Clarifying the Scope of Preliminary Design Presentation

8/6/2019 Clarifying the Scope of Preliminary Design Presentation

1/44

SHORTENING PROJECT DELIVERYINITIATIVE

CLARIFYING THE SCOPE OF PRELIMINARY

DESIGNDate Prepared: 9/28/2010 1

EDC Training Regional SummitTysons Corner, VA October 4th, 2010


2/44

Preliminary Design Initiative

Planning NEPA ROW Design / Construction

Description:

Highlight the existing flexibilities in statute andregulation related to advancing project specificdesign activities.

These flexibilities are available regardless ofproject delivery mechanism prior to NEPA

approval.

Leaning ForwardApproach to Preliminary Design2


3/44

Preliminary Design Overview:

.

3

Benefits: slide 1 of 2

Reduces overall project delivery times;

Streamlined project delivery. Provides guidance on the design activities that can be

conducted during the NEPA process;Clarifies existing flexibilities in regulations.

Improves project decision-making;More information to the public and agencies.


4/44

Preliminary Design Overview:

Benefits: slide 2 of 2

Reduces costs in developing and delivering projects;

Faster delivery to the public.

Enhances consistency among FHWA Division offices &State DOTs;

Consistent interpretation of statutes & regulations.

Improves agency & staff capacity to make risk-baseddecisions; and

Ensures the integrity of the NEPA process.

4


5/44

What Can We Do Under Existing

Statutes / Regulations ?The activities that are presumed to be preliminary designand can be carried out prior to final NEPA decision

include:

Activities listed in the definition ofpreliminary design at 23CFR 636.103:

Environmental assessments, topographic surveys, metes and

bounds surveys, geotechnical investigations, hydrologicanalysis, hydraulic analysis, utility engineering, traffic studies,financial plans, revenue estimates, hazardous materialsassessments, general estimates of the types and quantities ofmaterials.

5


6/44

What We Want You To

Advocate To Your Staff.Slide 1 of 2:

Take advantage of existing flexibilities that help allow

your State to expedite project delivery.

Where feasible, your State should move forward withpreliminary design work.

As long as no commitments are made to any alternative

being evaluated in the NEPA process and the design work

does not prejudice the objective comparison of all

alternatives.

6


7/44

What We Want You To

Advocate To Your Staff.Slide 2 of 2: Perform preliminary design activities

concurrently with the NEPA process in

compliance with NEPA regulations at 23 CFR Part771 and 40 CFR Parts 1500-1508 and

These activities typically do not limit the choice ofreasonable alternatives as required by 40 CFR

1506.1(a)-(b).

7


8/44

Preliminary Design:

What We Cannot Do!

Final Design Activities that can NOT be advanced prior

to NEPA completion:

Any design activities that are not preliminary design. Thisincludes the preparation of final construction plans and

detailed specifications for the performance of construction

work.

The activities in the definition offinal design at 23 CFR636.103 are considered to be final design. They include

final plans, project site plan, final quantities, and final

engineers estimate for construction.8


9/44

KeySteps

National EnvironmentalPolicy Act (NEPA)Process FHWA

decision on

alternatives

Consult with resourceand other agencies

Identify necessaryenvironmental permits

for construction

KeyStepsAdoption in local/

regional plans TransportationImprovement

Program

Air Quality planapproval

StatewideTransportationImprovement

Program

Federal certification

of planning process

Comply with UniformAct for right-of-way

acquisition

Obtain permits

Environmentalcommitment

compliance duringconstruction

Planning Process

Systems Planning:

Identifies projects

and funding

Project Development

Environmental process,Project Planning and

Preliminary Design

Project Implementation

Final Design, Rightof Way and

Construction

What We Need States to Do.

Interdisciplinary Decision-Making:

9Preliminary Design


10/44

Post NEPA

Project Development

Activities

Transportation Project

Development Process:Planning

Right-of-Way

NEPA

Construction

Need, alternatives and impact analysis, public

/ agency coordination, documentation (CE,

EA/FONSI, EIS/ROD) Preliminary Design

Final Design

NEPA Approval: Location, design concept acceptance

System considerations, coordination,

conformity, project need


11/44

NEPA Processing Options:(Classes of Action)

NO

Proposed Action

Coordination andAnalysis

Significant Impact ?

