA FHWA FHWA FHWA

NYSDOT NYSDOT NYSDOT NYSDOT NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC

Local DCED/RLO4,5 RD4 RD4 RD4 RD4

Category III: Spot Check Construction Review

NYSDOT FHWA DCED RD

FHWA RD RD

FHWA NYSDOT NYSDOT NYSDOT6 NYSDOT6 NYSDOT6 NYSDOT6

NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC6 NYSTA or CC4 NYSTA or CC4 NYSTA or CC4 Local DCED/RLO4,5 RD4 RD4 RD4 RD4 RD4 RD4,6 RD4,6 RD4,6 RD4,6

Category IV: No Further Federal Involvement

NYSDOT FHWA DCED RD

FHWA RD RD

FHWA NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT

NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC Local DCED/RLO4,5 RD4 RD4 RD4 RD4 RD4 RD4 RD4 RD4 RD4

Delegated Projects7 NYSDOT

FHWA DCED RD FHWA

RD RD FHWA

NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC

Local RD/RLO4,5 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8 RD/RLO4,8

100% State Funded Projects NYSDOT

FHWA DCED NYSDOT NYSDOT NYSDOT NYSDOT

NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC

Local RD/RLO4,5 RLO4 RLO4 RLO4 RLO4 RLO4 RLO4 RLO4 RLO4 RLO4 RLO4

PoDI Type1 Project Administered by9

Sub-Major Projects ($100-$500 million) Major Projects Actions (>$500 million) Design-Build Actions

in Accordance with Legislative Authority of Project Sponsor Approve Initial/Updated

Finance Plans Submitted by Project Sponsor

Approve Consultant

Agreements Approve Project

Management Plan Approve Initial Finance Plan

Conduct Cost Estimate Review

Approve Updated Finance Plans

Concur on Request for

Qualifications

Approve on Request for Proposals

Concur in Award

Category I: Full Federal involvement

NYSDOT FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA FHWA NYSTA or CC

Local Category II:

Detailed Design / Contract Document Review and Approval

Only

NYSDOT

FHWA FHWA FHWA FHWA NYSTA or CC

Local

Category III: Spot Check Construction Review

NYSDOT FHWA

RD RD RD NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC

Local RD4 RD4 RD4

Category IV: No Further Federal Involvement

NYSDOT FHWA

RD RD RD NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC

Local RD4 RD4 RD4

Delegated Projects7 NYSDOT

FHWA RD RD RD

NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC Local RD/RLO4,8 RD/RLO4,8 RD/RLO4,8

100% State Funded Projects NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT

NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC NYSTA or CC Local NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT NYSDOT RLO4 RLO4 RLO4

Key to Abbreviations: FHWA - Federal Highway Administration DCED - NYSDOT Deputy Chief Engineer Design RD - NYSDOT Regional Director SEP-14 – FHWA Special Experimental Project No. 14, Alternative Contracting PoDI - FHWA Project of Division Interest NYSTA – Thruway Authority CC – Canal Corporation SOA – Stewardship and Oversight Agreement on Project Assumption and Program

oversight by and between Federal Highway Administration and the New York State Department of Transportation

RLO - Responsible Local Official as defined in PLAFAP Chapter 1 Section 1.6 (e.g., mayor, town supervisor, county executive, chair of county board of supervisors, state agency commissioner, etc.)


May 2019

Exhibit 4-3, POST-DESIGN-APPROVAL MATRIX (CONTINUED) Footnotes:

1) FHWA may select any project as a discretionary PoDI, regardless of highway system per the discretionary screening criteria (MAP-21 SOA Attachment C Table 2).

2) Interstate Access Modification approval for all projects (including 100% State funded projects) occurs at or after time of design approval.

3) Alternate procurement methods other than Design-Bid-Build or Design-Build (e.g. Best value, Public Private Partnership, etc.) for federally funded projects require SEP-14 approvals.

4) Approval must be based on a request memo that includes certification by the licensed professional whose field of practice is consistent with the work type and is in responsible charge of the project.

5) Non-Interstate Access Modifications are approved by the NYSDOT DCED or RD (as shown) for all NHS roadways and all non-NHS roadways on the State Highway System. Non-Interstate Access modifications on non-NHS roadways off and unrelated

to the State Highway System are approved by the Responsible Local Official.

6) For Category III PoDIs FHWA will conduct a spot check review during construction. Subsequent follow up construction reviews may be conducted as necessary, pending findings from the spot check review.

7) Delegated Projects are Federal Aid projects not requiring design approval from FHWA based on PoDI Pre-Screening Criteria nor due to being selected by FHWA as a discretionary PoDI.

8) The grantor of design approval will approve Locally Sponsored Federal Aid projects that are Programmatically Delegated.

9) For the purposes of this matrix, “Project Administered by” is the entity letting the Project.


May 2019

4.2.1.2 Main Office Project Liaison Responsibilities When Design-related Approvals are required from the DCED or the FHWA, the MOPL will seek these approvals on behalf of the Region, after performing a Quality Assurance Review of the DAD, PS&E and/or other required supporting materials. In all quality assurance reviews, the MOPL evaluates compliance with design standards and project development procedures (control documents identified in Appendix 12 Section 2.4), as well as procedures for NEPA, SEQRA, Executive Orders and other provisions of State and Federal Law. They may also recommend improvements to the design, documentation, or process. Once MOPL comments have been satisfactorily addressed, the MOPL makes a formal request for approval.

4.2.2 Coordination between the Regional Office and Main Office Project Liaison Phases I-IV Early and consistent involvement by the MOPL during the project’s development, particularly on complex and moderate projects or other projects with unusual circumstances, helps expedite obtaining design-related approvals. The Region may initiate a peer review by the MOPL prior to seeking a design-related approval. See Appendix 12 of this Manual: Quality Control and Quality Assurance - Section 2.8. The design-related approval request is initiated by the Region. In most cases, the Design Approval Document (DAD) and Design Report Review Checklist serve as supporting material for the approval request. The flowcharts in Appendix B illustrate coordination steps to design approval required between the Region and MOPL to obtain design approval. PS&E Approvals (Phase VI) Coordination between the Region and the MOPL for projects that require PS&E approval by the FHWA is accomplished with the PS&E transmittal memo – see Highway Design Manual Chapter 21.

4.2.3 Submitting Requests to the Main Office Project Liaison Exhibits 4-4 and 4-5 provide details for initiating and submitting only requests to the MOPL for review and processing for DCED and FHWA design-related approvals (e.g., Design and Nonstandard Feature Approval, Environmental Determinations). These submission requirements do not apply for other project approvals that may be needed. Determine the MOPL for projects from Exhibit 4-1.

TIP

Refer to Appendix E in this document for instructions on creating the required searchable .pdf DAD review documents from MS Word files for posting to the P: drive locations indicated in Exhibits 4-4 and 4-5.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/QC_CHECKLIST%202-10-2017.doc


May 2019

Exhibit 4-4, DCED Design-related Approval Request Procedure

Phase I

1. When the draft DAD is ready for MOPL review, place the following files in searchable .pdf format

on the P: drive in a folder created for the project, using the indicated naming convention: • MOPL Request Memo (PIN1_memo type2_date3_version4.pdf) • DAD (PIN1_report type5_date3_version4.pdf) • Appendices (PIN1_report type5_appendix x6_date3_version4.pdf) • Plans and profiles should be in a separate file and other appendices may be in one or more

files as needed for file size constraints. • Design Report Review Checklist (PIN1_DRRC_date3_version4.pdf) • Use the following naming convention for the created file: P:\Toolbox\Documents &

Resources\MOPL DAD Review\DQAB7\PIN1_Project Name

2. Send an email to the appropriate MOPL Bureau Director (or appropriate Section Leader within

the bureau) alerting the MOPL that review of the DAD is sought and that the review materials identified in #1 above are available. The email must reference the P: drive location of the DAD review materials. In the email, clearly state the design-related approvals that are anticipated to be needed. The subject of the email must include the PIN and state that the review of the draft DAD is sought. The email should state that a MS Word version of the DAD will be made available to the MOPL for review purposes upon request.

For MOPL review of the DAD, typically allow for a minimum review period of 21 days from the date of MOPL receipt of the request. If an expedited review is sought, contact the MOPL prior to sending the request.

3. The MOPL will return comments via email. Subsequent informal email and telephone exchanges

may occur to work toward comment resolution.

Phase IV

4. Once all Phase I MOPL comments have been addressed and DAD has been revised:

• place the revised versions of the DAD, appendices and the DRRC in the project P: drive folder using the naming convention discussed above in Item #1. Include an updated MOPL Request Memo in the project folder.

• Include a document in the project P: drive folder showing the history of comment resolutions beginning with the first version of the DAD. This may be a MS Word file of the DAD using track changes.

5. Send an email requesting the MOPL seek the needed DCED approval(s) including a link to the P:

drive folder. The subject of the email must include the PIN and the approval sought. The email

ALERT! Use the following procedure to create a folder in the MOPL folders on the P: drive: • Create a folder on the Desktop or other location using the naming convention discussed above. • Add the appropriately named files discussed above to the folder. • Drag and drop or copy and paste the folder into the appropriate MOPL folder. A new folder created directly into any of the MOPL folders may not be able to be named and will remain entitled “New Folder.” For more information contact DQAB-PDS.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM%20Appendix%207%20-%20z%20-%20rpt_memo_request_for_design_approva.doc





May 2019

must reference the updated/revised materials provided in the project P: drive folder.

6. Once the MOPL indicates that all comments are addressed, one comb-bound-paper copy of the revised DAD must be sent to the MOPL to process for DCED Design Approval. The hard copy shall be printed from the revised .pdf file to ensure the latest version is used.

7. Once Design Approval is granted, the MOPL will return the signed Project Approval Sheet (PAS)

to the Region. Once received, scan the signed PAS and insert it into the (searchable) .pdf DAD file. Refer to EI 17-005 and follow record retention requirements.

Notes:

1. Use 6-digit PIN without decimal. 2. Use “DAD review request” or “DA request.” 3. Use mm-dd-yy. 4. Use V1, V2, etc. Change with each revised version of the DAD submitted 5. Use PSR, IPPFDR, BRR, PSRFDR, DDR, FDR, DEIS, or FEIS as appropriate. 6. Provide appropriate appendix or attachment designation. Provide range for multiple appendices 7. Use the appropriate MOPL folder (P:\Toolbox\Documents & Resources\MOPL DAD Review\DQAB,

Environment, DQAB, ITSU, LAB or Structures) Exhibit 4-5, FHWA Design-related Approval Request Procedure

Initial Review 1. When the draft DAD is ready for MOPL review, place the following files in searchable .pdf format

on the P: drive in a folder1 created for the project, using the indicated naming convention: • MOPL Request Memo (PIN1_memo type2_date3_version4.pdf) • DAD (PIN1_report type5_date3_version4.pdf) • Appendices (PIN1_report type5_appendix x6_date3_version4.pdf) • Plans and profiles should be in a separate file and other appendices may be in one or more

files as needed for file size constraints. • Design Report Review Checklist (PIN1_DRRC_date3_version4.pdf) • Use the following naming convention for the created file: P:\Toolbox\Documents &

Resources\MOPL DAD Review\DQAB7\PIN1_Project Name

2. Send an email to the appropriate MOPL Bureau Director (or appropriate Section Leader within the bureau) alerting the MOPL that review of the DAD is sought and that the review materials identified in #1 above are available. The email must reference the P: drive location of the DAD review materials. In the email, clearly state the design-related approvals that are anticipated to be needed. The subject of the email must include the PIN and state that review of the draft DAD is sought. The email should state that a MS Word version of the DAD will be made available to the MOPL for review purposes upon request.

ALERT! Use the following procedure to create a folder in the MOPL folders on the P: drive: • Create a folder on the Desktop or other location using the naming convention discussed above. • Add the appropriately named files discussed above to the folder. • Drag and drop or copy and paste the folder into the appropriate MOPL folder. A new folder created directly into any of the MOPL folders may not be able to be named and will remain entitled “New Folder.” For more information contact DQAB-PDS.

https://www.dot.ny.gov/portal/pls/portal/mexis_app.pa_ei_eb_admin_app.show_pdf?id=12381




May 2019

For MOPL review of the DAD, typically allow for a minimum review period of 21 days from the date of MOPL receipt of the request. If an expedited review is sought, contact the MOPL prior to sending the request.

3. The MOPL will return comments via email. Subsequent informal email and telephone exchanges may occur to work toward comment resolution.

Review for FHWA Approvals

4. Once all initial review MOPL comments have been addressed and DAD has been revised:

• place the revised versions of the DAD, appendices and the DRRC in the project P: drive folder using the naming convention discussed above in item #1. Include an updated MOPL Request Memo in the project folder.

• Include a document in the project P: drive folder showing the history of comment resolutions beginning with the first version of the DAD. This may be a MS Word file of the DAD using track changes.

5. Send an email requesting the MOPL seek the needed approval(s) from FHWA. The email must

reference the updated/revised materials provided in the project P: drive folder. The subject of the email must include the PIN and clearly indicate the approval sought. In the email, clearly state any approvals that may be needed from FHWA, such as CE Determination. Two comb-bound-paper copies of the revised DAD must also be sent to the MOPL so that the DAD can be forwarded to FHWA. The hard copies shall be printed from the revised .pdf file to ensure the latest version is sent to FHWA. Reference the hard copies in the email and state when they were/are to be mailed.

A Compact Disc with .pdf files of the appendices may be submitted in the back-cover page of the report in lieu of paper versions of the appendices.

6. FHWA will issue their Design Approval via a letter. Ensure the Design Approval letter is saved in the project’s record retention folder in ProjectWise (refer to EI 17-005 for record retention requirements).

Notes:

1. Use 6-digit PIN without decimal. 2. Use “DAD review request” or “DA request.” 3. Use mm-dd-yy. 4. Use “V1”, “V2” . . .” Final.” Change with each revised version of the DAD submitted. Use “Final” for

last version. 5. Use PSR, IPPFDR, BRR, PSRFDR, DDR, FDR, DEIS, or FEIS as appropriate. 6. Provide appropriate appendix or attachment designation. Provide range for multiple appendices. 7. Use the appropriate MOPL folder (P:\Toolbox\Documents&Resources\MOPL DAD Review\DQAB,

Environment, DQAB, ITSU, LAB or Structures)

ALERT!

• Provide an updated MOPL Request Memo in the P drive location (see above) for subsequent requests to the MOPL for DAD review.

• Comb-bound copies of draft DAD’s are required for approvals. Clipped, stapled or ring bound copies result in longer review times due to difficulties in keeping them organized and are not acceptable. They will be returned with a request for submission of comb-bound copies.






May 2019

4.3 PROCEDURAL STEPS The project design process is comprised of six design phases. An overview of Design Phases I - VI is provided in Section 2.3.2 and PDM Exhibit 1-1. Phases I through IV are Preliminary Design phases (ending with Design Approval) and Phases V and VI are the Final Design phases.

4.3.1 CPM Scheduling Relationship The design procedure steps described in this chapter are the controlling guidance for the project development process. The applicable steps should be reflected in the activities, milestones and schedules created for each project, using the Department’s current Critical Path Method (CPM) scheduling software. The minimum CPM schedule requirements are defined in policy issued by the Project Management Office. Project Type specific templates are available as tools to support these procedures; however, they should not be arbitrarily adopted for a project. Along with add-ins and the standardized activity list, the templates serve as a starting point for selecting the appropriate activities and activity relationships when building a project schedule. It is the project manager’s responsibility to build a schedule that reflects the procedures defined in this chapter. Critical Milestones to be included in the CPM schedules are identified in the Project Step Tables. Project Managers should consult the Project Management Office for additional requirements relating to CPM schedules.

4.3.2 Introduction to Project Step Tables The tables presented in sections, 4.3.3, 4.3.4 and 4.3.5, provide the major steps for each Design Phase by project category. Use PDM Appendix 7 to determine the appropriate project category (Maintenance, Simple, Moderate or Complex). The steps are listed in general chronological order for typical projects. Follow the steps in the appropriate procedural step table for the project. When a step is required by a process -- such as MOPL/FHWA project review, SEQRA, NEPA, need for ROW -- a single check mark is shown in the appropriate column for that step. For the Phases I-IV portions of the tables, use the “Do Step when. . .” columns to determine if a step must be performed based on the project’s environmental classifications, Design Approval requirements or ROW requirements. Federally-funded projects must follow both the NEPA and SEQRA column steps for the respective environmental classifications. 100% State-funded projects do not follow the NEPA process and must follow the SEQRA table steps for the project’s SEQRA Type. Contact the DQAB Project Development Section if you have any questions

ALERT!

Projects where NYSDOT is not the SEQRA Lead Agency must follow the Statewide SEQRA process 6 NYCRR Part 617, not the NYSDOT SEQRA regulations in 17 NYCRR Part 15. Refer to the Statewide SEQRA regulations for procedural and filing requirements for these projects.

https://govt.westlaw.com/nycrr/Browse/Home/NewYork/NewYorkCodesRulesandRegulations?guid=Ifb3e6cb0b5a011dda0a4e17826ebc834&originationContext=documenttoc&transitionType=Default&contextData=(sc.Default)


May 2019

4.3.2.1 Federal Environmental Approvals Worksheet The majority of the NYSDOT Capital Program consists of projects defined as NEPA Class II Categorical Exclusions (CE). To implement the provisions of the 2017 NYSDOT/FHWA Programmatic Agreement Regarding the Processing of Actions Classified as Categorical Exclusions (PARCE), the Federal Environmental Approval Worksheet (FEAW) is used to: 1) communicate the project’s NEPA classification, 2) identify whether the FHWA or NYSDOT (on FHWA’s behalf) makes the CE environmental determination, and 3) identify any FHWA independent environmental determinations, or other approvals/concurrences that require FHWA review or notification prior to making the CE determination. As documented with the FEAW, FHWA may have responsibility to grant determinations/approvals/concurrences for various environmental regulations and executive orders. For federally-funded Maintenance, Simple and Moderate projects, it is important to fill out the FEAW in scoping or at the start of Phase I. The results of a project’s FEAW can determine some of the steps that must be followed to progress a project to Design Approval. For projects the FEAW identifies as requiring FHWA ED, use the “NEPA Class II CE w/ MOPL/FHWA ED Review” table column in Section 4.3.3 or 4.3.4 (as appropriate) to determine the required ED review-related steps. 4.3.2.2 Review Process Flowcharts Appendix B of this Chapter contains flowcharts that show the process steps related to MOPL and FHWA review for projects that require design-related approval(s) from the DCED and/or FHWA. These charts contain the MOPL coordination steps for:

• Projects requiring FHWA ED review, as determined by the FEAW; • Projects requiring Design Approval from the Deputy Chief Engineer or FHWA, as

determined by Exhibit 4-2. 4.3.2.3 Examples The following are examples of how projects would follow the procedural steps in Sections 4.3.3, 4.3.4 or 4.3.5 (Note that the environmental classifications given below are examples. The classification for projects will vary based on the details of the project, and the work to make the environmental determination must be completed to a sufficient degree to identify the correct process steps):

ALERT!

For projects meeting the PoDI programmatic screening criteria, delegated Categorical Exclusion determinations are reviewed by FHWA and affirmed prior to granting Design Approval.


