New York State Department of Transportation
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|Transportation | |
|Project Report | |
|[Draft] Initial Project Proposal/Final Design | |
|Report | |
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|Month 20xx | |
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|[Project Title/Description (e.g., Route______over________)] | |
|Project Identification Number (PIN): _______ | |
|[Culvert Identification Number (CIN): ________] | |
|[Village/Town/City] of________ | |
|________ County | |
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For 100% State funded projects delete the FHWA logo below.
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|ALERT! |
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|Project Approval Sheet |
|Note this sheet is formatted as a table. |
|Milestones |Signatures | |Dates |
|Recommendation for, |The project cost and schedule are consistent with the Regional Capital Program. |
|Initiation, Scope and Design | |
|Approval: | |
| | | | | |
| |Name, Regional Program Manager |Date |
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|B. Recommendation for Scope, |All requirements requisite to these actions and approvals have been met, the required independent quality |
|Design, and Nonstandard |control reviews separate from the functional group reviews have been accomplished, and the work is consistent |
|Feature Approval: |with established standards, policies, regulations and procedures, except as otherwise noted and explained. |
|OR |Meeting all requirements requisite to these actions and approvals includes meeting the requirements of the NYS |
|Recommendation for Scope and |Smart Growth Public Infrastructure Policy Act (SGPIPA). Recommendation for Design Approval includes |
|Design Approval |verification that SGPIPA documentation requirements are met. |
| | |
| |When the project includes justification of nonstandard features, include the following statement: The |
| |nonstandard features have been adequately justified and it is not prudent to eliminate them as part of this |
| |project. |
| |OR, |
| |Include the following when nonstandard feature justifications are not required: No nonstandard features have |
| |been identified, created, or retained. |
| | | | | |
| |Name, |Date |
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|C. Public Hearing |A public hearing was not required. |
|Certification (Pursuant to 23|OR, A public hearing was held on _______. |
|USC 128 and 23 CFR |OR, A Notice of Opportunity for a Public Hearing was published on ______ and ______. No requests to hold a |
|771.111):Remove “(Pursuant to|public hearing were received therefore a hearing was not held. . When required by 23 CFR 771.111(h)(2)(iii) |
|23 USC 128 and 23 CFR |FHWA NEPA regulations require certification of a hearing or offer to hold a hearing (23 CFR 771.111(h)(2)(vi). |
|771.111)” when not following | |
|FHWA public hearing | |
|requirements | |
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| | |Name, |Date |
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|D. Categorical Exclusion |This project qualifies as a Categorical Exclusion under the National Environmental Policy Act per the |
|Determination on Behalf of |NYSDOT/FHWA Programmatic Agreement Regarding Categorical Exclusions. |
|FHWA This certification is | |
|required when the completed | |
|FEAW indicates that NYSDOT | |
|makes the CE determination. | |
|Remove this certification | |
|when FHWA makes the CE | |
|determination and for 100% | |
|State-funded projects. | |
| | | | | |
| | |Name, |Date |
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|D/E. Scope, Design, and |When project requires justification of nonstandard features, ensure this statement is revised Refer to Exhibit |
|Nonstandard Feature Approval:|4-2 in PDM Chapter 4 to determine the appropriate authority or authorities for design approval and nonstandard |
| |feature approval. The required environmental determinations have been made, and the preferred alternative for |
|OR |this project is ready for final design. Nonstandard features have been appropriately justified. |
|Scope and Design Approval |OR No nonstandard features are being retained or created. This statement should not be included for element |
|Use this row for NYSDOT |specific projects that are not evaluating critical design element criteria. |
|administered projects. | |
|For local projects remove | |
|this certification and use | |
|rows below. | |
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| | |Name, | | Date |
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|D/E. Local Project |Nonstandard features on Non-NHS local roadways have been appropriately justified. |
|Nonstandard Feature Approval |OR No nonstandard features are being retained or created on Non-NHS local roadways. |
|Use for local projects. | |
|Include the certifications to| |
|the right as appropriate. | |
| | | | | |
| | |Name, | |Date |
| |Only include the certification below if there is work proposed on NHS/State roadways. Nonstandard features on |
| |NHS/State roadways have been appropriately justified. |
| |OR No nonstandard features are being retained or created on NHS/State roadways. |
| | | | | |
| | |Name, | |Date |
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|E/F. Local Project Scope and |The required environmental determinations have been made, and the preferred alternative for this project is |
|Design Approval |ready for final design. |
|Use for local projects. | |
| | | | | |
| | |Name, | |Date |
CONTACT: Jane Doe
PHONE: (XXX) XXX-XXXX
PROJECT MANAGER:
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|List of Preparers |
Group Director Responsible for Production of this Initial Project Proposal/Final Design Report (IPP/FDR): Only stamp the final report.