ListedCategorical

Exclusion (CE)

Public Comment

DocumentedCategorical

Exclusion (CE)

EnvironmentalAssessment

(EA)

Significantimpact

Notice of Intent & ScopingProcess

Draft Environmental ImpactStatement (EIS)

Record of Decision (ROD)

Final Environmental ImpactStatement (EIS)

Agency ActionAgency Action

Finding of NoSignificant Impact (FONSI)

Agency Action

Coordination and

analysis as needed

No significantimpacts

Unknown

YES

Documentappropriately

Major ProjectMinor Project

Preliminary

Design

Preliminary

Design

Final Design


12/44

Preliminary Design Questions

to Ask & Consider.

1) Is the design activity in compliance with applicableCEQ regulations?

Under CEQ Regulations for Implementing NEPA (40CFR Part 1506.1), until an agency issues a Record ofDecision no action concerning the proposal shall betaken which would limit the choice of reasonablealternatives.In addition, while work on NEPA is ongoing, agencies shall

not undertake in the interim any major Federal actioncovered by the program unless that action would notprejudice the ultimate decision on the program and wouldnot limit alternatives.

12


13/44

Preliminary Design Questions

to Ask & Consider.2) Is the design activity in compliance with FHWA

NEPA regulations (23 CFR 771)?

FHWA will perform the work necessary to completea FONSI or an EIS. This work includes environmentalstudies, related engineering studies, agencycoordination and public involvement.

Until a project is classified as a CE, or a FONSI orROD is signed, no work related to final designactivities is allowed to proceed.

13


14/44

Preliminary Design

Questions to Ask & Consider.

3) Is the design activity in compliance with FHWAsDesign-Build regulations?

In 2007 FHWA adopted definitions of preliminarydesign and final design in its Design-Build Regulationat 23 CFR 636.103. The definitions apply across the Federal-aid Highway

program, without regard to contracting mechanism.

Those definitions, when read together with the FHWA andCEQ NEPA regulations, define design activities that may beallowable prior to completion of the NEPA process (CE,FONSI, or ROD).

14


15/44


Statutes / Regulations ?

Currently, the majority of State DOTs advanceFederal-Aid projects through a Design-Bid-Build

(DBB) and Design-Build (DB) contracting mechanism.

It is important to note that for the purposes of NEPA,

it does not matter under which contract mechanism a

Federal- Aid project is advanced.

The same flexibilities related to preliminary design

that can be carried forward prior to completion of the

NEPA process apply to both contract mechanisms.

15


16/44



Preliminary design activities can be conductedprior to completion of the NEPA process if

carried out in a manner that would notmaterially affect the objective consideration of

alternatives being considered in the NEPA

review process.

What do we mean by this? See next slide

16


17/44



The limitation on agency actions during NEPA doesnot preclude development by applicants of plans ordesigns or performance of other work necessary to

support an application for Federal, State or localpermits or assistance. CEQ regulation 40 CFR1506.1(d)

Higher levels of design work are allowed on thepreferred alternative to facilitate the developmentof mitigation measures and concurrent compliancewith other applicable laws. 23 USC 139(f)(4)(D)

17


18/44



The amount of engineering design work that canbe carried forward and completed throughpreliminary design, either with or without Federal

financial assistance prior to the completion of theNEPA process, will vary from project to project.

Determinations of what level of design permittingagencies need, and whether an activity is likely tobias the selection of alternatives or cause adverseenvironmental effects all are very fact-specific.

18


19/44



Activities presumed to be preliminary design include, butare not limited to:

Activities listed in the definition ofpreliminary design at 23 CFR636.103:

Environmental assessments, topographic surveys, metes andbounds surveys, geotechnical investigations, hydrologic analysis,hydraulic analysis, utility engineering, traffic studies, financial

plans, revenue estimates, hazardous materials assessments,general estimates of the types and quantities of materials.

19


20/44

What Can We Do Under

Existing Statutes / Regulations ?