May 2019

Example 1: • Project Type: 1R resurfacing project with drainage system restoration • Funding: 100% State-funded (NEPA not applicable); • Highway System: NHS • PoDI Criteria: Does not meet pre-screening criteria • Project Administered by: NYSDOT • Cost & Region: $1.5 M in Region 9 • Environmental Classification: project determined to be SEQRA Exempt; • Right of Way: No acquisition needed; • Design Approval: by RD • DAD format: IPP/FDR

Since this would be a Maintenance Project per PDM Appendix 7, Section 2.0 it would use the Maintenance and Simple Project Steps in Section 4.3.3. The project would follow the steps with check marks in the following columns: • . . .SEQRA Type II or Exempt

Example 2: • Project Type: Bridge rehabilitation • Funding: Federal aid • Highway System: NHS • PoDI Criteria: Meets pre-screening criteria • Project Administered by: NYSDOT • Cost & Region: $12 M in Region 8 • Environmental Classification: NEPA - Class II CE (d list - (d)(13); and SEQRA – Non-Type

II • Right of Way: Temporary easements - no permanent acquisition • Design Approval: FHWA • DAD format: BRR – requests for review of BRR are sent to the Office of Structures Additional information: • Office of Structures is the MOPL • Work involves multiple items in PDM Appendix 7, Exhibit 7-5 • Historic – No Adverse Effect determination • SEQRA determination of the significance of environmental effects is required since project

is Non-Type II • The FEAW indicates that NYSDOT makes the CE determination and the project will use

FEAW Shell 1 (Letter from Region to FHWA notifying of NYSDOT CE determination and required approvals needed prior to DA). However, since the PoDI pre-screening criterion of greater than $10 M in Regions 1-9 is met, FHWA is DA grantor, per Exhibit 4-2. See the Alert box in Section 4.3.2.1.

• The Bridge Rehabilitation Justification Report (BRJR) needs to be completed and attached to the DAD

This project is categorized by PDM Appendix 7, Section 3.0 as Simple and would use the Maintenance and Simple Project Steps in Section 4.3.3. The project would follow the steps with check marks in the following columns: • Do Step for MO or FHWA Design Approval • . . .NEPA Class II CE w/out Review • . . .SEQRA Non-Type II EA


May 2019

Example 3: • Project Type: Simple bridge replacement • Funding: Federal aid • Highway System: Non-NHS • PoDI Criteria: Does not meet pre-screening criteria • Project Administered by: NYSDOT • Cost & Region: $4 M in Region 3 • Environmental Classification: NEPA - Class II CE c list - (c)(23); and SEQRA – Type II • Right of Way: Requires minor ROW acquisition • Design Approval: by DCED • DAD format: IPP/FDR or PSR/FDR DAD format should be used Additional information: • On existing alignment with no additional lanes; • The preliminary rehabilitation vs. replacement analysis done during scoping indicates only

one reasonable alternative (see Section 19.2.2 of the Bridge Manual); • De-minimis strip takings required; • The FEAW indicates that the project will use FEAW Shell 2 (Memo to file);

This project is categorized by PDM Appendix 7, Section 3.0 as Simple and would use the Maintenance and Simple Project Steps in Section 4.3.3. The project would follow the steps with a check mark in the following columns: • Do Step for MO or FHWA Design Approval • . . .NEPA Class II CE w/out review • . . .SEQRA Type II or Exempt • Do Step for ROW Acquisition

Example 4: • Project Type: Bridge replacement with highway reconstruction • Funding: Federal aid • Highway System: NHS • PoDI Criteria: Meets pre-screening criteria • Project Administered by: NYSDOT • Cost & Region: $21 M in Region 10 • Environmental Classification: NEPA - Class II CE d list (d)(13) ; and SEQRA Non-Type II • Right of Way: Requires acquisition and relocation • Design Approval: by DCED • DAD format: Due to greater project complexity, DAD should use PSR/FDR or DDR

Additional information:

• Preliminary rehabilitation vs. replacement analysis done during scoping indicates two reasonable alternatives (see Section 19.2.2 of the Bridge Manual);

• Replacement alternative on new alignment; • Project requires Section 404 Individual Permit from US Army Corps of Engineers; • Individual Executive Order 11990 Finding required from FHWA; • Non-de minimis ROW (determine in consultation with Regional Real Estate Officer); • Public hearing for NEPA purposes determined to be needed; • SEQRA determination of the significance of environmental effects is required since the

project is Non-Type II;


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• The FEAW indicates that the project will use FEAW Shell 3 (MOPL and FHWA review for FHWA NEPA CE Determination)

This project is categorized by PDM Appendix 7, Section 4.0 as Moderate and would use the Moderate Project Steps in Section 4.3.4. The project would follow the steps with a check mark in the following columns: • Do Step for MO or FHWA Design Approval • . . . NEPA Class II CE w/ MOPL/FHWA ED Review • . . . SEQRA Non-Type II (EA) • Do Step for ROW Acquisition

Example 5: • Project Type: Highway reconstruction • Funding: Federal aid • Highway System: NHS • PoDI Criteria: Meets pre-screening criteria • Project Administered by: Local Project • Cost & Region: $8 M in Region 1 • Environmental Classification: NEPA - Class III; SEQRA – Unlisted per 6 NYCRR 617 • Right of Way: Minor ROW needed • Design Approval: by RD • DAD format: DDR


• As NYSDOT is not the SEQRA Lead Agency, 6 NYCRR 617 must be followed instead of 17 NYCRR 15. Contact the Local Programs Bureau for information on SEQRA requirements;

• The Regional Local Programs Liaison (RLPL) is the MOPL; • Step 1A of the FEAW indicates the potential for unusual circumstances.

Consultation with the RLPL and FHWA has indicated project cannot be progressed as a CE and must be classified as NEPA Class III (EA).

• Consultation with FHWA has indicated that a public hearing for NEPA purposes is in the public interest. Public hearing process flowcharts for NEPA Class III and other project classifications can be found in Appendix C.

• The FEAW indicates that the project will use FEAW Shell 4 (local project FHWA NEPA CE Determination).

This project is categorized by PDM Appendix 7, Section 4.0 as Moderate and would use the Moderate Project Steps in Section 4.3.4. The project would follow the steps with a check mark in the following columns: • . . . NEPA Class III EA • Do Step for ROW Acquisition

Example 6: • Project Type: New highway project on new location with high potential for significant

environmental impacts • Funding: Federal aid • Highway System: NHS • PoDI Criteria: Meets pre-screening criteria • Project Administered by: NYSDOT


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• Cost & Region: $35 M in Region 5 • Environmental Classification: NEPA - Class I; and SEQRA – Non-Type II (EIS) • Right of Way: ROW needed • Design Approval: by FHWA • DAD format: DDR for DEIS/FEIS


• All alternatives on new alignment • Due to impacts and substantial controversy on environmental grounds, project is NEPA

Class I, and SEQRA Non-Type II (EIS) • Non-de minimis ROW needed (determine in consultation with Regional Real Estate

Officer) • Public hearing for NEPA purposes to be held. Public hearing process flowcharts for NEPA

Class I and other project classifications can be found in Appendix C. This project is categorized by PDM Appendix 7, Section 4.0 as Complex and would use the Complex Project Steps in Section 4.3.5. The project would follow the steps with a check mark in the following columns: • . . . NEPA Class I (EIS) • . . .SEQR Non-Type II (EIS) • Do Step for Major Project • Do Step for ROW Acquisition

4.3.3 Maintenance and Simple Project Steps The tables provided in Sections 4.3.3.2 and 4.3.3.3 are to be used for projects that have been defined as Maintenance or Simple projects by Sections 2.0 and 3.0 in PDM Appendix 7. 4.3.3.1 Design Approval Document Formats Highway Maintenance and Simple project types that are NEPA Class II and/or SEQRA Exempt or Type II may use the IPP/FDR report format as noted in PDM Appendix 7, Exhibit 7-1. The PSR/FDR may also be used for these projects, where the project scope warrants. Bridge rehabilitation projects must use the Bridge Rehabilitation Report (BRR) format. If a Simple Project is SEQRA Non-Type II (EA) the PSR/FDR format must be used (except when it is Non-Type II (EA) only because it exceeds 17 NYCRR 15.14(d)(6), i.e., there is a Section 106 No Adverse Effect determination). Contact the MOPL with questions regarding the applicability of report formats for specific project situations.

ALERT!

Projects that hold a public hearing or need to evaluate more than one reasonable alternative should follow the Moderate project table in Section 4.3.4. This may require the use of the PSR/FDR or DDR DAD format. Contact the MOPL for more information.


May 2019

4.3.3.2 Preliminary Design Steps

Maintenance and Simple Projects – Phases I-IV

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Review and update or fill in the Federal Environmental Approval Worksheet (FEAW).

Worksheet not required for 100% State-funded projects. Worksheet must be included as an attachment to, or in Appendix B of the DAD for federal funded projects. Projects that are found to be NEPA Class III (EA) or Class I (EIS) cannot use this table. Consult with MOPL before proceeding.

2

Determine who will grant Design Approval (DA) for the project from PDM Exhibit 4-2 (Design-Related Approval Matrix).

If DA grantor is the DCED or FHWA follow the steps in the “Do Step for MO or FHWA Design Approval” column as well as other applicable columns.

3

Prepare Social, Economic and Environmental Resources Checklist (Environmental Checklist)

Checklist should be attached or appended to IPP/FDR, BRR or PSR/FDR.

ALERT! Determine the anticipated involvement of the MOPL and FHWA for the CE environmental determination (ED) and approvals needed based on Steps 2 and 3 in the FEAW. If FHWA CE determination is anticipated to be required, follow the “NEPA Class II CE w/ MOPL/FHWA ED Review” column. If FHWA CE determination is not required, follow the “NEPA Class II CE w/out Review” column.

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm/repository/FEAW1.zip

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm/repository/FEAW1.zip

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/envrionmental%20checklist.doc




May 2019

Maintenance and Simple Projects – Phases I-IV P

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Identify if there are processes that must be followed, such as those for Section 106, Section 4(f), etc. Contact DQAB and Office of Environment for guidance.

Section 106, Section 4(f) or other individual approvals may be required prior CE Determination or release of the EA. Based on information discovered in the previous steps, identify if these procedures must be followed. The steps of these processes (including alternatives analyses) must be coordinated with the project development steps presented here. Refer to the Environmental Manual for specific information on environmental topics. For additional information on Section 4(f) see FHWA’s Section 4(f) Program Overview. For information on cultural resources/Section 106 see: NYSDOT Cultural Resource IntraDOT page. Note that a result of design refinements as the project design progresses can include the involvement of new processes or a reexamination of other processes.

TIP Refer to Appendix D of this chapter for the procedural steps for Individual Section 4(f) Evaluations. Refer to PDM Appendix 7 for format requirements.

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm

http://environment.fhwa.dot.gov/4f/index.asp



http://axim22.nysdot.private:7779/portal/page?_pageid=39,2218806,39_2600242&_dad=portal&_schema=PORTAL



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If not done during scoping, determine if a GreenLITES Scorecard is required for the project.

GreenLITES applies to all projects except standby, where-and-when, or job order contracts. Refer to the NYSDOT GreenLITES web page for information on GreenLITES and filling out the Scorecard. Coordinate with the Regional GreenLITES Contact.

6

For projects that involve bridges contact the Office of Structures to determine their level of involvement.

Follow procedures found in Section 20 of the Bridge Manual. The Bridge Rehabilitation Justification must be completed, approved and attached/appended to all BRRs. Include in other bridge project DADs when appropriate, as indicated by PDM Appendix 7, Exhibit 7-11.

7

Confirm that the proper design criteria are developed for the critical design elements. Verify design criteria with the RQCE. Consult the MOPL as needed.

Refer to HDM Chapters 2, 4, 7 and 18, as appropriate, to determine critical design element design criteria. Refer to the Nonconforming Features Checklist for the applicable Other Design Criteria.

ALERT! Non-standard features (NSFs) to be retained or created must be justified in the DAD per HDM Section 2.8. NSF approval is given by the approving authority identified per Exhibit 4-2.

TIP The Office of Structures is the MOPL for the project types noted in Exhibit 4-1.

https://www.dot.ny.gov/programs/greenlites/project-design-cert


https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/Section_20_US_2010.pdf


https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_bridge%20rehabilitation%20report%20shell_0.doc

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_bridge%20rehabilitation%20report%20shell_0.doc

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_7-11_rev.xls

https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-2

https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter4



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/Nonconforming_Features_Checklist.xls


https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/rev_64_HDM_Ch02.pdf


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Determine potential effects (positive and negative) on environmental resources identified during scoping that may result from the preferred alternative. Begin investigation into necessary permits. Note: Coordination with State and federal agencies may be necessary throughout the scoping and design phases to address environmental requirements.

Contact Regional Environmental Unit Manager for information.

ALERT! Some projects involve environmental issues that require compliance with Section 106/Section 4(f) or require other individual approvals prior to DA (see the FEAW). These projects can require alternatives analysis (e.g. analysis of Section 4(f) avoidance alternative) requiring use of the DDR format. The steps required specifically for these other processes must be coordinated with the project development steps presented here. Refer to the Environmental Manual for procedural and specific information on environmental topics. Contact your DQAB or Office of Environment Liaison for guidance.



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Review the NEPA and/or SEQRA project environmental classifications made in project scoping to ensure it is/they are still valid. This should be done throughout the project design to ensure the classifications remain consistent with subsequent decisions.

Refer to discussion of NEPA Classes and SEQRA Types in PDM Chapter 2, Section 2.3.1. Review the FEAW for the project, and update as necessary. Refer to PDM Appendix 7, Exhibit 7-1 to determine the effect of any change in the environmental classification on the project category and DAD format selection.

10

For projects with bridges over Interstate routes that retain or create non-standard vertical clearances, coordinate with the US Army Surface Deployment and Distribution Command- (SDDC) and FHWA.

See Appendix 2D in Section 2 of the Bridge Manual.

11

Prepare first draft of DAD.

Refer to the DAD shells on the PDM website for the IPP/FDR, BRR and PSR/FDR shells. Refer to HDM Chapter 21 for plan format and content.

TIP Use the Design Report Review Checklist to aid the preparation of the DAD. A completed checklist should be included with DAD submissions to the MOPL.

ALERT! Notification to FHWA is needed for any project with work over or under the Interstate system. Further coordination with FHWA may be required. Contact your MOPL for more information.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/pdmch2_1208.pdf

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM%20Appendix%207.pdf


https://www.sddc.army.mil/Pages/default.aspx







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ED Review

Class II CE

w/out Review

Type II or

Exempt

Non-Type

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Phas

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12

For SEQRA Non-Type II (EA) projects, ensure that the Non-Type II issues are concisely documented in Chapter 3 of the PSR/FDR or the environmental section of the IPP/FDR so that the text can be used to prepare the DONSE. Refer to PDM Chapter 2, Section 2.3.1.1. B for more information on SEQRA Non-Type II criteria.

Projects that are SEQRA Non-Type II (EA) will be required to make an effect determination prior to Design Approval (e.g., DONSE). If it is found that the project will have a Significant Effect, a “Notice of Determination that Project May Have a Significant Effect” Positive Declaration (see PDM Appendix 3 Letters and Notices) must be made and an EIS progressed using the Complex Project steps in Section 4.3.3.

13

Determine or confirm the ROW needs of the project. If ROW acquisitions or easements are needed, follow steps for “ROW Acquisition” in this table. Consult Regional Right-of-Way Office to determine de minimis status and need to hold a public hearing. Note that if a hearing is required the project must be considered Moderate and follow the steps in Section 4.3.4.

This determination is made by evaluating top and toe of slope needs, equipment access needs, mitigation requirements, etc. Refer to HDM Section 5.5 for guidance Note: If additional ROW is needed, review the environmental classifications to ensure that they are still valid.

ALERT! Projects with Section 106 “No Adverse Effect” determinations are SEQRA Non-Type II.

If the only reason for a designation of Non-Type II(EA) is due to a Section 106 No Adverse Effect determination, the DAD can utilize the IPP/FDR format. All other Non-Type II (EA) determinations require use of the PSR/FDR format.



https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_Appendix3_Ex_%20Letters%20Notices.pdf



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/chapt_5_final.pdf


May 2019


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Non-Type

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Phas

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14

Continue public involvement efforts identified in the Public Involvement Plan.

Refer to PDM Appendix 2.

Obtain internal stakeholder input, as necessary which may include a public information meeting.

15

If not already done, prepare Abstract Request Map showing all properties affected by the preferred alternative and forward to Regional Right of Way Mapping Unit.

Refer to ROW Mapping Procedure Manual Chapter 3 and HDM Chapter 5.

16

Prepare table of “Anticipated ROW Acquisitions” for preferred alternative.

Refer to HDM Section 5.5.2 for the required table contents.

17

Circulate the draft DAD for review within the Region to the RQCE and all appropriate ROFUs.

Resolve comments and revise DAD as needed. See EI 99-013 Constructability Review.

18

Review the Federal Environmental Approval Worksheet (FEAW) for completeness and consistency with the revised report.

Complete Step 4 of the FEAW if it has not yet been done. Note that he worksheet should be monitored and updated as necessary throughout Phases I – IV. Update Step 4 as necessary.

TIP For bridge projects, refer to Bridge Manual Table 20-1 to determine Technical Progress Review responsibilities.

ALERT! Note that if project has a de minimis Section 4(f) determination for a park, recreation area or wildlife refuge, public notice and opportunity for public review must be provided. See 23 CFR 774.5(b)(2)(i).

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/pdm-app2.pdf

https://www.dot.ny.gov/divisions/engineering/design/design-services/land-survey/standards-procedures/row





http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=2823781e4dc921e38a17ea90df20fb03&rgn=div8&view=text&node=23:1.0.1.8.46.0.1.3&idno=23


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ED Review

Class II CE

w/out Review

Type II or

Exempt

Non-Type

II (EA)

Phas

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19

For projects where NYSDOT makes the CE determination and there are no environmental issues requiring notification to FHWA or approvals needed, file the FEAW memo in the project file with a copy to the MOPL.

FEAW (V3) Memo Shell 2 is used when NYSDOT makes the CE determination and there are no environmental issues requiring notification to FHWA or approvals needed.

20

∗

For projects where NYSDOT makes the CE determination, and the project requires FHWA approvals or notification for Items listed on FEAW Table 2.2 and 2.3, send the completed FEAW shell and copy of the draft DAD to FHWA. Electronically copy the MOPL.

FEAW (V3) Letter Shell 1 is used when NYSDOT makes the CE determination, and the project requires FHWA approvals or notification. FEAW items must be adequately documented in the environmental chapter/section of the DAD. Table 2.2 approvals must be obtained from FHWA before design approval can be issued.

TIP * For projects requiring use of FEAW Shell 1 and that require DA from FHWA, consider combining this step with Step 22 below. Instead of sending the shell and 1 copy of the report directly to FHWA, include the completed Shell 1 as part of the request to the MOPL for review. Once all MOPL comments are resolved, the MOPL will include the completed Shell 1 with the submission to FHWA for DA in Phase IV (Step 8) and will note the FEAW Table 2.2 approvals needed, if any, from FHWA in the DA request.