|__(Name)_____, PE, Regional Design Engineer, NYSDOT Region ___ | |
|OR | |
|__(Name)_____, PE, Regional Maintenance Engineer, NYSDOT Region ___ | |
|OR | |
|__(Name)_____, PE, Regional Director of Operations, NYSDOT Region ___ | |
|OR | |
|__(Name)_____, PE, Director, Design Services Bureau, NYSDOT |PLACE P.E. STAMP |
|OR | |
|__(Name)_____, PE, Principal, ___(Consultant firm name)___ | |
|Description of Work Performed: Directed the preparation of the IPP/FDR in accordance with | |
|established standards, policies, regulations and procedures, except as otherwise explained in this | |
|document. | |
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Note: It is a violation of law for any person, unless they are acting under the direction of a licensed professional engineer, architect, landscape architect, or land surveyor, to alter an item in any way. If an item bearing the stamp of a licensed professional is altered, the altering engineer, architect, landscape architect, or land surveyor shall stamp the document and include the notation "altered by" followed by their signature, the date of such alteration, and a specific description of the alteration.
[For NYSDOT prepared reports, include the following section. Only include licensed professionals that are stamping work as part of the main body of the report. Only stamp the final report. Add/remove rows, as needed. Refer to PDM Appendix 7, Section 6.1 for the technical appendices that must be stamped. The professional stamp does NOT apply to the environmental portions of the report, the cost estimate, or the schedule.]
This report was prepared by the following NYSDOT staff:
|__(Name)_____, PE, ____________, NYSDOT, _____ | |
|Description of Work Performed: | |
|Prepared the _____ for the IPP/FDR in accordance with established standards, policies, regulations | |
|and procedures, except as otherwise explained in this document. | |
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|OR | |
| |PLACE P.E. STAMP |
|Description of Work Performed: Directly supervised the preparation of the IPP/FDR in accordance | |
|with established standards, policies, regulations and procedures, except as otherwise explained in | |
|this document. | |
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| |PLACE P.E. STAMP |
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|Table of Contents |
|Update page numbers in the TOC below by right clicking on the table and selecting Update Field. Then select Update Page Numbers Only and |
|click OK. Page numbers should be updated whenever changes are made to the report. |
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|Do not change the Heading settings (in Styles on the Home tab) for the section titles. They are linked to the Table of Contents. When |
|additional three-digit subsections need to be added in Chapter 3, highlight the created subsection number and title in the text and select |
|“Heading 3” from the Styles Menu on the Home tab. When subsections are added or it becomes necessary to make other changes to section titles,|
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|OK. Ensure that the steps above have been done prior to sending the report for any review. |
1.1 PUBLIC FRIENDLY DESCRIPTION OF PROJECT 2
1.2 PROJECT LOCATION 2
1.3 PROJECT NEED 2
1.4 PURPOSE/OBJECTIVES 3
1.5 DESCRIPTION OF PROPOSED WORK 4
2.1 DESIGN STANDARDS 4
2.2 OTHER DESIGN PARAMETERS 10
2.3 NONSTANDARD/NONCONFORMING FEATURES 11
2.4 SPECIAL TECHNICAL ACTIVITIES REQUIRED 11
2.5 WORKZONE SAFETY AND MOBILITY 11
2.6 ASSET MANAGEMENT 12
2.7 POTENTIAL UTILITY INVOLVEMENT 12
2.8 RIGHT OF WAY 12
3.1 ENVIRONMENTAL CLASSIFICATION 13
3.2 ENVIRONMENTAL DOCUMENTATION 14
3.3 ANTICIPATED PERMITS/CERTIFICATIONS/COORDINATION 15
3.4 NYS SMART GROWTH PUBLIC INFRASTRUCTURE POLICY ACT (SGPIPA) 16
4.1 FUNDING 17
4.2 COST AND SCHEDULE 17
5.1 PUBLIC INVOLVEMENT 19
5.2 SPECIAL CIRCUMSTANCES 20
6.1 LIST OF ATTACHMENTS / APPENDICES 20
(Go to end of this document for instructions on turning on/off GREEN text during document preparation, and for Summary of Changes.)
1.1 PUBLIC FRIENDLY DESCRIPTION OF PROJECT
Include a short paragraph describing the project in layman’s terms.