Other activities: slide 1 of 2

Design and engineering activities to be undertaken forthe purposes of defining project alternatives; completing

the NEPA alternatives analysis and review process;complying with other related environmental laws andregulations; environmental justice analyses; supportingagency coordination, public involvement, and permitapplications; development of environmental mitigationplans; development of typical sections, grading plans,geometric alignment (horizontal alignment, verticalalignment and any clearances necessary to meetapproved design criteria), noise wall justifications,

20


21/44



Other activities cont. slide 2 of 2

bridge type/size/location studies, temporary structure

requirements, staged bridge construction requirements,

structural design (substructure and superstructure), retaining

wall design, noise wall design, design exceptions, guardrail

length/layout, existing property lines, title and deed research,

soil borings, cross sections with flow line elevations, ditch

designs, intersection design/configuration, interchange

design/configuration, pavement design, storm/sanitary sewerdesign(plan/profile), culvert design, identification of removal

items, quantity estimates, pavement details/elevation tables,

and preliminary traffic control plans to be maintained during

construction. 21


22/44



Costs associated with preliminary designactivities are eligible for Federal-Aid

reimbursement.

FHWA is approving the advancement of theseadditional preliminary design activities earlier

in the project development process and will

authorize reimbursement for these activities.

22


23/44

Preliminary Design Project

Examples:

Drainage and storm water management.

Dredged material quantities.

Flexibly adjust amount of preliminary design to

meet regulatory requirements, such as bridgesaffecting regulated wetlands.

More detailed design of light rail projectelements to reduce cost risk.

Core drilling to characterize soils for trenchexcavation in densely developed urban area.


24/44

Drainage and Storm Water

Management:I-95: Florida

FL DOT tailored the storm water pond

specifications to meet Water ManagementDistrict requirements.

Drainage plans were completed at 60% design

versus 30% for remainder of project. Design-build contractor still given opportunity

for efficiency while minimizing risks.


25/44

Dredged Material Quantities:

Woodrow Wilson Bridge: DC, MD, VA

Project sponsors held design competition duringthe NEPA process for a major design-bid-buildbridge project.

Resulted in higher level of design informationthan previously available.

Dredged material estimate revised from 40,000to 550,000 cubic yards.

Separate contract was awarded for dredging; finaldredged quantity was 330,600 cu yd.


26/44

Flexibly Adjust Amount of

Preliminary Design:

US 64 Knightdale Bypass: North Carolina

Increase level of design to 60% at multiple

bridges affecting regulated wetlands. Remainder of project designed to 25-30%

where fewer sensitive resources present.

Perform more design work to addressregulatory and permit requirements to reduce

delay.


27/44

Tailor Design Work to

Reduce Cost Risk:

T-Rex Project: Colorado

CO DOT and Regional Transit District tailoredpreliminary design for different elements.

Highway portion: 30% design

Light rail system and drainage: 30 to 50%

Light rail stations: 70% Result: reduced cost risk during construction


28/44

Core Drilling to Characterize

Subsurface Soils:

ReTRAC project: Nevada

Core drilling on 100 foot centers along railroadtracks for major railroad grade separation project.

Improved characterization of soils for trenchesand retaining walls.

Addressed constructability of alternatives duringNEPA process.

Allowed project to proceed on schedule in busydowntown urban environment.


29/44

Preliminary Design Interactive

Example:

Alternatives & Preliminary Design

FloodplainsIndustrial Site

Historic Site

Neighborhood

Route 201

Route 101

Project Limit Project Limit

CommonAlignment

CommonAlignment

29


30/44

Preliminary Design:

What We Cannot Do!Final Design Activities that can NOT be advanced prior

to NEPA completion:

Any design activities that are not preliminary design. Thisincludes the preparation of final construction plans anddetailed specifications for the performance of constructionwork.

The activities in the definition offinal design at 23 CFR636.103 are considered to be final design. They includefinal plans, project site plan, final quantities, and finalengineers estimate for construction.

30


31/44

How Do We Determine What

Activities are Allowed ?

What will guide me on implementing this Initiative?

Preliminary Design Directive:

On October 1, 2010, the FHWA issued FHWA Order

6640.1A.

This Directive establishes FHWAs policy regarding thepermissible project related activities that may beadvanced prior to the conclusion of the NEPA process

regardless whether the activity is necessary to completethe NEPA process or to obtain other environmentalpermits or approvals.

Directive relies on, and clarifies, existing definitions at 23

CFR 636.103 31


32/44



What will be FHWAs policy regarding which projectactivities may be advanced prior to a NEPA decision?

State DOTs and other contracting agencies may perform

preliminary design activities prior to a NEPA decisionregardless of the project delivery mechanism that isused.

The definitions ofpreliminary design andfinal design

found at 23 CFR 636.103, and clarified in the Directive,shall be relied upon by the FHWA regardless of theproject delivery mechanism used.