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Class II CE

w/out Review

Type II or

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Non-Type

II (EA)

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21

∗

When MOPL and FHWA review is needed for FHWA CE determination: Transmit one paper copies of the draft DAD to the MOPL along with request using the completed FEAW shell. Local projects must use the appropriate FEAW Shell (V3 -Letter Shell 4). Refer to Exhibit 4-5 for the DAD submittal procedure to the MOPL for FHWA approvals. Refer to Appendix B for the appropriate Review Process flowchart.

Prior to seeking FHWA’s concurrence, the FEAW must be properly prepared and items in Columns A and B of FEAW Step 2 that have been checked must be adequately documented in the environmental chapter/section of the DAD. The MOPL will review the draft DAD and provide any comments to the Region. The comments may or may not need to be addressed prior to sending the DAD to FHWA as indicated below: If revisions are needed before the DAD can be sent to FHWA, the MOPL will indicate which comments are necessary to request ED or Approvals and must be immediately resolved. The MOPL will actively help the Region resolve comments. If no revisions are needed the MOPL will send the DAD to FHWA for their review and any needed environmental independent determinations.

TIP ∗ For projects requiring DCED or FHWA DA that also require MOPL and FHWA review per the FEAW, this step may be combined with step 22 below to create one request to the MOPL by modifying FEAW (V3) Memo Shell 3 to include a request for DA in addition to CE determination.


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ED Review

Class II CE

w/out Review

Type II or

Exempt

Non-Type

II (EA)

Phas

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22

∗

For projects that require DCED or FHWA Design Approval per PDM Exhibit 4-2, send request to the MOPL for first MOPL review of draft DAD for DA. Note: Include the completed Design Report Review Checklist with the submission.

Refer to Exhibits 4-4 or 4-5 for the DAD submittal procedures to the MOPL for DCED or FHWA DA. The MOPL will review the draft DAD requiring DCED or FHWA Design Approval and send comments as necessary to the Region. Region revises DAD as needed following the guidance in PDM Appendix 12. Example memos requesting MOPL review/action can be found on the PDM, Project Report Shells and Guidance webpage.

∗ See Tip in Step 21 above. Refer to the Exhibits in Appendix B for the appropriate Review Process flowchart.

ALERT! Provide an updated MOPL Request Memo in the P drive location (see Exhibits 4-4 and 4-5) for each subsequent requests to the MOPL for DAD review.



https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/pdmapp12.pdf






May 2019


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ED Review

Class II CE

w/out Review

Type II or

Exempt

Non-Type

II (EA)

Phas

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23

If applicable, once MOPL comments necessary to request FHWA CE Determination/Approvals are satisfactorily addressed, send a new request memo to the MOPL and attach the revised DAD along with a “Resolution of Comments.”

Once MOPL comments have been satisfactorily addressed, MOPL will forward revised DAD to FHWA for ED/Approvals.

If FHWA has comments that must be addressed prior to granting determination, the Region must revise DAD and send to MOPL along with a “Resolution of Comments”.

MOPL will forward the revised DAD to FHWA once comments are satisfactorily addressed. This step may be combined with Phase IV, Step 7 if FHWA DA is required.

Phase II For Maintenance and Simple Projects, a Design Phase II (Advisory Agency Review of the DAD) is not applicable.

Phase III Maintenance and Simple projects do not have a Phase III (Public Hearing).

If a public hearing is required, the project cannot be considered a Maintenance or Simple Project

and must follow the Moderate Project steps in Section 4.3.4.4.

1

Update draft DAD to prepare it for Design Approval.

Revise all language that was appropriate for the draft document(s), but not the final. For example, statements identifying approvals to be obtained prior to design approval need to be updated.


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ED Review

Class II CE

w/out Review

Type II or

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Non-Type

II (EA)

Phas

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2

Ascertain information and materials needed for applicable permits.

3

Initiate Taking Line Review Meeting. Described in HDM Chapter 5,

Section 5.5.4 and the ROW Mapping Procedure Manual.

4

Revise Abstract Request Maps to ensure all properties affected by the preferred alternative are included. Provide Regional Right of Way with draft Final DAD.

Refer to HDM Chapter 5, Section 5.5.1. Regional ROW uses the information about the preferred alternative to request Acquisition Phase Authorization. The Regional ROW Unit will obtain Acquisition Phase Authorization once Design Approval has been granted.

ALERT! Permits should be in hand in time for incorporation into the PS&E.






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ED Review

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w/out Review

Type II or

Exempt

Non-Type

II (EA)

Phas

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5

Prepare “Determination of No Significant Effect” (DONSE) in coordination with Regional Environmental Unit Manager.

If significant impacts per 17 NYCRR Part 15, Section 15.11 are discovered, a DONSE cannot be issued and the project must be recycled as a SEQRA Non-Type II EIS (follow Complex Project Steps in Section 4.3.5). A Determination that Project May Have a Significant Effect must be prepared and published per 17 NYCRR Section 15.10(b). The approval of the DONSE can occur concurrently with the request for DA/NSF Approval. Refer to DONSE examples. Significant Effect Determination example can be found in PDM Appendix 3 NEPA and SEQR Example Letters and Notices. For more information contact DQAB-PDS.

6

File the DONSE per the requirements of 17 NYCRR Section 15.10 (a)(2).

The DONSE shall be filed with: • The Environmental Science

Bureau (ESB) in the Main Office

• Within the Regional Office • DEC Commissioner (Main

Office) • DEC Regional Director

(Regional Office) • CEO of municipality • If applicable, any other

agencies funding or permitting the project.

TIP

The publication of the DONSE in NYSDEC’s Environmental Notice Bulletin (ENB) is encouraged, but it is not required by 17 NYCRR Part 15.

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm/repository/2-1-a.pdf


https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm/rod



http://www.dec.ny.gov/enb/enb.html



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ED Review

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7

Send the revised final DAD to the MOPL or RD as noted in Exhibit 4-2 and request Design Approval and non-standard feature approval as applicable.

Refer to Exhibits 4-4 or 4-5 for the DAD submittal procedures to the MOPL for DCED or FHWA DA.

For DCED and FHWA DA projects, the MOPL will give a final review of the DAD prior to forwarding to the appropriate approving authority. The approving authority will advise the designer or the MOPL, as applicable, of any necessary revisions. Once the DAD is acceptable, the approving authority grants Design Approval and Non-Standard Feature Approval. DA is a Primavera Milestone - update Primavera schedule.

8

Ensure that the approved DAD (with appendices) and other signed or sealed design-related documents are saved in the Record Retention folder in the ProjectWise PIN folder.

Refer to EI 17-005 for information. Other documents signed or sealed after Design Approval must also be retained. Per EI 17-005, Project Managers are responsible for placing the approved documents in the Record Retention folder.

ALERT! Note that the contract plans must be consistent with the approved design criteria and non-standard feature(s) created or retained.



May 2019

4.3.3.3 Final Design Steps

Maintenance and Simple Projects –Phases V-VI

Phas

e

Step

# Design Steps


Phas

e V

1 Continue preparation of acquisition maps and send to Regional Right of Way. See ROW Mapping Procedure Manual.

2 Expand the “Table of Anticipated ROW Acquisitions” into the “Table of ROW Acquisitions.”

Refer to HDM Chapter 5, Section 5.5.5 for table contents.

3 Provide Regional Right of Way with periodic updates of final plan development.

This assists Regional Right of Way in providing the most current construction impact information to affected land owners.

4

Complete Bridge Site Data Package for new or replacement bridges. Submit to FHWA for review for projects that received Design Approval from FHWA.

Refer to Bridge Manual Section 3.

5 Send applications for environmental permits as necessary.

Ensure that any commitments for mitigation mentioned in the DAD are incorporated into the permit application and into the project plans. Permits must be received prior to and incorporated into the PS&E package or any anticipated permit conditions must be known and incorporated into the PS&E.

6

Prepare Advance Detail Plans (ADPs). For bridge projects, prepare ADPs and refer to Table 20-1 in the Bridge Manual to determine Technical Progress Review responsibilities for ADPs.

See HDM Chapter 21 for ADP Content. Refer to Bridge Manual Section 19.1.3 and Section 20.2.2. Primavera Milestone - At completion of ADP package, update Primavera schedule.

7 Assess need for formal project partnering (Partnering Workshop).

See HDM Chapter 21, Section 21.4.3.5.E.2 and Section 103-05 of the Standard Specifications.

8

Assess the need for special specification approvals. Send proposed special specifications to the Regional Special Specification Coordinator for review.

See HDM Chapter 21, Section 21.4 for Special Specification requirements.

9 Initiate acquisitions and relocations, or monitor acquisitions performed by municipalities.

Note: ROW Acquisition funds must be obligated and phase must be authorized before acquisitions can begin.




https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/chapt_21.pdf



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/chapt_21.pdf

https://www.dot.ny.gov/main/business-center/engineering/specifications/english-spec-repository/section100.pdf


May 2019

Maintenance and Simple Projects –Phases V-VI Ph

ase

Step

# Design Steps


Phas

e V

10

Distribute and coordinate review of ADP by ROFU, RQCE, and Advisory review by MOPL and other MOFU, as appropriate. Send ADP set to FHWA for review as needed. FHWA review is required for projects as determined by PDM Exhibit 4-3.

See PDM Appendix 12 and Bridge Manual Section 20. Refer to HDM Chapter 21 for the transmittal memo and required content of the ADP submission.

11

Resolve Comments from ADP review.

Resolve comments in accordance with PDM Appendix 12.

12 Provide a “Resolution of Comments” memo to reviewers

with significant comments.

13

Revise plans to reflect the resolution of comments.

14

Evaluate whether changes have occurred that trigger the need for a reevaluation to determine if the environmental determinations remain valid.

Changes that have occurred to either the project’s concept and/or the affected environment will require a reevaluation. Changes of this nature can include additional ROW needs, scope, environmental issues or need for permits not considered in Phases I-IV. See Section 1.3 of PDM Appendix 11 for guidance on types of changes that require re-evaluation and if necessary, the appropriate type of reevaluation.

15 Review the project’s GreenLITES Scorecard and update as

necessary.

Refer to the NYSDOT GreenLITES web page for information on GreenLITES and filling out the Scorecard.

Ph

ase

VI

1

Begin preparation of the PS&E.

ALERT!

For steps to process PS&E refer to HDM Chapter 21

ALERT! ADPs need to be consistent with the DAD. After discussion with FHWA, FHWA will determine if a written reevaluation is necessary or if changes can be handled through consultation (see Section 2.1 of PDM Appendix 11). If a written reevaluation is needed, it must be prepared and approved as per Section 2.2 of PDM Appendix 11. For assistance, contact the MOPL.

ALERT! If it is discovered after Design Approval that retention or creation of NSFs is required, request NSF approval using PDM Exhibit 4-2 Design-Related Approval Matrix and the information in HDM Chapter 2, Section 2.8.



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/Chapter_21_4-13-11.pdf









May 2019

Maintenance and Simple Projects –Phases V-VI Ph

ase

Step

# Design Steps


Phas

e VI

2 Distribute and coordinate review of the PS&E (combined

package) by ROFUs and RQCE.

3 Resolve outstanding comments and complete PS&E. Primavera Milestone – update Primavera schedule.

4 Ensure permits are received or that no irresolvable issues exist.

5 Prepare PS&E Transmittal Memo. Obtain PS&E memo approval from the Regional Director (or their designee).

Refer to HDM Chapter 21, Section 21.9.2.5. Note that FHWA must grant PS&E (and amendment) approval for the project types identified on PDM Exhibit 4-3. The PS&E Memo must include a request for FHWA PS&E approval. Primavera Milestone - update Primavera schedule.

6

Prepare and send the Handoff Memo to the EIC prior to holding the pre-construction meeting. This memo is intended to provide for the transfer of project information from Design to Construction.

Refer to HDM Chapter 21, Section 21.13 for information on the Handoff Memo to Construction. All project information should be transferred, copies of all permits, CADD files, the DAD, GreenLITES Scorecard, etc. (e.g., the work-up sheets associated with the Engineer’s Estimate).

7

Ensure that any design-related documents requiring approval after design approval (e.g., Phase V/VI NSFJ or Reevaluation documents/approvals) are saved in the Record Retention folder in the ProjectWise PIN folder. Also, ensure that the approved DAD (with appendices) and other signed or sealed design-related documents have been saved in this folder.

Refer to EI 17-005 for information.

Other documents signed or sealed after Design Approval must also be retained.

Per EI 17-005, Project Managers are responsible for placing the approved documents in the Record Retention folder.

8 Hold pre-construction meeting.

Include EIC and all appropriate project team members. Primavera Milestone – update Primavera schedule.

https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/PSE_Transmittal_Memo%20(Revised%201-19-16).rtf



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/Handoff_Memo_to_the_Engineer-in-charge.rtf



May 2019

4.3.4 Moderate Project Steps The tables in sections 4.3.4.4 and 4.3.4.5 are to be used for projects that are defined as Moderate projects (See PDM Appendix 7, Section 4.1 for a description of Moderate projects). Moderate projects should use a DAD format that enables the information and reasons behind project decisions to be adequately conveyed. For example, a bridge replacement project may require the use of the PSR/FDR format instead of the IPP/FDR due to the greater ability of the PSR/FDR to convey necessary information. See Exhibit 7-1 in PDM Appendix 7 for a description of the DAD formats and minimum environmental classifications for use of each format type. Note that NEPA Class III (EA) projects must use the DDR format. 4.3.4.1 Public Hearings for Moderate Projects Occasionally it may be necessary to offer the opportunity for and/or to hold a public hearing for some Moderate projects. For projects that are NEPA Class II Categorical Exclusion (CE) and SEQRA Type II or Non-Type II (EA) or that are 100% State-funded SEQRA Type II or Non-Type II (EA), this is typically due to non-de minimis right of way determinations that trigger public hearing requirements. Refer to 23 CFR 771.111(h)(2)(iii) for the FHWA’s requirements for when to offer the opportunity for or hold a public hearing for NEPA purposes (federally aided projects). Refer to 17 NYCRR 15.6(d)(2) when holding public hearings for SEQRA purposes. The public hearing procedures in Article 2 of the Eminent Domain Procedure Law apply to projects with non-de minimis right of way takings. However, per EDPL Section 206 (C), when a public hearing is held, or the opportunity for a hearing is offered, in compliance with another regulation (i.e., NEPA or SEQRA), NYSDOT (as condemnor) is exempt from compliance with the provisions of Article 2 upon notice to the public and owners of property to be acquired and provided that the requirements of EDPL Section 204(B) are met (see below). Holding a public hearing for the purposes of NEPA or SEQRA in this manner satisfies the EDPL public hearing requirements. Therefore, it is recommended that when a public hearing for a CE project is held for any reason that the steps related to the holding of a public hearing for NEPA purposes found in Section 4.3.4.4 (Preliminary Design Steps for Moderate Projects) be followed. 100% State-funded Moderate projects that have identified a need for a public hearing should follow the steps identified in Phase III in Section 4.3.5.3 (Preliminary Design Steps for Complex Projects) for public hearings held for SEQRA purposes.

ALERT!

• Holding an EDPL (instead of a NEPA or SEQRA) public hearing requires the advance permission of the DCED.

• Do not confuse a NEPA or SEQRA public hearing with an EDPL public hearing on the

hearing notices. Use the correct notice shells from PDM Appendix 3 – Letters and Notices. • For 100% State-funded Moderate Projects holding a public hearing, use the steps identified

for public hearings held for SEQR purposes in Phase III of the Complex Projects steps table in Section 4.3.5.3.

http://public.leginfo.state.ny.us/lawssrch.cgi?NVLWO:


May 2019

Because it is advantageous to hold, or offer to hold, a public hearing for NEPA or SEQRA purposes (as appropriate to project funding), and because of the exemption offered by EDPL Section 206 (C), holding a public hearing using the provisions of EDPL Article 2 requires the advance permission of the Deputy Chief Engineer (contact the DQAB, Project Development Section for more information). See PDM Appendix 3 for the appropriate hearing notice shells. The following factors from EDPL Section 204(B) must be specifically presented during any public hearing for a project with a non-de minimis right of way finding:

• The public use, benefit or purpose to be served by the proposed public project; • The approximate location for the proposed public project and the reasons for the selection

of that location; • The general effect of the proposed project on the environment and residents of the locality; • Other factors considered relevant.

Refer to Appendix C of this Chapter for flowcharts illustrating the procedures for holding public hearings by project classification. 4.3.4.2 NEPA Class III, Environmental Assessment (EA) Projects NEPA Class III projects are defined in 23 CFR 771.115(c) and further clarified by 23 CFR 771.119(a) as projects that are not Class II Categorical Exclusions and where the need to prepare an EIS is unclear (see the Federal Environmental Approval Worksheet (FEAW) and 23 CFR 771.117(b)). Class III procedures require the preparation of an Environmental Assessment (EA) to assist in determining the need to prepare an EIS. Consultation with your MOPL and FHWA is required prior to advancing any project as a NEPA Class III. Note that per 23 CFR 771.119(j), FHWA may require that Class III projects follow the requirements of 23 USC 139 depending upon the circumstances of the project. The Design Phase (I-VI) steps specific to NEPA Class III projects are listed in the following Moderate project tables. All NEPA Class III projects should use the DDR shell per PDM Appendix 7, Exhibit 7-1. All projects progressed as NEPA Class III must also be progressed as SEQRA Non-Type II (EA). The FEAW should be used to document the need for an EA. Steps 1 and 4 on the FEAW need to be completed and the FEAW retained in the project file. Note that offering to hold or holding a public hearing for a Class III project is subject to the public hearing related requirements in 23 CFR 111 and 119. These requirements are built into the Phases II and III steps in Section 4.3.4.4. 4.3.4.3 Designation of Moderate Projects as FHWA Major Projects Occasionally a Moderate project is classified by FHWA as a Major Project based on project cost or size in relation to the Capital Program. Specifically, a FHWA Major Project is a federally-aided project of $500 million dollars or more. FHWA may also designate projects that require a substantial portion of the NYSDOT's program resources; have a high level of public or congressional interest; are unusually complex or have extraordinary implications for the national transportation system as Major Projects at their discretion.


https://codes.findlaw.com/us/title-23-highways/23-usc-sect-139.html


May 2019

If a CE project has been classified as a FHWA Major Project, follow the steps in Sections 4.3.5.4 and 4.3.5.5 (complex project step tables) that have been identified for FHWA Major Projects in addition to the steps in this section.

http://axim22.nysdot.private:7779/portal/page?_pageid=39,2318419&_dad=portal&_schema=PORTAL


May 2019


Moderate Projects – Phases I-IV Ph

ase

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Step to be Taken Other Actions and Required Information Class

III EA

Class II CE w/ MOPL/ FHWA

ED Review

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w/out review

Type II

Non-Type II EA

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1

Review the Federal Environmental Approval Worksheet (FEAW) and update as necessary. If not done earlier in project scoping, start it now.

Worksheet not required for 100% State-funded projects. Worksheet must be included as an attachment to, or in Appendix B of the DAD for federal funded projects. Projects that are found to be NEPA Class I (EIS) cannot use this table and must use the Complex Projects table. Consult with MOPL before proceeding.

2

Determine who will grant Design Approval (DA) for the project from PDM Exhibit 4-2 (Design-Related Approval Matrix).

If DA grantor is the DCED or FHWA follow the steps in the “Do Step for MO or FHWA Design Approval” column as well as other applicable columns.

3

Prepare Social, Economic and Environmental Resources Checklist (Environmental Checklist) as necessary.

Checklist must be attached or appended to DADs using the IPP/FDR, BRR or PSR/FDR. DADs using the DDR do not use this form.

ALERT! Determine the anticipated involvement of the MOPL and FHWA for environmental determination (ED) and approvals needed based on Steps 2 and 3 in the FEAW. If FHWA CE determination is required, follow the “NEPA Class II CE w/ MOPL/FHWA ED Review” column. If FHWA CE Determination is not required follow the “NEPA Class II CE w/out Review” column. Class III projects follow the “Class III EA” column.

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm/repository/4_1_1_11_G.pdf








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Identify if there are processes that must be followed, such as those for Section 106, Section 4(f), etc. Contact your DQAB and Office of Environment for guidance.

Section 106, Section 4(f) or other individual approvals may be required prior CE Determination or release of the EA. Based on information discovered in the previous steps, identify if these procedures must be followed. The steps of these processes (including alternatives analyses) must be coordinated with the project development steps presented here. Refer to the Environmental Manual for specific information on environmental topics. For additional information on Section 4(f) see FHWA’s Section 4(f) Program Overview. For information on cultural resources/Section 106 see: NYSDOT Cultural Resource IntraDOT page. Note that a result of design refinements as the project design progresses can include the involvement of new processes or a reexamination of other processes.

TIP Refer to Appendix D of this chapter for the procedural steps for Individual Section 4(f) Evaluations. Refer to PDM Appendix 7 for format requirements.








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5

For projects with unusual circumstances as documented by Step 1A on the FEAW (potential NEPA Class III Environmental Assessment (EA)), contact the MOPL to begin consultation with OOE and FHWA. Class III projects are those where the answer to Step 1B of the FEAW indicates that the project is not a CE, and the need to prepare an EIS is unclear (the significance of impacts or controversy is unclear).

Consultation with the MOPL, OOE and FHWA must be done to determine that an EA is warranted. Note that FHWA approval of the EA (by signing the EA Title Sheet) must be obtained prior to the distribution and/or release of the DAD to the public in Phases II and III. This includes any necessary FHWA independent determinations or approvals such as Sections 106 and 4(f), ESA, EO 11990, etc. as applicable. Contact the MOPL and OOE with questions.

6

For Class III projects; After completion of FEAW, Steps 1A and 1B and consultation discussed in the above step, send a request to the MOPL to notify FHWA of NYSDOT’s intent to progress project as a NEPA Class III.

Upon receipt of request, the MOPL will send the Notification to Progress NEPA Class III Action to FHWA.

EB 18-013 announced the FHWA requirement for formal notification of NYSDOT’s intent to progress any project as NEPA Class III and to prepare a NEPA EA.

ALERT! Unless consultation with the MOPL and FHWA has determined otherwise, Class III projects must offer the opportunity for, and/or hold, a public hearing. Follow the applicable steps in Phases II and III. For Class III projects, FHWA determines, on a case by case basis, the need to apply EIS procedures from 23 USC 139 (e.g., the need to obtain FHWA concurrence with the Purpose and Need and range of alternatives). If these requirements must be followed, refer to Exhibit 4-6 for these steps.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PIN%20xxxxxx_Intent%20to%20Develop%20DR-EA_FHWA_date_mm-dd-yy.doc






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7 If not done during scoping, begin the GreenLITES Scorecard for the project.

Refer to the NYSDOT GreenLITES web page for information on GreenLITES and filling out the Scorecard. Coordinate with the Regional GreenLITES Contact.

8

For projects that involve bridges contact the Office of Structures to determine their level of involvement.

Follow procedures found in Section 20 of the Bridge Manual. Refer to PDM Appendix 7, Exhibit 7-1 to determine the need to append the Bridge Rehabilitation Justification to the DAD.

9

Confirm that the proper design criteria are developed for the critical design elements. Verify design criteria with the RQCE. Consult the MOPL as needed.

Refer to HDM Chapters 2, 4, 7 and 18, as appropriate, to determine critical design element design criteria. Refer to the Nonconforming Features Checklist for the applicable Other Design Criteria.

10

If not already done, identify reasonable alternatives and eliminate alternatives from consideration that do not meet the project objectives.

ALERT! Non-standard features (NSFs) to be retained or created must be justified in the DAD per HDM Section 2.8. NSF approval is given by the approving authority identified per Exhibit 4-2.

TIP The Office of Structures is the MOPL for the project types noted in Exhibit 4-1. DQAB is the MOPL for bridge replacement projects.





https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/Appendix_19B_11_27_2017_Template_Final.docx

https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/Appendix_19B_11_27_2017_Template_Final.docx









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11

Determine potential effects (positive and negative) on environmental resources identified during scoping that may result from the reasonable alternatives. Note: Coordination with State and federal agencies may be necessary throughout the design phases to address environmental requirements.

All reasonable alternatives need to be developed and discussed in the DAD to an equal level of detail to allow for adequate analysis/comparison. Refer to 40 CFR 1502.14. Contact Regional Environmental Unit Manager for more information.

ALERT! Some projects involve environmental issues that require compliance with Section 106/Section 4(f) or require other individual approvals prior to DA (see the FEAW). These projects can require alternatives analysis (e.g. analysis of Section 4(f) avoidance alternative) potentially necessitating use of the DDR format. The steps required specifically for these other processes must be coordinated with the project development steps presented here. Refer to the Environmental Manual for procedural and specific information on environmental topics. Contact your DQAB or Office of Environment Liaison for guidance.

https://www.law.cornell.edu/cfr/text/40/1502.14




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For projects with bridges over Interstate routes that retain or create non-standard vertical clearances, coordinate with the US Army Surface Deployment and Distribution Command- (SDDC) and FHWA.


13

Review the NEPA and/or SEQRA environmental classifications made during project scoping to ensure it is/they are still valid. This should be done throughout the project design to ensure classifications remain consistent with subsequent decisions.

Refer to discussion of NEPA Classes and SEQRA Types in PDM Chapter 2, Section 2.3.1. Refer to PDM Appendix 7, Exhibit 7-1 to determine the effect of any change in the environmental classification on the project category and the DAD format selection.

14

Prepare first draft of DAD.

Refer to the DAD shells on the PDM Project Report Shells and Guidance website (use DDR/FDR for Moderate projects). Refer to HDM Chapter 21 for plan format and content. TIP

Use the Design Report Review Checklist to aid the preparation of the DAD. A completed checklist should be included with DAD submissions to the MOPL.

ALERT! Notification to FHWA is needed for any project with work over or under the interstate system. Further coordination with FHWA may be required. Contact your MOPL for more information.











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The cover of the draft DAD for NEPA Class III projects must be entitled Draft Design Report/Environmental Assessment.

NEPA Class III projects must include a title sheet to be signed by the Deputy Chief Engineer and FHWA. See the title sheet shells on the PDM Project Report Shells and Guidance web page.

16

For Class III projects, fully document all environmental topics in Chapter 4 of the DAD. This text should be used in the preparation of a Finding of No Significant Impact (FONSI).

Projects being progressed as NEPA Class III EA must either reach a FONSI or continue as a Class I EIS per 23 CFR 771.119(i). FONSI examples can be found here.

17

For SEQRA Non-Type II (EA) projects, ensure that the Non-Type II issues are concisely documented in Chapter 4 of the DAD so that the text can be used to prepare the DONSE. Refer to PDM Chapter 2, Section 2.3.1.1.B for more information on SEQRA Non-Type II criteria.

Projects that are SEQRA Non-Type II (EA) need to have a SEQR effect determination made prior to Design Approval (DONSE). If it is found that the project will have a Significant Effect, a “Notice of Determination that Project May Have a Significant Effect” (Positive Declaration - see PDM Appendix 3 Letters and Notices) must be made and an EIS progressed using the Complex Project steps in Section 4.3.5.

ALERT! Projects with Section 106 “No Adverse Effect” determinations are SEQRA Non-Type II. If the only reason for a designation of Non-Type II(EA) is due to a Section 106 No Adverse Effect determination, the DAD may utilize the IPP/FDR format (ensure IPP/FDR can accommodate project complexity). All other Non-Type II (EA) determinations require use of the PSR/FDR format.



https://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&sid=ee89e5b389ee82f3df47454d4d1af5de&rgn=div5&view=text&node=23:1.0.1.8.43&idno=23%20-%2023:1.0.1.8.43.0.1.11#se23.1.771_1119

https://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&sid=ee89e5b389ee82f3df47454d4d1af5de&rgn=div5&view=text&node=23:1.0.1.8.43&idno=23%20-%2023:1.0.1.8.43.0.1.11#se23.1.771_1119








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18

Determine or confirm the ROW needs of the project. If ROW acquisitions or easements are needed, follow steps for “ROW Acquisition” in this table. Consult Regional Right-of-Way Office to determine de minimis status and need to hold a public hearing.

This determination is made by evaluating top and toe of slope needs, equipment access needs, mitigation requirements, etc. Refer to HDM Section 5.5 for guidance Note: If additional ROW is needed, review the environmental classifications to ensure that they are still valid.

19

Continue public involvement efforts identified in the Public Involvement Plan. Refer to PDM Appendix 2. See Phase I, steps 23 and 24 below to help determine if the opportunity for or holding of a public hearing is needed.

Obtain internal stakeholder input, as necessary. Obtain external stakeholder input, which may include a public information meeting.

ALERTS! • If a public meeting or hearing is anticipated to be held,

notify the Office of Civil Rights (OCR). OCR is mandated by Title VI requirements to attend public meetings and hearings to assure Title VI compliance.

• Note that if project has a de minimis Section 4(f) determination for a park, recreation area or wildlife refuge, public notice and opportunity for public review must be provided. See 23 CFR 774.5(b)(2)(i).

ALERT! If a non-de minimis ROW determination is made, this is likely to require offering the opportunity to hold or holding a public hearing (23 CFR 771.111(h)(2)(iii)). Consult Regional ROW for more information.



http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=2823781e4dc921e38a17ea90df20fb03&rgn=div8&view=text&node=23:1.0.1.8.46.0.1.3&idno=23


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Unless already done in Scoping, prepare Abstract Request Map showing properties affected by all reasonable alternatives and forward to Regional ROW Mapping Unit.


21

Prepare table of “Anticipated ROW Acquisitions” for each reasonable alternative.

Refer to HDM Section 5.5.2 for the required table contents. Table(s) must be included in the DAD.

22

∗

If relocations are required, prepare Conceptual Stage Relocation Plan (see Office of Right of Way's latest Directive) for all reasonable alternatives being progressed. Incorporate the Conceptual Stage Relocation Plan into the draft DAD.

Relocation plans are required for the acquisition of an occupied dwelling or principal business structures. However, relocation plans may also be required if other occupants of acquired ROW are eligible for relocation benefits (i.e., permittees, lessees of the existing ROW, etc.).

ALERT! ∗When acquisition of an occupied dwelling or principal business structure is required, then the project must be progressed as SEQRA Non-Type II (EA) per 17 NYCRR 15.14(d)(1).






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Determine the potential need for public hearing. The requirement to offer to hold and/or hold a hearing can be triggered by: • NEPA: 23 CFR

771.111(h)(2)(iii) for federally funded projects that have: o Significant amounts of

right of way o Substantial change to

the layout or function of the facility or connecting roadways

o Substantial adverse impact on abutting property

o Significant Environmental impacts

o FHWA determines a hearing is in the public interest

Check with Regional Environmental Contact for information regarding the above.

• Eminent Domain Procedure Law (EDPL): - Contact the Regional Right of Way Officer for information on right of way determination.

• SEQRA (100% State-funded projects): 17 NYCRR 15.6(d)(2).

Eminent Domain Procedure Law requirements: 1. De minimis ROW; Per EDPL Article 2, Section 206(D) conducting, or offering to conduct, a public hearing under EDPL is not required when a de minimis determination is made. 2. Non-de minimis ROW; EDPL Article 2, Section 206(C) – EDPL Article 2 is satisfied when a public hearing is offered or held pursuant to another law or regulation (NEPA/SEQRA) and the requirements of EDPL Article 2, Section 204(B) are met. If a public hearing is to be held and project requires FHWA CE determination or other approvals per the FEAW or requires FHWA DA, see Step 27 below. See PDM Appendix 2 for information regarding holding public hearings. See PDM Appendix 3 Letters/Notices for example notices for public hearings.

ALERT! Approval from the DCED is required to hold an EDPL hearing. Contact DQAB-PDS if an EDPL hearing is anticipated. EDPL Section 206 provides an exemption from full adherence to the public hearing requirements in EDPL Article 2 when offering to hold or holding a public hearing pursuant to another regulation. For this reason, it is typically preferable to hold a hearing for NEPA and/or SEQRA purposes (contingent on funding).

http://www.ecfr.gov/cgi-bin/text-idx?SID=81c3107445c0649ed41b4329d763a1aa&node=se23.1.771_1111&rgn=div8

http://www.ecfr.gov/cgi-bin/text-idx?SID=81c3107445c0649ed41b4329d763a1aa&node=se23.1.771_1111&rgn=div8



http://public.leginfo.state.ny.us/LAWSSEAF.cgi?QUERYTYPE=LAWS+&QUERYDATA=$$EDP206$$@TXEDP0206+&LIST=LAW+&BROWSER=EXPLORER+&TOKEN=53259371+&TARGET=VIEW










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Determine potential need to offer to hold or hold a public hearing for Class III projects based on the requirements of 23 CFR 771.111(h)(2)(iii): o Significant amounts of

right of way o Substantial change to

the layout or function of the facility or connecting roadways

o Substantial adverse impact on abutting property

o Significant Environmental impacts

o FHWA determines a hearing is in the public interest.

The offering of an opportunity for, or holding of, a public hearing may also be needed if there is, or there is the potential for, substantial controversy on environmental grounds. Offering an opportunity for, or holding a hearing, is recommended if the potential for such controversy exists.

Contact the MOPL to determine the need for consultation with FHWA.

If it is determined that the opportunity for a hearing will not be offered, ensure this decision is documented in the project file based on the criteria in 23 CFR 771.111(h)(2)(iii). Send this documentation to the MOPL.

25

Circulate the draft DAD for review within the Region to RQCE and all appropriate ROFUs.

Resolve comments and revise DAD as needed. See EI 99-013 Constructability Review.

TIP For bridge projects, refer to Bridge Manual Table 20-1 to determine Technical Progress Review responsibilities.

TIP If a public hearing is to be held and a Section 106 Consulting Parties Meeting is needed, the hearing and meeting should be combined if possible.




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Review the Federal Environmental Approval Worksheet (FEAW) for completeness and consistency with the revised report.

Complete Step 4 of the FEAW if it has not yet been done.

Note that he worksheet should be monitored and updated as necessary throughout Phases I – IV. Update Step 4 as necessary.

27

If a CE project that is holding a public hearing: • Requires FHWA CE

Determination, and/or • has outstanding

independent environmental determinations, and/or

• requires FHWA DA: FHWA must first be given the opportunity to review the draft DAD to ensure that they agree with the environmental classification. A hearing date cannot be set or advertised prior to FHWA’s advance review of the draft DAD.

For these projects, the Region must send to the MOPL a copy of the draft DAD for FHWA review at least 60 days prior to the planned date of the hearing with a request for advance review from FHWA. For projects that are not holding a public hearing, but are holding a public information meeting, the information presented to the public should make it clear that the project is being progressed as a Categorical Exclusion and that the determination is not final.

28

If project has not received scope approval it must do so prior to the end of Phase I.

Per PDM Exhibit 7-1. Primavera Milestone – update Primavera schedule.

ALERT! Where FHWA has DAD review responsibilities per the FEAW or Exhibit 4-2, they have indicated that they must review the DAD and approve that it can made available to the public prior to advertising for a public hearing.


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Determine the need for Value Engineering (VE) Study. Refer to PDM Appendix 9, Section 3.1 for VE requirements.

As mandated by National Highway Systems Act of 1995. Consult with DQAB, Specifications and Standards Section as necessary.

30

For projects where NYSDOT makes the CE determination and there are no environmental issues requiring notification to FHWA or approvals needed, file the FEAW memo in the project file with a copy to the MOPL.

FEAW (V3) Memo Shell 2 is used when NYSDOT makes the CE determination and there are no environmental issues requiring notification to FHWA or approvals needed.

31

∗

For projects where NYSDOT makes the CE determination, and the project requires FHWA approvals or notification for Items listed on FEAW Table 2.2 and 2.3, send the completed FEAW shell and copy of the draft DAD to FHWA. Electronically copy the MOPL.

FEAW (V3) Letter Shell 1 is used when NYSDOT makes the CE determination, and the project requires FHWA approvals or notification. FEAW items must be adequately documented in the environmental chapter/section of the DAD. Table 2.2 approvals must be obtained from FHWA before design approval can be issued.

TIP! * For projects requiring use of FEAW Shell 1 and that require DA from FHWA, consider combining this step with Step 33 below. Instead of sending the shell and one copy of the report directly to FHWA, include the completed Shell 1 as part of the request to the MOPL for review. Once all MOPL comments are resolved, the MOPL will include the completed Shell 1 with the submission to FHWA for DA in Phase IV Step 8 and will note the FEAW Table 2.2 approvals needed, if any, from FHWA in the DA request.



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∗

When MOPL and FHWA review is needed for FHWA CE determination: Transmit two copies of the draft DAD to the MOPL along with request using the completed FEAW shell. Local projects must use the appropriate FEAW Shell (V3 -Letter Shell 4). Refer to Appendix B for the appropriate Review Process flowchart. Refer to Exhibit 4-5 for the DAD submittal procedures to the MOPL for FHWA approval.

Prior to seeking FHWA’s concurrence, the FEAW must be properly prepared and items in Columns A and B of FEAW Step 2 that have been checked must be adequately documented in the environmental chapter/section of the DAD. The MOPL will review the DAD and provide any comments to the Region. The comments may or may not need to be addressed prior to sending the DAD to FHWA as indicated below: If revisions are needed before the DAD can be sent to FHWA, the MOPL will indicate which comments are necessary to request ED or Approvals and must be immediately resolved. The MOPL will actively help the Region resolve comments. If no revisions are needed, the MOPL will send the DAD to FHWA for their review and any needed independent environmental issue determination(s)/approval(s).

TIP ∗ For projects requiring DCED or FHWA DA that also require MOPL and FHWA review per the FEAW, this step may be combined with step 33 below to create one request to the MOPL by modifying FEAW (V3) Memo Shell 3 to include a request for DA in addition to CE determination.


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∗

∗∗

For projects that require DCED or FHWA Design Approval per PDM Exhibit 4-2, send request to the MOPL for first MOPL review of draft DAD for DA.

Refer to Exhibits 4-4 or 4-5 for the DAD submittal procedures to the MOPL for DCED or FHWA DA. Note: Include the completed Design Report Review Checklist with the submission.