32


33/44


Activities are Allowed ?Slide 1 of 2:

Division Administrators and State Chief Engineers mustfocus on whether the level of activities advanced priorto the NEPA decision goes too far in focusing on a

particular alternative. In making this determination,consider and balance any relevant factors, including;

The actual bias on the part of the decision maker thatthe proposed preliminary design activity to be advancedwill create with respect to any alternative under

consideration;The perception of bias on the part of the community atlarge with respect to the advancement of the proposedpreliminary design activity;

33


34/44



Slide 2 of 2:

The extent to which the proposed preliminary designactivity is specific to only one alternative underconsideration;

The degree of preliminary design activities advancedfor any given alternative relative to other alternativesunder consideration;

The estimated cost of the proposed preliminarydesign activity standing alone is substantial; and

The degree to which the proposed preliminary designactivity relates to any specific point of controversyregarding an alternative under consideration.

34


35/44



In all cases, regardless of what activities areadvanced prior to a NEPA decision, FHWA

must exercise independent judgment andretain the discretion to approve any

reasonable alternative under consideration.


36/44



What safeguards should be taken to ensure the FHWA

does not authorize final design activities? Slide 1 of 2

In project agreements in which Federal funds areauthorized for preliminary engineering, a notation

should be made that Federal funds are authorized only

for preliminary design.

The execution or modification of a project agreement toauthorize final design for design-bid-build projects shall

not occur until after the NEPA decision.

36


37/44



Slide 2 of 2:

For design-build contracting, a separate notice toproceed is required for final design and construction

by 23 CFR 636.109 and 636.302.

37


38/44

What Do States Need to Do Now

to Implement the Initiative?

Upon issuance of the Preliminary Design Directive,

Division Administrators and State Chief Engineers shall

work together to develop State specific preliminary

design policies for:Direct oversight projects;

State administered projects;

Local public agency projects; and

Design-bid-build, design-build, and other project delivery

methods that may be used in that State.

38


39/44

What Do States Need to Do Now

to Implement the Initiative?

Division offices & State DOTs should begin consideringhow they will take advantage of the flexibility to pursue

further preliminary design activities prior to the

completion of the NEPA process.

Our Goal:

50% of State DOTs will have adopted the definition of

Preliminary Design in project development policies,

procedures or recommended practices for Federal-Aid

projects. For States which have adopted and implemented

the Directive, 50% of the Federal-Aid projects initiated after

adoption will have utilized flexibility by December 30, 2011.39


40/44

Preliminary Design: Resources

FHWA Order 6640.1A.

One Page Briefing

Successful Practices (Case Studies) Pending References :23 CFR 636.103 (Preliminary & Final Design definitions)

23 CFR Part 771

40 CFR Parts 1500-1508

40 CFR 1506.1(a)-(b)

40


41/44

Preliminary Design - Contacts

Primary contact is your local Division Office and their EDC

Coordinator. After coordinating with your Division office, HQ

and Resource Center contacts include:

Preliminary Design Team Leads:

Harold Peaks: Team Leader Project Development Team (HEP) (202) 366-1598

[email protected]

Jon Obenberger: Team Leader Preconstruction Group (HIF) (202) 366-2221

[email protected] Smith: Manager of the Env. Technical Services Team (RC) (720) 963-3210

[email protected]

Michael Harkins: Attorney (HCC) (202) 366-4928

[email protected]

41
mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]


42/44

Preliminary Design - Contacts

Neel Vanikar HEPE David Gamble - RC

(202) 366-2068 (410) 962-0982

[email protected] [email protected]

Kreig Chip Larson HEPE Mary Ann Rondinella - RC

(202) 366-2056 (720) 963-3207


Michael Matzke HIF R. Keith Moore - HEPE

(202) 366-4658 (202) 366-0524


Preliminary Design Team Members:

42
mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]


43/44

Preliminary Design - Questions

43


44/44

Questions on the Preliminary

Design Initiative:

What are your reactions to this initiative proposal? What are the pros and cons? What would you change or modify in the approach?

Can you foresee how this initiative might improve the process?

Are there particular barriers to this initiative being successful?

What additional information do you need to help you make this

initiative a success?

How should all of us best go about getting our staff to participate?

Documents

Clarifying the Scope of Preliminary Design Presentation