The MOPL will review the draft DAD requiring DCED or FHWA Design Approval and send any comments as necessary to the Region. Region revises DAD as needed following the guidance in PDM Appendix 12.

∗ For projects requiring DCED or FHWA DA that are also being progressed as NEPA Class III, combine this step with step 34 below in one request to the MOPL.

∗∗ For projects requiring DCED or FHWA DA that also require FHWA CE Determination, combine this step with step 32 above with one request to the MOPL. Example memos requesting MOPL review/action can be found on the PDM, Appendix 7-Samples webpage. Refer to the Exhibits in Appendix B for the appropriate Review Process flowchart.

ALERT Provide an updated MOPL Request Memo in the P drive location (see Exhibits 4-4 and 4-5) for each subsequent requests to the MOPL for DAD review.





https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm/samples




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For Class III projects, transmit two copies of the draft DAD/EA to the MOPL and request DCED* and FHWA signature of the EA Title Sheet.

The MOPL will review the DAD and as necessary, provide comments to the Region. If revisions are needed before the DAD can be sent to FHWA, the MOPL will indicate which comments must be immediately resolved. The MOPL will actively help the Region resolve comments. If no revisions are needed or if any needed revisions will not impact FHWA review of the EA and signing of the EA title sheet, the MOPL will forward the DAD to the DCED requesting signature on the title sheet. The MOPL will then send the DAD to FHWA requesting their review and signature of the title sheet. *For local projects that are NEPA EAs, the EA title sheet should be signed by the RLO prior to sending the DAD to the MOPL (RLPL) for review. Once comments are addressed, the MOPL may request the RLO signature be updated prior to obtaining the RD’s signature and sending the request for FHWA EA review.

ALERT! The EA title sheet must be signed by FHWA prior to the publication of the Notice of Availability of Design Approval Document and holding a public hearing.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_EA%20Title%20Sheet.doc



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35

If applicable, once MOPL comments necessary to request FHWA CE Determination or EA Title Sheet signature are satisfactorily addressed, send revised DAD to the MOPL with a “Resolution of Comments” memo to MOPL.

Once MOPL comments have been satisfactorily addressed, MOPL will forward revised DAD to FHWA for CE Determination or for signing of EA Title Sheet. If FHWA has comments that must be addressed prior to granting the determination or signing the EA Title Sheet, the Region must revise DAD and send to MOPL. MOPL will forward the DAD to FHWA once comments are satisfactorily addressed.

36

If not already done, identify a preferred alternative and obtain the concurrence from the Regional Director (or designee).

In rare instances, a preferred alternative may not yet be identified. In such cases, it must be identified early in Design Phase IV.

Pha

se II

1

∗

For most Moderate Projects, a Design Phase II (distribution of the Design Report for Agency review) is not required.

ALERT!

∗ FHWA may decide that agency review is applicable for NEPA Class III projects on a case by case basis. Refer to the Phase II steps in the Complex Projects table in Section 4.3.5.3.


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For all NEPA Class III EA projects: If determined by Phase I, Step 24, prepare and publish a “Notice of Opportunity for a Public Hearing” in the local newspaper to determine the need. This notice must be published twice; the first notice must be published at least 21 days and the second at least 14 days before the set deadline identified in the notice for requesting a hearing.

Send a copy of the notice to all property owners with ROW impacts resulting from the project. Send the notice by certified mail with return receipt requested. If any requests are received, a hearing must be held. If no requests for a hearing are received and a hearing is not held the DAD Project Approval Sheet should include the appropriate certification. Refer to PDM Appendix 3 Example Letters and Notices for examples of this notice.

ALERT! Send copies of all notices and news releases to the Office of External Relations. Send copies to the FHWA and the MOPL as applicable.




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For NEPA Class II projects that have identified a potential need for a public hearing from Step 23 in Phase I: Prepare and publish a “Notice of Opportunity for a Public Hearing” in the local newspaper to clarify the need. This notice should be published twice; at least 21 days and again at least 14 days before the set deadline for requesting a hearing.

Send a copy of the notice to all property owners with ROW impacts resulting from the project. Send the notice by certified mail with return receipt requested. If any requests are received, a hearing must be held. Refer to PDM Appendix 3 Example Letters and Notices. If no requests for a hearing are received and a hearing is not held the DAD Project Approval Sheet should include the appropriate certification.

TIP Skip this step if the need for a public hearing has already been determined.




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For Class III projects: Prepare and publish a “Notice of Availability of Draft Design Approval Document” in the local newspaper.

When a hearing is to be held: Notice should be combined with public hearing notice. Refer to Phase III, Step 1 in this section. The DAD must be available at the hearing and at locations identified in the notice a minimum of 15 days in advance of the public hearing. The notice shall state that comments will be accepted 30 days from the availability of the EA unless FHWA determines a different period is warranted. See 23 CFR 771.119(e). When a hearing is not to be held, the notice shall state that written comments will be accepted a minimum of 30 days from the date of the publication of the notice. See 23 CFR 771.119(f).

ALERT! Send copies of the “Notice of Availability of Draft Design Approval Document” to affected local, state and federal agencies.

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=641081f5ea5a0fd03360bf8d89956312&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.11

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=641081f5ea5a0fd03360bf8d89956312&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.11


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Public hearing to be held for NEPA purposes:

Prepare and publish a combined “Notice of Availability of Draft Design Approval Document and Notice of Public Hearing” in the local newspaper. The notice must be published a minimum of 15 days prior to the hearing. Use of the minimum timeframe requires the advance approval of the DCED. Publication of the combined notice 21 to 35 days before the public hearing is desirable, particularly for projects with high levels of public interest.

Per 23 CFR 771.111(h)(2)(iv) and 23 CFR 771.119(e). Issue news release to accompany notice. Send copies of the notice to the NYSDOT Office of External Relations, FHWA and the MOPL. Send a copy of the notice to local, state and federal advisory agencies and individuals on the project mailing list. Send a copy of the notice to all property owners with ROW impacts resulting from the project. Send the notice by certified mail with return receipt requested.

https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=f514341f06402c4cb69f8e9395aabb16&mc=true&n=pt23.1.771&r=PART&ty=HTML

https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=f514341f06402c4cb69f8e9395aabb16&mc=true&n=pt23.1.771&r=PART&ty=HTML


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1a

If an EDPL (not NEPA or SEQRA) public hearing is to be held (See Note): Publish “Notice of EDPL Public Hearing” in 5 successive issues of the official daily newspaper (if one is designated) and in 5 issues of a daily newspaper of general circulation. If the only publication available is weekly, publish the notice twice in two successive issues. Send a copy of the Notice of EDPL Public Hearing to all property owners with ROW impacts that may result from the project.

NOTE: Holding an EDPL Hearing requires advance permission from the DCED. Contact DQAB – PDS. See PDM Appendix 3 for Notice shell. Notices must run at least 10 days, but no more than 30 days prior to the public hearing. Send copy of notice to affected property owners by certified mail with return receipt requested at least 10 but no more than 30 days from the hearing date. Refer to NYS Eminent Domain Procedure Law (EDPL) Article 2, as amended September 14, 2004 for requirements.

2 Hold public hearing as needed.

See PDM, Appendix 2 Section A2.2 for information on holding public hearings. For public hearing held for SEQR purposes: Comments must be accepted a minimum of 10 days after the public hearing. (Per PDM, Appendix 2 and 17 NYCRR §15.10(c)(vii)).

3 For public hearing held for NEPA purposes: Receive/obtain transcripts from stenographic services.

4 For EDPL Public Hearing: Make the record of the hearing available per EDPL §203.

The record of the hearing (transcript and written statements submitted at hearing) shall be made available for public examination upon request and be made available at the County Clerk’s office.








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5 For public hearing held for NEPA purposes: Designer signs Public Hearing Certification.

Signature line for certification is on the Project Approval Sheet

6

For EDPL Public Hearing: Within 90 days after the public hearing: • Prepare the

Determination and Findings from the hearing.

• Publish a Notice of Determination and Findings in accordance with EDPL §204.

The Determination and Findings must specify the items presented in EDPL § 204(B). See PDM Appendix 3 for Notice shell. The Notice must be published in accordance with EDPL § 204(A). Publish the notice in 2 successive issues of the official daily newspaper (if one is designated) and in 2 issues of a daily newspaper of general circulation.

7

For EDPL Public Hearing: Within 90 days after the public hearing send a copy of the Notice of the Determination and Findings to all affected property owners.

See PDM Appendix 3 for Notice shell. Refer to EDPL § 204(C) for content requirements.

8

For public hearing held for NEPA purposes: Once the hearing materials have been reviewed in the Region for completeness and accuracy, send electronic hearing material files (include transcript, written comments, photos, brochures, depictions of presentations, slide shows, manuals, pamphlets, etc.) files and the signed hearing certification to the MOPL for review.

MOPL will review materials and pending resolution of any comments will notify the Region when they can forward materials to FHWA. Per 23 USC 128 and 23 CFR 771.111(h)(2)(vi).

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_Appendix3_Ex_%20Letters%20Notices.doc

http://www.gpo.gov/fdsys/pkg/USCODE-2011-title23/html/USCODE-2011-title23-chap1-sec128.htm

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=6b5db40e5a1347e1611c094563e0585b&rgn=div8&view=text&node=23:1.0.1.8.43.0.1.6&idno=23



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Pha

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1

Update draft DAD to prepare it for Design Approval. If necessary, update preliminary plans.

Revise all draft language to be appropriate for the final DAD. For example, any statements regarding decisions to be made pending the development of a preferred alternative, or statements identifying approvals to be obtained prior to design approval need to be updated. Also, environmental information must be reviewed to ensure that any mitigation commitments for the preferred alternative are discussed.

2

Ascertain information and materials needed for applicable permits.

ALERT! If a public hearing was held, FHWA will need to be sent the updated DAD. This can be accomplished by:

• Regional DAD submission for FHWA independent environmental determination(s)

• MOPL submission to FHWA for DA, CE determination, FONSI approval

• Region includes request for MOPL to forward DAD to FHWA as part of the request for DCED DA.

• Region sends request to MOPL to send DAD to FHWA for other instances.

The updated report must contain public comments and how NYSDOT has/will address those comments.

ALERT! For NEPA Class III projects, comments from agencies stemming from a Phase II review may need to be resolved with the agencies.

ALERT! Permits should be in hand in time for incorporation into the PS&E.


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3

Initiate Taking Line Review Meeting.

Described in the HDM Chapter 5, Section 5.5.4 and the ROW Mapping Procedure Manual.

4

Revise Abstract Request Maps to ensure all properties affected by the preferred alternative are included. Provide Regional Right of Way with draft Final DAD.

Refer to HDM Chapter 5, Section 5.5.1. Regional ROW uses the information about the preferred alternative to request Acquisition Phase Authorization. The Regional ROW Unit will obtain Acquisition Phase Authorization once Design Approval is granted. If relocations are required, the Regional ROW Unit must prepare and submit an Acquisition Stage Relocation Plan to Office of ROW in the Main Office (see Section 1.3.6 of the ROW Mapping Procedure Manual).









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5 *

Prepare “Determination of No Significant Effect” (DONSE) in coordination with Regional Environmental Unit Manager.

Note: If significant impacts per 17 NYCRR Part 15, Section 15.11 are discovered, a DONSE cannot be issued and the project must be recycled as a SEQRA Non-Type II EIS (follow Complex Project Steps in Section 4.3.3) and a Determination that Project May Have a Significant Effect prepared and published per 17 NYCRR Section 15.10(b).

DONSE approval is by the RD.

*Forward a copy of the DONSE to the MOPL for projects with DCED or FHWA DA prior to filing.

Refer to DONSE examples. Significant Effect Determination example can be found in PDM Appendix 3 NEPA and SEQR Example Letters and Notices. For more information contact DQAB-PDS.








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6

File the DONSE per the requirements of 17 NYCRR Section 15.10 (a) (2).

The Region files the DONSE with: • Environmental Science

Bureau (ESB) in the Main Office

• Regional Office • DEC Commissioner (Main

Office) • DEC Regional Director

(Regional Office) • CEO of municipality • If applicable, other State

agencies funding or permitting the project.

7

Prepare draft FONSI and forward to MOPL along with the revised final DAD. Include a request for FONSI approval from FHWA and as applicable -DA and NSF Approval from FHWA or DCED.

Refer to Exhibit 4-5 for the DAD submittal procedures to the MOPL for FHWA.

See example FONSI at the PDM Examples webpage. MOPL will review the draft FONSI and if necessary send comments to Region. MOPL will forward acceptable draft FONSI and draft DAD to FHWA for approval.

TIP The publication of the DONSE in NYSDEC’s Environmental Notice Bulletin (ENB) is encouraged, but it is not required.

TIP Refer to Appendix D – Procedural Steps for Individual Section 4(f) Evaluations for requirements on information to be included in the FONSI when there is an Individual Section 4(f) Evaluation.




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Send the revised final DAD to the MOPL or RD as noted in Exhibit 4-2 and request Design Approval and non-standard feature approval as applicable.

Refer to Exhibits 4-4 or 4-5 for the DAD submittal procedures to the MOPL for DCED or FHWA DA.

For DCED and FHWA DA projects, the MOPL will give a final review of the DAD prior to forwarding to the appropriate approving authority. The approving authority will advise the designer or the MOPL, as applicable, of any necessary revisions. Once the DAD is acceptable, the approving authority grants Design Approval and Non-Standard Feature Approval. DA is a Primavera Milestone - update Primavera schedule.

ALERT! Note that the contract plans must be consistent with the approved design criteria and non-standard feature(s) created or retained.


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For NEPA Class III/SEQRA Non-Type II: Once FHWA has approved the FONSI, prepare a “Notice of Availability of FONSI/Notice of Design Approval.” This notice must be published in the local newspaper of record and a copy of the notice must be sent to affected units of federal, state and local government. The Notice shall also be made available at the Regional Office upon request.

Send the Notice to the same agencies that received the “Notice of Availability of Draft Design Approval Document” as discussed in Phase III, Step 1. See PDM Appendix 3 for state and federal agency distribution lists. Post the notice on a project website, if one has been created. Forward a copy of this notice to the Project Management Bureau. A Notice of Availability of FONSI is required per 23 CFR 771.121(b), See PDM Appendix 3 – Example Letters and Notices. See the purpose of the Notice of Design Approval in step below. For more information contact the MOPL.

10

For NEPA Class II/SEQRA Non-Type II or 100% State SEQRA Non-Type II projects: Publish a “Notice of Design Approval” in the local newspaper of record for the location.

Post the notice on a project website, if one has been created. Forward a copy of this notice to the Project Management Bureau. See PDM Appendix 3 – Example Letters and Notices. For more information contact the MOPL. The Notice of Design Approval is intended to serve as notice of the Department’s decision to proceed with the project for the purposes of Article 78 Proceedings under the NYS Civil Practice Law and Rules.

https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=93758b1b3b51d14b3633a70b32fae10f&mc=true&n=pt23.1.771&r=PART&ty=HTML#se23.1.771_1121

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=93758b1b3b51d14b3633a70b32fae10f&mc=true&n=pt23.1.771&r=PART&ty=HTML#se23.1.771_1121






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May 2019


Moderate Projects –Phases V-VI

Pha

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Pha

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1 Continue preparation of acquisition maps and send to Regional Right of Way. See ROW Mapping Procedure Manual.



3 Provide Regional Right of Way with periodic updates of final plan development.

This assists Regional Right of Way in providing the most current construction impact information to affected land owners.

4

Complete Bridge Site Data Package for new or replacement bridges. Submit to FHWA for review for projects that received Design Approval from FHWA.

Refer to Bridge Manual Section 3.



6


See HDM Chapter 21 for ADP Content. Refer to Bridge Manual Section 19.1.3 and Section 20.2.2. Primavera Milestone – at completion of ADP package, update Primavera schedule.



8

Assess the need for special specification approvals. Send proposed special specifications to the Regional Special Specification Coordinator for review.


9 Initiate acquisitions and relocations, or monitor acquisitions performed by municipalities.

Note: ROW acquisition funds must be obligated and phase must be authorized before acquisitions can begin.

10

Distribute and coordinate review of ADP by ROFU, RQCE, and Advisory review by MOPL and other MOFU, as appropriate. Send ADP set to FHWA for review. FHWA review is required for projects as determined by Exhibit 4-3.





https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/Chapt_21.pdf











May 2019

Moderate Projects –Phases V-VI P

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Pha

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11





13


14



15 Review the project’s GreenLITES Scorecard and update

as necessary.


Phas

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1


2 Distribute and coordinate review of the PS&E (combined package) by ROFUs and RQCE.


ALERT! ADPs need to be consistent with the DAD. If changes occur that are inconsistent with the DAD, contact the MOPL for assistance. After discussion with FHWA, FHWA will determine if a written reevaluation is necessary or if changes can be handled through consultation (see Section 2.1 of PDM Appendix 11). If a written reevaluation is needed, it must be prepared and approved as per Section 2.2 of PDM Appendix 11.

ALERT! If it is discovered after Design Approval that retention or creation of NSFs is required, complete a NSF

justification and request NSF approval using PDM Exhibit 4-2 Design-Related Approval Matrix and the information in HDM Chapter 2, Section 2.8.

ALERT! For steps to process PS&E refer to HDM Chapter 21








May 2019

Moderate Projects –Phases V-VI P

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Pha

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I



Refer to HDM Chapter 21, Section 21.9.2.5. Note that FHWA must grant PS&E (and amendment) approval for the project types identified on PDM Exhibit 4-3. The PS&E Memo must include a request for FHWA PS&E approval. Primavera Milestone – update Primavera schedule.

6


Refer to HDM Chapter 21, Section 21.13 for information on the Handoff Memo to Construction. All project information should be transferred, copies of all permits, CADD files, the DAD, GreenLITES Scorecard, etc. (e.g., the work-up sheets associated with the Engineer’s Estimate).

7







https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/PSE%20_Transmittal%20_Memo.rtf





May 2019

4.3.5 Complex Project Steps 4.3.5.1 NYSDOT and NEPA Scoping Activities Project Scoping Stage Activities are discussed comprehensively in PDM Chapter 3 – Project Scoping Procedure. The table of scoping steps below gives only high-level descriptions of the basic steps in the scoping process; it is not all inclusive. The intent is to give a brief overview and highlight the primary steps required by NYSDOT and NEPA in the NYSDOT Scoping Stage. Project planners or designers should review Chapter 3 for project scoping tasks and technical scoping activities. The activities identified in Exhibit 4-6 below occur in the NYSDOT Project Scoping Stage for Complex projects prior to the beginning of Preliminary Design Phase I. NEPA Scoping differs from the NYSDOT Scoping Stage which ends with the approval of the Project Scoping Report (PSR), although there is some overlap of required steps for the two processes. NEPA Scoping contains procedural requirements that are necessary for sound project development and preliminary engineering. These requirements must be met to advance a federal-aid project. The NEPA Scoping process is intended to achieve the objectives of 40 CFR Section 1501.7. It begins with the publication of the Notice of Intent (NOI) and closes with the issuance of the Draft Design Report/Draft EIS (DDR/DEIS). The activities required for NEPA scoping that fall within the NYSDOT Scoping Phase have been identified in Exhibit 4-6 below in the “NEPA” column. Refer to FHWA guidance (Draft FHWA/FTA Revised Environmental Review Process Guidance) that was developed to provide guidance to implement the NEPA requirements of 23 USC 139. Planning and Environment Linkages (PEL) is a FHWA program to encourage better use of information developed in planning to inform NEPA decisions and process. The program aims to create a more unified decision-making process, reduce duplication of efforts and produce more informed project-level decisions. Refer to the FHWA PEL webpage for more information.

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/pdmch3.pdf

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/pdmch3.pdf

http://www.fhwa.dot.gov/hep/section6002/1.htm#Toc148770583

https://www.environment.fhwa.dot.gov/env_initiatives/PEL.aspx


May 2019

Exhibit 4-6: Primary NEPA and NYSDOT Activities That Occur within NYSDOT Scoping Phase

Activity # NEPA NYSDOT Scoping Step

1 Distribution, review and approval of IPP 2

Data gathering: Includes survey, environmental, right of way, information collected and developed by the Regional Planning Group, etc.

3

Determine whether project is defined as a Major Project. Refer to the DQAB Major Projects IntraDOT web page for requirements specific to Major Projects.

4

Prepare Notice of Project Initiation Letter (NOPI)1 – Typically, this notice is made by letter from the RD or RDE to the FHWA Division Director. The requirements for this notification can also be met by including the necessary (NOPI) information in the Notice of Intent (NOI) at the time of this step – see responses to Questions 10 and 11 in the FHWA/FTA Draft Revised Environmental Review Process Guidance for the content necessary in the notice.

5 Develop draft Purpose and Need. 6

Develop project concepts from which the range of alternatives will be decided.

7 Begin preparation of Project Scoping Report (PSR) or DDR Chapter 1 to facilitate scope approval.

8

Develop Public Involvement Plan (PIP). Refer to PDM Appendix 2 for information on PIP preparation. The PIP serves as the plan and documentation of public outreach efforts and should address the opportunities for public involvement specific to a project

9

Develop Coordination Plan and Schedule per 23 USC 139(g) – see responses to Questions 38, 39 and 40 in FHWA’s FHWA/FTA Draft Revised Environmental Review Process Guidance. The Coordination Plan and Schedule must be prepared no later than 90 days after the NOI (23 USC 139(g)(1)(A)). All comment periods for agencies must be limited to no more than 30 days.

10

Identify and send requests to agencies to become Cooperating or Participating Agencies. Invitation to agencies must occur no later than 45 days after the NOI or initiation of EA. (23 USC 139(d)(2)).

11

Hold informational meetings as necessary (this step may occur at various times)

12

Prepare and publish a Notice of Intent (NOI)1. Once any MOPL comments are addressed, Region forwards NOI to FHWA for publication in the Federal Register.

13

Further develop Purpose and Need (P&N). This must be done with public involvement and in coordination with groups/agencies identified in the Coordination Plan per 23 USC 139(f)(1). For more information on P&N see FHWA Guidance on "Purpose and Need"


https://www.fhwa.dot.gov/map21/guidance/12mar_prop_env_proc_review_pc.cfm




http://environment.fhwa.dot.gov/guidebook/Gjoint.asp

http://environment.fhwa.dot.gov/guidebook/Gjoint.asp


May 2019

Activity # NEPA NYSDOT Scoping Step

14

Obtain input from FHWA and the Cooperating and Participating Agencies and public on the range of alternatives to be studied (23 USC 139(f)(4)(A)(i).

15 Obtain FHWA (and other Joint Lead Agencies as applicable)

concurrence with Purpose and Need and range of alternatives. 16

Closure of NYSDOT Scoping Phase with approval of PSR. Make PSR available to public through project website.

17 NEPA Scoping Phase activities continue through Design Phase I

to the issuance of the DDR/DEIS. Notes:

1 Per 23 USC139(e)(2), when enough information is available, a combined NOPI/NOI should be done at the time of step 4 above. Refer to PDM Appendix 3, Letters and Notices for notice formats.

4.3.5.2 e-NEPA e-NEPA has been developed as the US Department of Environmental Protection Agency’s (EPA) on-line tool for submitting EIS documents electronically for publication in the Federal Register. As of October 1, 2012, the EPA no longer accepts paper copies or compact discs for filing DEIS or FEIS documents in the Federal Register. All DEIS and FEIS submissions to EPA for publication in the Federal Register must be made by the project’s federal lead agency through e-NEPA. The applicable steps for filing the DEIS or FEIS in the following table address this. FHWA will be using e-NEPA as an electronic tool for complex projects, designed to increase collaboration between State Departments of Transportation (DOTs) and FHWA in the NEPA process. Refer to e-NEPA Filing Requirements for EIS Documents for details on submitting information to FHWA for DEIS and FEIS Notice of Availability publication in the Federal Register

TIP

The Notice of Project Initiation (NOPI) and draft Notice of Intent (NOI) should be combined whenever possible by including the information that is required to be in the NOPI in the draft NOI. The request to FHWA to publish the NOI may also serve as the NOPI. It is advisable to meet with FHWA to discuss the draft NOI prior submitting it for publication in the Federal Register.

ALERT!

Note that there are specified filing timeframes for e-NEPA. See FHWA’s e-NEPA Filing Requirements for EIS Documents for the timeframes

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/FHWA%20e-NEPA%20Requirements.doc




May 2019


Complex Projects – Phase I Ph

ase

Step

#

Do step when project is


Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type

II (EIS) Step to be Taken Other Actions and Required

Information

Pha

se I

1

Review the initial project environmental classifications made during project scoping to ensure they are still valid.

Refer to discussion of NEPA Classes and SEQRA Types in PDM Chapter 2. Are impacts (NEPA) and/or effects (SEQRA) anticipated to be significant? If yes an EIS is required. If no, project may be NEPA Class II and/or SEQRA Type II (EA). Contact your Regional Environmental Unit Manager or MOPL for clarification. When significance of impacts is uncertain or unknown, the project may be considered a NEPA Class III EA and/or Non-Type II (EA).

2 If not done during scoping, begin the GreenLITES Scorecard for the project.

Refer to the NYSDOT GreenLITES web page for information on GreenLITES and filling out the Scorecard. Coordinate with the Regional GreenLITES Contact.

TIP Refer to 40 CFR 1508.27 for information on significance under NEPA. Refer to 17 NYCRR 15.11 for SEQRA significance criteria.




http://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf



May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

3

Review and update the Public Involvement Plan (PIP). If Public Information Meeting is anticipated or required begin planning for meeting and determine when it is to be held.

See PDM Appendix 2, Section 2.0 for format of the PIP. Go to PDM Samples web page for an example of a PIP.

4

For 100% State-funded EIS: Prepare and mail out news release on NYSDOT’s intent to prepare an EIS. File the “Determination That A Project May Have A Significant Effect On The Environment.”

Refer to PDM Appendix 3 Example Letters and Notices for sample news releases. Notice is per 17 NYCRR 15.10 (b).

5

Determine Office of Structures involvement in the project.

Follow procedures found in Section 20 of the Bridge Manual.

TIP Within the PIP, determine whether it is advantageous (based on known community interest in the project) to simply hold a Phase III public hearing or to publish Notices of Opportunity for a Public Hearing first and hold the hearing if hearing requests are received. If no requests for a hearing are received, there is a schedule time savings. However if requests are received, the hearing process must be followed and hearing held. See the Complex Project Phase II and III steps and refer to Exhibit 4-14 in Appendix C. Although NEPA (23 CFR 771.111(h)(2)(iii)) and SEQRA (17 NYCRR 15.7(f)(2)) allow for the offer of an opportunity for a public hearing, EIS projects have historically required a public hearing. For this reason, the Initial P6 project schedules for complex projects should include time for a public hearing process (allow time for scheduling and preparing for the hearing, providing legal notices, press releases and follow up).

TIP The Office of Structures is the MOPL for the project types noted in Exhibit 4-1.










May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

6

Confirm that the proper design criteria are developed for the critical design elements. Verify Design Criteria with the RQCE. Consult MOPL as needed for confirmation or assistance.

Refer to HDM Chapters 2, 4, 7 and 18, as appropriate, to determine design criteria.

7

Determine potential effects (positive and negative) on environmental resources identified during scoping that may result from the reasonable alternatives.

All reasonable alternatives need to be developed to an equal level of detail to allow for adequate analysis/comparison. Refer to 40 CFR 1502.14. Contact the Regional Environmental Unit Manager for more information.

ALERT! Non-standard features (NSFs) to be retained or created must be justified in the DAD as per HDM Section 2.8. NSF approval is given by the approving authority identified per Exhibit 4-2.

ALERT! Coordination with State and federal agencies may be necessary throughout the design phases to address environmental requirements.









May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

8

Identify if there are other processes that must be followed, such as Section 106, Section 4(f), etc. Contact your DQAB or Office of Environment Liaison for guidance.

The steps of these processes (including alternatives analyses) must be coordinated with the project development steps presented here. Refer to the Environmental Manual for procedural and specific information on these environmental topics. For additional information on Section 4(f) see FHWA’s Section 4(f) Program Overview. For information on cultural resources/Section 106 see: NYSDOT Cultural Resource IntraDOT page. Section 106, Section 4(f) or other individual approvals may be required prior to issuance of the DEIS. Based on information discovered in the previous steps, identify if these procedures must be followed. When design refinements occur as project design progresses, reexamine the anticipated procedural requirements based on the changes.

9

Begin preparation of the DDR/DEIS by incorporating or expanding the PSR. Begin developing preliminary plans based on the conceptual plans.

Refer to the DAD shells on the PDM website for report format. Refer to PDM Appendix 7, Section 6.0 for information to include as technical appendices in a DDR/DEIS. Refer to HDM Chapter 21 for plan format and content. Include a DEIS Title Sheet in the DDR/DEIS. See Exhibit 7-7 and 7-8 in PDM Appendix 7 for the format of NEPA and SEQRA DEIS Title Sheets.

TIP The Project Approval Sheet (PAS) contained within the DDR/FDR shell should be used for all federal EIS projects. The PAS contains the public hearing certification required by 23 USC 128(a).












May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

10

Determine or confirm the ROW needs of the project. If ROW acquisitions or easements are needed, follow steps for “Project Requiring ROW” in this table. Consult Regional Right-of-Way Office to determine de minimis status and need to hold a public hearing.

This determination is made by evaluating top and toe of slope needs, equipment access needs, mitigation requirements, area for future maintenance, etc. Refer to HDM Section 5.5 for guidance

11

Determine the need for a Value Engineering (VE) Study. Refer to PDM Appendix 9, Section 3.1 for VE requirements.

As mandated by the National Highway Systems Act of 1995. Consult with the DQAB Design Support Section for guidance.

13

If not already done, eliminate alternatives from consideration that do not meet the project objectives and/or other screening criteria developed for the project. Continue development of reasonable alternatives.

Evaluate alternatives based on Purpose and Need and the Project Objectives prior to eliminating. NEPA requires that the reasonable range of alternatives be considered consistently. Ensure reasons for dismissal are adequately discussed in DAD (40 CFR 1502.14(a)). Continue studies to analyze social, economic and environmental impacts for the reasonable alternatives.

14

Identify permits likely to be needed

Begin development of information (studies, reports, plans, etc.) necessary for permit applications.

ALERT! If additional ROW is needed, review the environmental classifications to ensure that they are still valid.

TIP As project progresses, consultation with permitting agencies is recommended to ensure modifications to project design do not jeopardize obtaining permits.




May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

15

Hold public information meeting as necessary. Refer to PIP.

16

For projects with bridges over Interstate routes that retain or create non-standard vertical clearances, coordinate with the US Army Surface Deployment and Distribution Command (SDDC) and FHWA.


17

Unless already done in Scoping, prepare an Abstract Request Map showing properties common to all reasonable alternatives and forward to Regional ROW Mapping Unit.


18

Prepare table of “Anticipated ROW Acquisitions” for each reasonable alternative.

Refer to HDM Section 5.5.2 for the required table contents.

19

If relocations are required, prepare a Conceptual Stage Relocation Plan (see Office of Right of Way's latest Directive) for all reasonable alternatives being progressed. Incorporate the Conceptual Stage Relocation Plan into the DDR/DEIS.

Relocation plans are required for the acquisition of an occupied dwelling or principal business structures. However, relocation plans may also be required if other occupants of acquired ROW are eligible for relocation benefits (i.e., permittees, lessees of the existing ROW, etc.).

20

Circulate DDR/DEIS within the Region to RQCE and all appropriate ROFUs.

21

Request review from Regional Construction and others as appropriate.

See EI 99-013 Constructability Review.

22

Revise report as needed.










May 2019


ase

Step

#



Do S

tep

when

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ject

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ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

23

Determine whether it is practical to pursue a joint FEIS and ROD.

MAP-21, Section 1319(b) directs NEPA lead agencies, to the maximum extent practicable, to expeditiously develop a single document that consists of the FEIS and ROD, unless certain conditions exist. Refer to FHWA’s Final Guidance on MAP-21 Section 1319 Accelerated Decisionmaking in Environmental Reviews for information. Contact the MOPL for more information. This effort must be coordinated with FHWA through the MOPL. The DEIS cover page must contain a statement indicating that a combined FEIS/ROD will be prepared pursuant to Section 1319 unless conditions are present that preclude the use of a combined FEIS/ROD.

24

Contact the MOPL to obtain the Title Sheet DEIS Number. MOPL will send the DEIS number to Region.

The Title Sheet Number is based on Section V.A. of FHWA Technical Advisory T6640.8A. The Title Sheet is the Cover Sheet mentioned in T6640.8A. DQAB-PDS maintains the Federal EIS number list.

https://www.transportation.gov/sites/dot.gov/files/docs/MAP-21_1319_Final_Guidance.pdf




http://environment.fhwa.dot.gov/projdev/impTA6640.asp#cs

http://environment.fhwa.dot.gov/projdev/impTA6640.asp#cs


May 2019


ase

Step

#



Do S

tep

when

Pro

ject

Requ

ires R

OW Design Steps

NEPA Class I (EIS)

SEQR Non Type


Information

Pha

se I

25

After Regional review, distribute preliminary DDR/DEIS and all appendices to MOPL (Office of Environment) and other MOFUs for review as necessary (also ensure that it is sent to DQAB and Legal Affairs). Alert the MOPL to the MOFUs that are reviewing. MOPL and MOFUs will review the DDR/DEIS and provide comments to Region. Once comments have been adequately addressed, the Region sends a request to the MOPL that FHWA signature of the DEIS Title Sheet be sought along with two copies of the DEIS. MOPL will forward a copy to FHWA with a request for FHWA DEIS Title Sheet signature.

See PDM Appendix 12 and Bridge Manual Section 20 for information on other MOFU review roles and responsibilities. FHWA will review and comment on the preliminary [administrative] DDR/DEIS. Once issues are resolved, circulate the administrative DDR/DEIS to Cooperating Agencies with jurisdiction.

26

Once FHWA comments on the DDR/DEIS have been addressed, provide an opportunity for review of DDR/DEIS by Cooperating Agencies per PIP and Coordination Plan.

Coordinate with and resolve issues with cooperating agencies as necessary. Determine if any modifications to the preliminary project design have the potential to affect granting of permits.

27

Send one copy of the DDR/DEIS to the MOPL requesting review when applicable (per PDM Exhibit 4-2). Send the DDR/DEIS to other MOFU for review as necessary (cc: the MOPL).

See PDM Appendix 12.

ALERT! Do not send the DEIS to FHWA. The MOPL will post documents in the ProjectWise FHWA folder once the MOPL/MOFU review is complete.






May 2019

Complex Projects – Phases II-III Ph

ase

Step

# Do step when

project is NEPA/SEQRA

class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

1

If determined by the PIP, publish two Notices of Opportunity for a Public Hearing in the local newspaper (see Phase I, Step 3 for more information).

NEPA and SEQR EIS: When there has been little interest or controversy demonstrated with a project, publish two Notices to determine the need. The first notice must be published at least 21 days and the second at least 14 days before the set deadline identified in the notice for requesting a hearing. See 23 CFR 771.111(h)(2)(iii) and 17 NYCRR 15.6(d)(2). For NEPA EIS projects, send copies of the “Notice of Opportunity for a Public Hearing” to local, state and federal advisory agencies and individuals on the project mailing list. If any requests are received, a hearing must be held. If no requests for a hearing are received and a hearing is not held prepare a Public Hearing Opportunity Certification for the project file. Refer to PDM Appendix 3 Example Letters and Notices for the notice and certification. Eminent Domain Procedure Law (EDPL): A public hearing is typically required when ROW takings are more than de minimis. Per EDPL Section 206(C) a public hearing held for either NEPA or SEQRA (based on funding) purposes maybe used. Hearings held for NEPA or SEQRA comply with EDPL provided the requirements of EDPL Section 204(B) are met. Holding an EDPL (instead of a NEPA or SEQRA) public hearing requires the advance permission of the DCED.

TIP If a public hearing is to be held and a Section 106 Consulting Parties Meeting is needed, the hearing and meeting should be combined if possible.



http://public.leginfo.state.ny.us/LAWSSEAF.cgi?QUERYTYPE=LAWS+&QUERYDATA=@LLEDP+&LIST=LAW+&BROWSER=EXPLORER+&TOKEN=14071317+&TARGET=VIEW


May 2019


ase

Step

# Do step when


class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

2

Transmit the DDR/DEIS to local, state and federal agencies.

See 23 CFR 771.123(g). Refer to PDM Appendix 3 for state and federal distribution list, number of copies needed for agencies and examples of the distribution letter. The distribution letter to FHWA should add a request to submit the DDR/DEIS to the EPA in eNEPA for publication of the Federal Register Notice of Availability of DEIS. Per 40 CFR 1506.9, EPA will publish a notice in the Federal Register that the DEIS is available for review. See also 23 CFR 771.123(i). When a hearing is to be held for any NEPA Class I EIS project, the DDR/DEIS should be distributed so that agencies receive it at least 15 days prior to the hearing. This will allow agencies to review within a minimum 45-day comment period. See 23 CFR 771.123(h) 45-day minimum comment period may need to be extended for the following: • FHWA determines that the comment

period should be extended • Mailing time has reduced the comment

period after the public hearing to less than 30 days (extend up to 6 days).

DEIS comment period is not to exceed 60 days.

2a

100% State-funded EIS: Transmit the DDR/DEIS to local, state and federal agencies.

Transmit at least 14 days prior to a public hearing. Allow a minimum of 30 days for comment per 17 NYCRR 15.10.

ALERT! The DEIS (and FEIS) transmittal to the EPA for Federal Register publication must be done by FHWA through eNEPA. An electronic version of the DEIS must be sent to FHWA for the transmittal to e-NEPA. Refer to e-NEPA Filing Requirements for EIS Documents.

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=49d837a33d7b115cb65285656448d286&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.13

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/dist-state.pdf

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_Appendix3_dist_federal.pdf

http://www.epa.gov/compliance/nepa/submiteis/index.html

http://ceq.hss.doe.gov/nepa/regs/ceq/1506.htm#1506.9

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9f8262b8321f666fce22334d8cb2f17d&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.13

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9f8262b8321f666fce22334d8cb2f17d&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.13


http://www.epa.gov/compliance/nepa/submiteis/index.html#filing



May 2019


ase

Step

# Do step when


class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

3

Publish a “Notice of Availability of a DEIS” in the local newspaper. When a public hearing is to be held for NEPA purposes, the notice should be combined with the public hearing notice (Notice of Public Hearing and Notice of Availability of a DEIS). See Phase III, Step 1. When a public hearing is not to be held, state in the notice that comments are to be submitted in writing within 30 days of the date of the publication of the notice.

The Notice of Availability of a DEIS must advise how DDR/DEIS can be accessed, state where information concerning the project can be obtained and solicit comments on the project. The DDR/DEIS must be made available at the Regional office and other locations identified in the notice for public inspection and comment. For sample notices, refer to PDM Appendix 3 – Example Letters and Notices.

3a

100% State-funded EIS: Prepare and publish a “Notice of Completion of DEIS.” When a public hearing is to be held, publish at least 14 days prior to the date set for public hearing. This notice should be combined with the hearing notice in Step 1a of Phase III if a hearing is to be held.

PDM Appendix 3 – Example letters and Notices contains a sample notice. The Notice must indicate that comments will either be accepted a minimum of 30 days from publication of notice or 10 days after the hearing (whichever is later). Refer to 17 NYCRR 15.10(c) for notice filing requirements. Send a copy of the notice to all property owners with ROW impacts resulting from the project. Send notice out by certified mail with return receipt requested.






May 2019


ase

Step

# Do step when


class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

4

Whenever a “Notice of Availability of DEIS” or” Notice of Completion of DEIS” is prepared, send a copy of the notice to all property owners with ROW impacts that may result from the project.

If a public hearing is scheduled, send these copies by certified mail with return receipt requested at least 10 but no more than 30 days from the hearing date. Per EDPL Article 2, Section 206(C) as amended September 14, 2004.

5

Send copies of all notices and news releases to the Office of External Relations, FHWA and the MOPL.

Pha

se II

I

1

When a public hearing is to be held for NEPA purposes: Prepare and publish a combined “Notice of Availability of DEIS and Notice of Public Hearing” in newspaper. The notice must be published a minimum of 15 days prior to the hearing. Use of the minimum timeframe requires the advance approval of the DCED. Publication of the notice 21 to 35 days before the public hearing is desirable, particularly for projects with high levels of public interest.

Issue news release to accompany notice. Notices are required per 23 CFR 771.111(h)(2)(iv) and 23 CFR 771.123(h). The notice shall mention that the DDR/DEIS will be available at the hearing and X days (minimum of 15 days) in advance of the hearing for public inspection. See PDM Appendix 3 – Example Letters and Notices for sample notice. Send copies of the notice to the Office of External Relations, FHWA and the MOPL. Send a copy of the notice to local, state and federal advisory agencies and individuals on the project mailing list. Send a copy of the notice to all property owners with ROW impacts resulting from the project.

It is recommended to use other means of notifying the public such as publication of notice in community newspapers, use of project website, email blasts, flyers, etc. Refer to the PIP for recommendations.


https://www.ecfr.gov/cgi-bin/text-idx?SID=f514341f06402c4cb69f8e9395aabb16&mc=true&node=se23.1.771_1111&rgn=div8

https://www.ecfr.gov/cgi-bin/text-idx?SID=f514341f06402c4cb69f8e9395aabb16&mc=true&node=se23.1.771_1111&rgn=div8

https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=90dc9e4034eade9acdaf690275d223bd&mc=true&n=pt23.1.771&r=PART&ty=HTML#se23.1.771_1123




May 2019


ase

Step

# Do step when


class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

I

1a

100% State-funded EIS holding public hearing (hearing for SEQR purposes): Prepare and publish a combined “Notice of Completion of DEIS (or DAD) and Notice of Public Hearing” in newspaper. The notice must be published a minimum of 14 days in advance of the hearing date. Publication of the notice 21 to 35 days before the public hearing is desirable, particularly for projects with high levels of public interest.

Per 17 NYCRR 15.10(c)(1)(vii) a total minimum comment period of 30 days from publication of the notice is required however, comments must be accepted a minimum of 10 days after the hearing.

Issue news release to accompany notice.

For notice publishing requirements, refer to 17 NYCRR 15.10(d)(4). Note that the notice must also be filed as described in 17 NYCRR 15.10(a). See PDM Appendix 3- Example Letters and Notices for sample notice. Send copies of the notice to the Office of External Relations and the MOPL. Send a copy of the notice to local, state and federal advisory agencies and individuals on the project mailing list. Send a copy of the notice to all property owners with ROW impacts resulting from the project.

It is recommended to use other means of notifying the public such as publication of notice in community newspapers, use of project website, email blasts, flyers, etc. Refer to the PIP for recommendations.

2 Hold public hearing as needed.

See PDM, Appendix 2 Section A2.2 for information on public hearings.

For public hearing held for SEQR purposes: Comments must be accepted a minimum of 10 days after the public hearing. (Per PDM, Appendix 2 and 17 NYCRR Section 15.10(c)(vii)).

3 Receive/obtain transcripts from stenographic services.









May 2019


ase

Step

# Do step when


class/type:

Do S

tep

when

Pro

ject R

equi

res

ROW

Design Steps

NEPA Class I (EIS)

SEQR Non

Type II (EIS)


Pha

se II

I

4 Designer prepares/signs Public Hearing Certification.

Certification is to document: 1) that a public hearing was held or 2) that a public hearing was not needed. The Project Approval Sheet in the DDR DAD shell includes a signature line for the certification. If the FDR/FEIS will not have a Project Approval Sheet, use either the Hearing Opportunity Certification or the Hearing Certification samples found in PDM Appendix 3 Letters and Notices. The certifications must be transmitted to MOPL for forwarding to FHWA in step 6 below.

5

Refer to the PIP and Coordination Plan to review steps for coordination with Cooperating and Participating Agencies.

Coordinate with and resolve substantive comments on DDR/DEIS with agencies as necessary.

6

Once the hearing materials have been reviewed in the Region for completeness and accuracy, send electronic hearing material files (include transcript, written comments, photos, brochures, depictions of presentations, slide shows, manuals, pamphlets, etc.) and the hearing certification to the MOPL for review if it is not included on the Project Approval Sheet.

MOPL will review materials and pending resolution of any comments will notify the Region when they can forward materials to FHWA. Per 23 USC 128 and 23 CFR 771.111(h)(2)(vi).



https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_Appendix3_Ex_%20Letters%20Notices.doc

http://www.gpo.gov/fdsys/pkg/USCODE-2011-title23/html/USCODE-2011-title23-chap1-sec128.htm




May 2019

Complex Projects – Phase IV Ph

ase

Step

#


NEPA/ SEQRA class/type:

Do S

tep

for F

HWA

Majo

r Pro

ject

Do S

tep

when

Pr

ojec

t Req

uire

s RO

W

Design Steps

NEPA Class I (EIS)

SEQR Non Type II (EIS)


Pha

se IV

1

Determine if a reevaluation is needed per 23 CFR 771.129.

If 3 or more years have passed since circulation of DDR/DEIS for Agency Review. Contact MOPL for guidance. Refer to PDM Appendix 11, Section 1.3.

2

Address or resolve Design Phase II and III comments per 23 CFR 771.125(a).

Refer to PDM Appendix 12.

3

Update DDR/DEIS and convert it into a FDR/FEIS. Convert title sheet EIS number and revise all language appropriate for the DDR/DEIS, but not final. Update plans as necessary to support selection of the build alternative.

Refer to Appendix 7 of this manual. If not done already, the FDR/FEIS shall identify the preferred alternative. Obtain Regional Director’s or designee’s concurrence with the preferred alternative.

4 Begin preparation of the draft Project Management Plan (PMP)

Refer to the DQAB Major Projects web page for guidance.

5

Send copies of FDR/FEIS with preliminary plans to RQCE for review.

Resolve comments received per Regional Quality Control Plan.

6

Send copies of the preliminary FDR/FEIS for review by MOPL, Legal Affairs, Office of Structures, Office of Environment, etc. Transmit for final review a copy of the Preliminary Structure Package for new or replacement bridges.

MOPL will review FDR/FEIS and once comments have been addressed will forward to FHWA as needed. Refer to PDM Appendix 12 for information on comment resolution. Preliminary plans shall be submitted to Office of Structures if required by Bridge Manual Section 20.

7

Initiate Taking Line Review Meeting.

Described in the HDM Chapter 5, Section 5.5.4 and the ROW Mapping Procedure Manual.

ALERT! FHWA may need to obtain prior concurrence from FHWA Headquarters prior to signing the FEIS Title Sheet. Refer to 23 CFR 771.125(C) for guidance on when this prior concurrence is needed.












http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=45ba9c537a02f50f17ff86b63fa99c3a&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.14

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=45ba9c537a02f50f17ff86b63fa99c3a&n=23y1.0.1.8.43&r=PART&ty=HTML#23:1.0.1.8.43.0.1.14


May 2019


ase

Step

#



Do S

tep

for F

HWA

Majo

r Pro

ject

Do S

tep

when

Pr

ojec

t Req

uire

s RO

W

Design Steps

NEPA Class I (EIS)



Pha

se IV

8

Revise abstract request maps to ensure all properties affected by the preferred alternative are included. Provide Regional ROW with a preliminary FDR/FEIS.

Refer to HDM Ch 5,.Section 5.5.1. Regional ROW uses the information about the preferred alternative to request Acquisition Phase Authorization. The Regional ROW Unit will obtain Acquisition Phase Authorization once Design Approval is granted. If relocations are required, the Regional ROW Unit must prepare and submit an Acquisition Stage Relocation Plan to Office of ROW in Main Office (see Section 1.3.6 of the ROW Mapping Procedure Manual).

9 Submit the draft Project Management Plan (PMP) to FHWA

The draft PMP should be submitted to FHWA for their review a minimum of 60 days prior to sending the FEIS to FHWA.

10

Prepare, assemble and submit the Site Data Package for new and replacement bridges.

Refer to Bridge Manual Section 3.3, Appendices 3A and 3B.

11

Develop the Structure Study Package and Structure Justification Report for bridge widening and superstructure replacements. Submit for technical review.

Refer to Bridge Manual Section 19 and Section 20.

12

Refer to the PIP and Coordination Plan to review steps for coordination with Cooperating Agencies.

Coordinate with and resolve issues with agencies as necessary.

13

Resolve comments. Finalize FDR/FEIS.

See PDM Appendix 12 for information on comment resolution.






https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/appendix_3A_US_2010.doc

https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/appendix_3B_US_2010.doc





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If it was determined that a single FEIS and ROD document would be utlized, prepare the ROD document (NEPA/SEQRA Joint ROD) to be attached to the FEIS.

Forward the FEIS/ROD to the MOPL for review and approval from FHWA. The MOPL will review the draft ROD and provide comments. Once the draft is sufficient, the MOPL will forward to FHWA for their review. A legal sufficiency review by FHWA of the combined FEIS/ROD is required. See the Alert below.

15

Prepare first Cost Estimate Review

The first review should be completed at least 90 days prior to approval of the NEPA decision . Refer to the DQAB Major Projects web page for guidance.

16

Send e-mail to DQAB Project Development Section requesting an FEIS number for the FEIS Title Sheet.

Include the PIN number in the e-mail and a brief project description. Refer to PDM Appendix 12 Section 2.6.2 for the Department’s policy on e-mailing project information.

https://www.dot.ny.gov/divisions/engineering/environmental-analysis/manuals-and-guidance/epm/repository/Joint%20ROD%20Template%20Final%204_24_12.doc







May 2019


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Request MOPL obtain FEIS legal sufficiency review from FHWA and once completed, FEIS Title Sheet Signature from the Deputy Chief Engineer and FHWA.

Send 3 paper copies of FDR/FEIS to MOPL to accommodate legal sufficiency review. If comments resulting from MOPL or FHWA Division review must be addressed, the Region may send the revised FEIS to FHWA HQ once notified by the MOPL that MOPL/FHWA Division comments are satisfactorily addressed. The Region shall then request to FHWA Division that they contact FHWA HQ with any concerns. Consult with the FHWA Area Engineer to determine number of copies needed for projects that require additional FHWA Washington, DC office review per 23 CFR 771.125(c).

18

Insert signed FEIS Title Sheet into report.

19

Send FDR/FEIS to any individuals, organizations, State and Federal agencies who made substantive comments on the DR/DEIS or requested copies of the FDR/FEIS with appropriate technical appendices. Also, send the FDR/FEIS to state and federal agencies from which permits must be obtained.

This must be done prior to filing the FDR/FEIS with the EPA in step below.

ALERT! Per 23 CFR 771.125(b) FHWA HQ must perform a legal sufficiency review prior to Administration approval for all FEISs. Allow at least 30 days for legal sufficiency reviews.

https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=bb77d4a06baec13c2bbe6eb8437961fa&n=23y1.0.1.8.43&r=PART&ty=HTML%20-%2023:1.0.1.8.43.0.1.14#se23.1.771_1125


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Send appropriate number of copies of the FDR/FEIS to FHWA. The distribution letter to FHWA should include a request that FHWA submit an eNEPA application to EPA for publishing a “Notice of Availability of the FEIS” in the Federal Register.

Refer to e-NEPA Filing Requirements for EIS Documents. Refer to PDM Appendix 3 for State and Federal FEIS distribution lists.

21

Prepare and publish a “Notice of Availability of the FEIS” in the local newspaper and issue news release.

See PDM Appendix 3-Example Letters and Notices for notice. Send copies of notices and news release to the Office of External Relations, FHWA and the MOPL. Send FHWA and MOPL an e-mail notifying them of when the FDR/FEIS was made available.

22

Prepare preliminary structure plan for bridge rehabilitations. Submit for technical review.

Refer to Bridge Manual Section 19.1 under “Prepare a Preliminary Structure Plan.”

23

100% State-funded projects: Prepare a “Notice of Completion of FEIS.”

File Notice and FEIS in accordance with 17 NYCRR 15.10(e). Note: A minimum comment period of 10 days after filing of the Notice is required for all SEQRA FEIS’s per 17 NYCRR 15.7(i). See PDM Appendix 3-Example Letters and Notices for example format of the Notice.

ALERT! The FEIS transmittal to the EPA for Federal Register Notice of Availability publication must be done by FHWA through eNEPA. An electronic version of the DEIS must be sent to FHWA for the transmittal to e-NEPA.



https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/dist-state.pdf

https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_Appendix3_dist_federal.pdf









http://www.epa.gov/compliance/nepa/submiteis/index.html#filing


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100% State- funded projects: Prepare draft SEQRA ROD and send to MOPL for review. Include a request for DA (and NSF approval as necessary) and send 1 copy of the FDR/FEIS to the MOPL.

See PDM Appendix 3-Example Letters and Notices for example format of SEQRA ROD. DA is Primavera Milestone – update Primavera schedule.

25

When a Joint FEIS and ROD (see Step 14) is not to be prepared: After a minimum of 30 days have passed from the date of publication of the Notice of Availability of FEIS in the Federal Register, prepare the draft NEPA and SEQRA Joint ROD and send to MOPL for review.

See the Joint NEPA and SEQRA ROD Form. MOPL will review draft ROD and provide comments. Once the draft is sufficient, the MOPL will forward to FHWA for their review. The Joint ROD should address comments received on the FDR/FEIS.

26

Once FHWA comments on the Joint FEIS/ROD (see Step 14) or the NEPA/SEQRA ROD have been addressed, send a request to the MOPL to obtain FHWA’s approval of the Joint FEIS/ROD or Joint ROD, and to obtain DA and NSF approval if necessary from the DCED or FHWA. Note that the contract plans must be consistent with the approved design criteria and any non-standard feature(s) created or retained.

For NEPA/SEQR ROD only: Once FHWA comments have been addressed, FHWA will finalize the ROD (after a minimum of 30 days from the publication of the FEIS notice in the Federal Register). The ROD must also be at least 90 days after the Federal Register publication of the Notice of Availability of DEIS (Phase II, Step 3). DA is Primavera Milestone – update Primavera schedule.

27

File the Joint NEPA/SEQRA ROD or the SEQRA-only ROD (100% State-funded projects) in accordance with 17 NYCRR 15.9(c).

Requirements of 17 NYCRR Section 15.9(c): • Maintain the ROD in

Department files • Send the ROD to SEQRA

involved agencies • When appropriate, send ROD to

applicant








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Publish “Notice of Availability of Record of Decision and Notice of Design Approval” in the local newspaper of record for the location. Also, if the project has a website, post this notice there.

Forward a copy of the notice to the Project Management Bureau. See PDM Appendix 3 – Example Letters and Notices. For more information contact the MOPL. The Notice of Design Approval is intended to serve as notice of the Department’s decision to proceed with the project for the purposes of Article 78 Proceedings under the NYS Civil Practice Law and Rules.

29

100% State-funded projects: Publish a “Notice of Design Approval” in the local newspaper of record for the location. Also, if the project has a website, post this notice there.

Post the notice on the project website, if one has been created. Forward a copy of the notice to the Project Management Bureau. See PDM Appendix 3 – Example Letters and Notices. For more information contact the MOPL. The Notice of Design Approval is intended to serve as notice of the Department’s decision to proceed with the project for the purposes of Article 78 Proceedings under the NYS Civil Practice Law and Rules.

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May 2019


Complex Projects –Phases V-VI Ph

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1 For projects classified as Major Projects, submit the final PMP to FHWA.

The final PMP must be submitted to FHWA no later than 90 days after the signing of the NEPA ROD. The final PMP should be updated 90 days prior to the start of a new project phase or if a significant change has occurred. Refer to the DQAB Major Projects web page for guidance.

2

For projects classified as Sub-Major and Major Projects, begin preparation of the Initial Financial Plan (IFP).

Use information developed in the first Cost Estimate Review from Phase IV. Refer to the DQAB Major Projects web page for guidance.

3 Continue preparation of acquisition maps and send to Regional ROW. See ROW Mapping Procedure Manual.



5 Provide Regional ROW with periodic updates of final plan development.

This assists Regional ROW in providing the most current construction impact information to affected land owners.

6

Complete Bridge Site Data Package for new or replacement bridges. Submit Bridge Site Data Package to FHWA for review for projects that received Design Approval from FHWA.

Refer to Bridge Manual Section 3.3, Appendices 3A and 3B.



8


See HDM Chapter 21 for ADP Content. For bridge projects, refer to Bridge Manual Section 19.1.3 and Section 20.2.2. Primavera Milestone –at completion of ADP package, update Primavera schedule.







https://www.dot.ny.gov/divisions/engineering/structures/repository/manuals/brman-usc/appendix_3B_US_2010.doc





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10 Assess the need for special specification approvals.

Send proposed special specifications to the Regional Special Specification Coordinator for review.


11 Initiate acquisitions and relocations, or monitor

acquisitions performed by municipalities. Note: ROW Acquisition funds must be obligated and phase must be authorized before acquisitions can begin.

12

Distribute and coordinate review of ADP by ROFU, RQCE, and Advisory review by MOPL and other MOFU, as appropriate. Send ADP set to FHWA for review. FHWA review is required for projects as determined by PDM Exhibit 4-3


14





16


17



ALERT! ADPs need to be consistent with the DAD. If changes occur that are inconsistent with the DAD, contact the MOPL for assistance. After discussion with FHWA, FHWA will determine if a written reevaluation is necessary or if changes can be handled through consultation (see Section 2.1 of PDM Appendix 11). If a written reevaluation is needed, it must be prepared and approved per Section 2.2 of PDM Appendix 11.

ALERT! If it is discovered after Design Approval that retention or creation of NSFs is required, complete a NSF justification and request NSF approval using PDM Exhibit 4-2 Design-Related Approval Matrix and the information in HDM Chapter 2, Section 2.8.










May 2019


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18 For projects classified as a Major Project, perform

second Cost Estimate Review (CER) The preparation of the CER helps support approval of the IFP in the next step.

19 Review the project’s GreenLITES Scorecard and

update as necessary.


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1 For projects classified as Sub-Major and Major Projects: Submit Initial Financial Plan (IFP) to FHWA.

Refer to the DQAB Major Projects web page for guidance. The IFP must be approved by FHWA prior to their authorization of federal aid for construction.

2


3 Distribute and coordinate review of the PS&E (combined package) by ROFU and RQCE.




Refer to HDM Chapter 21, Section 21.9.2.5. Note that FHWA must grant PS&E (and amendment) approval for the project types identified on PDM Exhibit 4-3. The PS&E Memo must include a request for FHWA PS&E approval. Primavera Milestone – update Primavera schedule.

ALERT! For all steps to process PS&E refer to HDM Chapter 21



https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/hdm-repository/PSE%20_Transmittal%20_Memo.rtf




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Refer to HDM Chapter 21, Section 21.13 for information on the Handoff Memo to Construction. All project information should be transferred; copies of all permits, CADD files, the Design Approval Document, GreenLITES Scorecard, etc. (e.g., the work-up sheets associated with the Engineer’s Estimate).

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May 2019

4.4 CONCURRENT DESIGN PROGRESSION To reduce the time needed to progress a project through the project development process, the Regional Director may choose to concurrently progress Design Phases I-IV and Design Phases V and VI after consultation with the MOPL and FHWA. Examples of situations where this contingency could be approved are:

• Projects, such as 3R projects, with only one reasonable alternative1,2, where minimal impacts concerning economic, social or environmental issues are anticipated.

• Projects with more than one reasonable alternative where all alternatives have common sections with similar analysis required for each.

• Projects with more than one reasonable alternative where there is little risk of an alternative other than the preferred alternative being selected for Design Approval.

• Where making the environmental determination requires final design level analysis.3 If it has been decided to advance select sections of the final design during the preliminary design phase the designer is advised:

• The Department must consider a range of alternatives and then fully evaluate all identified reasonable alternatives.

• The Department may not commit to an alternative until the environmental determinations have been made and design approval has been granted.

• A project may not be advertised for letting until the environmental determinations are made and Design Approval is obtained. If a project does not have Design Approval, the PS&E transmittal memo (prepared in accordance with HDM Chapter 21) should clearly indicate that Design Approval has not been received and the anticipated Design Approval date should be provided.

• All reasonable alternatives must be evaluated to a similar level of detail as required by NEPA and SEQRA. Therefore, the simultaneous progression of preliminary and final design is best suited to projects with only one reasonable alternative.

• For federal-aid projects, FHWA’s authorization for final design must have been received before charging federal funds for the final design activities.3 Otherwise, the Region must use 100% state funds. Contact the FHWA Area Engineer for authorization on specific tasks.

• ROW negotiations and acquisition activities cannot begin until authorized after Design Approval.

1 Some projects involve environmental issues that require compliance with resource specific regulations such as, but not limited to, Section 106 and/or Section 4(f) or require individual permits or approvals. These projects require alternatives analysis and typically are not good candidates for concurrent progression. 2 “Reasonable alternatives” (not feasible) is the term used by 40 CFR 1502.1, 1502.14 and 23 CFR 771.123 for evaluation of alternatives. “Range of alternatives” is the term used in 40 CFR 1505.1(e) and 23 CFR 771.123(c) to discuss the alternatives considered for advancing for further study in the DAD. 3 Detailed design activities needed for environmental determination or Design Approval are not considered Final Design activities. See FHWA Official Order 6640.1.A – FHWA Policy on Permissible Project Related Activities During the NEPA Process (Oct. 1, 2010).

http://www.fhwa.dot.gov/legsregs/directives/orders/66401a.htm#q6


May 2019

APPENDIX A – List of Acronyms BRR Bridge Rehabilitation Report CE Categorical Exclusion CED Categorical Exclusion Determination CEQ Council on Environmental Quality DA Design Approval DAD Design Approval Document DCED Deputy Chief Engineer, Design DDR/FDR Draft Design Report/Final Design Report DEIS Draft Environmental Impact Statement DONSE Determination of No Significant Effect DRRC Design Report Review Checklist EA Environmental Assessment ED Environmental Determination EDPL Eminent Domain Procedure Law EIS Environmental Impact Statement FASTA Fixing America’s Surface Transportation Act FEAW Federal Environmental Approvals Worksheet FEIS Final Environmental Impact Statement HDM Highway Design Manual IPP Initial Project Proposal IPP/FDR Initial Project Proposal/Final Design Report ITS Intelligent Transportation System JLA Joint Lead Agency(ies) MAP-21 Moving Ahead for Progress in the 21st Century Act MOFU Main Office Functional Unit MOPL Main Office Project Liaison NCF Non-Conforming Feature NEPA National Environmental Policy Act NHPA National Historic Preservation Act NSF Nonstandard Feature NSFA Nonstandard Feature Approval NSFJ Nonstandard Feature Justification

PARCE FHWA/NYSDOT Programmatic Agreement Regarding the Processing of Categorical Exclusions

PDM Project Development Manual PEL Planning and Environment Linkages (FHWA) PIP Public Involvement Plan PM Project Manager PMP Project Management Plan PoDI Project of Division Interest (FHWA) PSR Project Scoping Report PSR/FDR Project Scoping Report/Final Design Report RD Regional Director


May 2019

APPENDIX A – List of Acronyms RLPL Regional Local Programs Liaison ROD Record of Decision ROFU Regional Office Functional Unit RQCE Regional Quality Control Engineer

SDDCTEA Surface Deployment and Distribution Command Transportation Engineering Agency

SEQRA SEQRA – State Environmental Quality Review Act


May 2019

APPENDIX B – Main Office Project Liaison and FHWA Review Process Flowcharts


May 2019

Exhibit 4-7: Is MOPL Review Needed?


May 2019

Exhibit 4-8: MOPL Review Process for DCED or FHWA Design Approval with NYSDOT Categorical Exclusion Determination


May 2019

Exhibit 4-9: MOPL Review Process for FHWA Categorical Exclusion Determination and Regional Director Design Approval


May 2019

Exhibit 4-10: MOPL Review Process for FHWA Categorical Exclusion Determination and DCED Design Approval


May 2019

Exhibit 4-11: MOPL Review Process for FHWA Categorical Exclusion Determination and FHWA Design Approval


May 2019

Exhibit 4-12: MOPL Review Process for FHWA EA Title Sheet Signature/FONSI Approval


May 2019

APPENDIX C – Public Hearing Process Flowcharts


May 2019

This page intentionally left blank


May 2019

Exhibit 4-13: NEPA Class II Moderate Project Public Hearing Process


May 2019

Exhibit 4-14: NEPA Class III (NEPA EA) Public Hearing Process


May 2019

Exhibit 4-15: NEPA Class I (EIS) Complex Project Public Hearing Process


May 2019

Exhibit 4-16: 100% State Funded SEQRA Non-Type II (EIS) Public Hearing Process


May 2019

Exhibit 4-17: EDPL Public Hearing Process Note that holding an EDPL Public Hearing requires the advance permission of the DCED. Contact DQAB-PDS for information.


May 2019

APPENDIX D – Procedural Steps for Individual Section 4(f) Evaluations


May 2019



May 2019

Note that the Individual Section 4(f) Evaluation must be prepared in consultation with the Office of Environment prior to initiation of MOPL review.

Steps to Progress Individual Section 4(f) Evaluations

Step Additional Information CE Project Information EA Project Information EIS Project Information

1 Prepare draft Individual 4(f) Evaluation

Refer to PDM Appendix 7 for content requirements.

Individual 4(f) Evaluations are included as a distinct chapter or section within EIS and EA DADs. They are separate from CE DADs.

The 4(f) Evaluation is a separate document from the DAD for NEPA Class II CE projects. The Draft 4(f) Evaluation must include a Title Sheet with signature lines for DCED and FHWA (see Exhibit 7-6 in PDM Appendix 7). Coordinate preparation of the Evaluation with DAD preparation (Simple Projects - Phase I, Step 9 in Section 4.3.3.2; Moderate Projects - Phase I, Step 13 in Section 4.3.4.4).

The 4(f) Evaluation for NEPA Class III projects is part of the DAD and is included as a distinct chapter. See Phase I, Steps 12, 13 and 14 for Class III DAD preparation in Section 4.3.4.4. Ensure that the EA Title Sheet is included in the DAD after the cover sheet and that it contains the Section 4(f) USC citation (49 USC 303).

The 4(f) Evaluation for NEPA Class I projects is typically prepared as a distinct chapter of the DEIS/FEIS. Coordinate this step with the DAD preparation step in Section 4.3.5.4 – Phase I, Step 9. Ensure that the DEIS Title Sheet contains the Section 4(f) USC citation (49 USC 303).

2 MOPL review of 1st draft Individual 4(f) Evaluation (CE) and/or DAD (EA or DEIS)

MOPL coordinates with the Office of Environment and other MO groups as necessary, reviews evaluation and provides comments to Region.

Region revises to resolve comments.

Step should occur no later than the time of completion of Phase I, Step 17 in Section 4.3.3.2 for Simple Projects or Phase I, Step 24 in Section 4.3.4.4 for Moderate Projects.

Step should occur prior to or no later than the time of completion of Phase I, Step 24 in Section 4.3.4.4.

Refer to Phase I, Step 25 in Section 4.3.5.4.

3 FHWA review of revised 1st Draft

Once any MOPL comments are resolved, MOPL forwards to FHWA. Allow 30 days for FHWA review.

MOPL will send Evaluation (along with the DAD if Region is combining 4(f) Evaluation and DAD review steps) to FHWA with a request for review.

MOPL will send DAD/EA (which includes the Draft 4(f) Evaluation) to FHWA with a request for review.

MOPL will send preliminary DEIS EA (which includes the Draft 4(f) Evaluation) to FHWA with a request for review. Once FHWA issues are resolved, the preliminary DEIS is sent to Cooperating/Participating Agencies (includes Officials with Jurisdiction (OWJ)) for preliminary review. Formal OWJ review occurs as part of Phase II review (Step 6 below).

4

2nd Draft Individual 4(f) Evaluation and/or DAD to MOPL.

Region incorporates comments and sends to MOPL for review.

Once comments are resolved, MOPL obtains DCED signature on the applicable Title Sheet.

Step may occur prior to, but should ideally be done in conjunction with the project step for FHWA's CE Determination review of the DAD:

• Simple Projects - Phase I, Step 19 (§ 4.3.3.4) • Moderate Projects - Phase I, Step 31 (§ 4.3.4.4)

Where DCED or FHWA DA is also required combine MOPL review of the draft Evaluation with the following:

• Simple Projects Phase I, Step 21 • Moderate Projects, Phase I, Step 32

Step occurs as part of the project step for FHWA's review of the DAD for EA Title Sheet approval - See Phase I, Step 33 in Section 4.3.4.4.

Step occurs as part of the project step for FHWA's review of the DEIS for Title Sheet approval - See Phase I, Step 27 in Section 4.3.5.4.


https://www.dot.ny.gov/divisions/engineering/design/dqab/dqab-repository/PDM_NEPA_EIS%20Title%20Sheet.doc


May 2019



5 FHWA review and approval of Draft Evaluation

Once comments are resolved FHWA approves Draft 4(f) Evaluation (allow 30 days for review and approval).

MOPL will request FHWA approval of Draft 4(f) Evaluation and distribution of Evaluation to federal agencies.

MOPL will request FHWA approval of public release of the EA and distribution to federal agencies.

MOPL will forward a copy to FHWA with a request for FHWA DEIS Title Sheet signature. Once FHWA signs title sheet, DEIS public comment period commences.

6 Public comment period

Per 23 CFR 774.5(a), opportunity to comment on evaluation must be provided to the officials with jurisdiction over the 4(f) resource(s), the Department of Interior and if appropriate, to the Departments of Agriculture or Housing and Urban Development. 45 days minimum is required for receipt of comments. If comments are not received within 15 days after comment deadline a lack of objection may be assumed.

FHWA sends the Draft Evaluation to DOI and if appropriate the other federal agencies. Allow 60 days total for this review.

Opportunity for the public to comment on the 4(f) Evaluation on CE projects must also be provided. This happens concurrent with the federal agencies’ review. If a public hearing is not being held to offer this opportunity, publish a newspaper notice stating the evaluation is available for public review with deadline for comments (45 days). Provide information on how document can be accessed.

FHWA sends the DAD/EA with Draft Evaluation to DOI and other appropriate federal agencies. Allow 60 days total for this review.

Opportunity for the public to comment on the 4(f) Evaluation on EA projects must also be provided. This happens concurrent with the federal agencies’ review. If a public hearing is not being held to offer this opportunity, revise the Notice of Availability of Draft Design Approval Document (see Phase III, Step 1 in Section 4.3.4.4) to include the opportunity to comment on the Draft 4(f) Evaluation. Allow a minimum 45-day comment period. Provide information on how document can be accessed.

Refer to Phase II and III steps in Section 4.3.5.4.

7 Prepare Final Section 4(f) Evaluation

Revise Evaluation/DAD to address comments. Also update document to include required information for Final Section 4(f) Evaluation. New sections must be added in the Final Evaluation to discuss the feasible and prudent status of alternatives, inclusion of measures to minimize harm and coordination that occurred for the Draft 4(f) Evaluation. Include statement that there is no feasible and prudent alternative to the use of the Section 4(f) resource(s). Refer to PDM Appendix 7, Section 4.5.2 for information and wording of the Final 4(f) Statement.

Coordinate with DAD update - Phase IV, Step 1 in Sections 4.3.3.4 or 4.3.4.4.

Send Final Evaluation to MOPL with request for review by FHWA including legal sufficiency review.

Phase IV Step 1 in Section 4.3.4.4.

Forward the DAD/EA with Final Evaluation to the MOPL for review.

Refer to Phase IV, Step 17 in Section 4.3.5.4.


May 2019



8 Legal sufficiency review

Allow minimum of 30 days for FHWA HQ review.

Once MOPL confirms that any comments on Final Evaluation are resolved, send Final Individual 4(f) Evaluation to FHWA with a request that the Division obtain FHWA HQ legal sufficiency review. cc the MOPL on this request.

Once MOPL confirms that any Section 4(f) pertinent comments on the EA are resolved, send revised DAD/EA with Final Evaluation to FHWA with a request that the Division obtain FHWA HQ legal sufficiency review. cc the MOPL.

Refer to Phase IV, Step 17 in Section 4.3.5.4.

9 Incorporate comments from FHWA HQ

Follow up with FHWA Division Office to ensure FHWA HQ comments are adequately addressed.

10 Approval of Final Evaluation or DAD

Send revised Final 4(f) Evaluation and/or revised DAD to the MOPL with a request to obtain necessary FHWA approvals

Ensure Title Sheet for the Final Evaluation is revised to remove the DCED signature line.

Where projects require DCED or FHWA DA coordinate this step with the following:

• Simple Projects - Phase IV Step 7 in Section 4.3.3.4;

• Moderate projects - Phase IV Step 8 in Section 4.3.4.4

MOPL submission to FHWA will include request for all needed FHWA approvals; i.e., Final 4(f) Evaluation approval, any other needed Individual Environmental Approvals, CE Determination and Design Approval if needed.

EA projects coordinate with preparation of FONSI, (Phase IV Step 7 in Section 4.3.4.4). MOPL submission to FHWA will include request for all needed FHWA approvals; i.e., Final 4(f) Evaluation approval, approval of FONSI and potentially other individual approvals and Design Approval if needed.

The FONSI for projects with an Individual Section 4(f) Evaluation must incorporate the following statement:

The attached Environmental Assessment adequately supports the reasons why the alternatives to avoid section 4(f) properties are not feasible and prudent and all measures, which will be taken to minimize harm to the section 4(f) properties.

Based upon the considerations contained within the Environmental Assessment, there is no feasible and prudent alternative to the use/removal of the existing <Describe Section 4(f) Property> The proposed action includes all possible planning to minimize harm resulting from such use.

Refer to Phase IV Steps in Section 4.3.5.4.


May 2019

APPENDIX E – Instructions for Creating Searchable PDF Documents


May 2019



May 2019

Creating Searchable PDF Documents using Microsoft Word Searchable PDF documents permit individuals to find keywords or phrases by using the "Find" command in Adobe Acrobat. As a public agency, NYSDOT is bound to deliver documentation enabling the general public, including those with disabilities, the ability to easily find information. Creating searchable PDF documents are paramount to delivering documents which fulfill this end. Vector and Raster Data in PDF Documents A Microsoft Word document comprised exclusively of text will create a PDF searchable text by default. The only portion of a Word document which would not be searchable would be any raster data which has been placed (embedded) into the Word document.

Sometimes raster content is unavoidable. Maps, photos and scanned documents containing signatures are examples of frequently embedded raster content which will remain rasterized when a PDF document is created from MS Word. A PDF containing scanned documents (text) should be avoided wherever practicable.

Vector Text Is searchable

because it uses scalable characters

contained in a discrete font library

Raster Text Maps, photos and

other images are not searchable because they are

comprised of pixels

Saving a Searchable PDF Document Using Microsoft Word

Correct Method:

FILE > SAVE AS ADOBE PDF

Why? - The coding of URL links will be retained maintaining the documents integrity. Also, the original resolution of any images will be retained.

Incorrect Method:

FILE > PRINT > ADOBE PDF

Why? - The coding of URL links will be removed degrading the documents integrity. Also, the image resolution can inadvertently be lowered.


May 2019

Converting a Rasterized Document to Vector Format If a paper document is scanned and saved to a PDF it is essentially a raster image embedded into a PDF document. If necessary, Optical Character Recognition (OCR), a utility built into Adobe Acrobat, can convert a rasterized document, or select pages of a document, into vectorized text.

This technology is not perfect and relies on a high-quality scan. Low resolution images and artifacts (image noise) contribute to a poor conversion. The preferred scan resolution is 300dpi with a 100dpi minimum.

NOTE: Any documents converted using OCR technology must be thoroughly reviewed for accuracy.

Refer to the following instructional video to perform an OCR conversion on a PDF document: http://tv.adobe.com/watch/accessibility-adobe/acrobat-using-optical-character-recognition/

http://tv.adobe.com/watch/accessibility-adobe/acrobat-using-optical-character-recognition/

http://tv.adobe.com/watch/accessibility-adobe/acrobat-using-optical-character-recognition/