1.2 PROJECT LOCATION
Include a project map developed utilizing both Arc Map and Snip & Sketch, or similar method. For additional Guidance on Arc Map see ITS-TED GIS Webpage. The minimum mapping information should include (in a text bubble):
A. Route number:
B. Route name:
C. SH (state highway) number and official highway description:
D. CIN (Culvert Identification Number) and feature crossed:
E. City/Village/Township:
F. County:
G. Length:
H. From RM XXXX-XXXX-XXXX to RM XXXX-XXXX-XXXX
I. Any other description information which is pertinent:
J. Federal Aid System: NHS or Non-NHS
K. Functional Class: From Functional Class Viewer
L. Existing AADT: From NYSDOT Pavement Data Report or traffic counts;
M. Trucks (%): From Pavement Data Report Traffic Data Viewer may be useful too.
1.3 PROJECT NEED
Identify and describe transportation needs and/or respective concerns which the proposed action is intended to satisfy (e.g., provide system continuity, alleviate traffic congestion~ and correct safety or roadway deficiencies). In many cases the project need can be adequately explained in one or two paragraphs. In table below, list geometric elements, facility condition, operational and travel service elements and appropriate measures/indicators. See examples below. List condition/acceptability of existing curb ramps for 1R:
|Existing Characteristics of Concern |
|Element |Measure/Indicator |
|CIN |Condition Rating = XX.X |
| |List deficient structural element with rating. |
|Surface Rating |Condition Rating= X, Indicate cracking distress |
|Crashes |XX ACC/MVM, Statewide Average=XX ACC/MVM |
|Bridge/Highway Deficiencies |Required repairs are beyond the capabilities of Department Maintenance forces. |
|Traffic Signal Deficiencies | |
|Curb Ramp/Pedestrian Facility Deficiencies |For 1R: Discuss acceptability of existing curb ramps per the “Critical Elements for the |
| |Design, Layout and Acceptance of Pedestrian Facilities.”. |
| |Other Bike/Ped Projects: As appropriate discuss condition and measures/indicators |
| |triggering need for project. |
|Other Pertinent Measure(s) | |
Project Element(S) To Be Addressed: (check all that may apply; see PDM App. 7 §2.0)
Highway Element-Specific Operational Maintenance
Bridge Element-Specific Where & When
Other: Identify
Priority Results: Mobility & Reliability Safety Security
Economic Competitiveness Environmental Stewardship
1.4 PURPOSE/OBJECTIVES
See Project Development Manual Appendix 4 when establishing project objectives. Project objectives are what the project is meant to accomplish; the desired results of the project; the outcomes of the project that meet the identified needs or remedy stated problems. Therefore, objective(s) will be unique to each project.
Project objectives provide evaluation criteria (measures of effectiveness) for comparing how well alternative solutions fulfill identified needs. Objectives should be listed or grouped in order of importance. When the objectives do not completely satisfy identified needs, an explanation should follow.
A proper statement of project objectives has several characteristics. The statements should include the following:
• Describes the desired results of the project in a manner that is appropriately specific.
• Is consistent with available resources
• Gives time frames for achievement
• Allows achievement to be measured
NOTE: If the proposed project would also assist in accomplishing other objectives not directly identifiable as part of the problem(s), these should be described as well.
Objectives must be specified such that design alternatives can be evaluated against these objectives. Objectives should not define or state specific solution(s) to the problem but should define goal(s) the alternatives are striving to meet. Some examples are listed below.
CHOOSE THE APPROPRIATE OBJECTIVE:
1) Restore the bridge condition rating to ___, or greater, for at least __ years using cost effective techniques to minimize the life cycle cost of maintenance and repair.
2) Improve overall traffic conditions using cost effective methods to reduce delay and to provide an acceptable level of service, for a design period of ___ years.
3) Address geometric deficiencies to improve traffic flow and facilitate traffic operations.
4) Correct identified pavement deficiencies that will extend the useful life of the highway and maintain it in a structurally sound condition using cost effective pavement treatments which provide low life cycle costs.
5) Restore pavement to good condition using cost effective pavement treatments which provide a service life of ___ years.
6) Correct safety deficiencies using cost effective crash reduction measures such that crash reduction benefits equal or exceed project costs attributable to safety work.
7) Improve existing facilities and services using cost effective measures to eliminate the degradation of mainline level of service, and improve level of service or reduce the hours of delay at LOS E for the design year.
On projects where a law, Executive Order or regulation (e.g. ~ Section 4(f), Executive Order 11990 or Executive Order 11988) mandates an evaluation of avoidance alternatives, the explanation of the project objective should be more specific so that avoidance alternatives that do not meet the stated project objective can be readily dismissed.
1.5 DESCRIPTION OF PROPOSED WORK
This section should address how the proposed work will meet the Project Objectives. One Alternative - This section should provide a brief description of the one reasonable alternative and explain how it is the only alternative that meets the project’s objectives. The no-build/maintenance alternative should be considered and discussed briefly; it must be retained for comparison with the other alternatives and discussed in an Appendix. Plans and typical sections should be prepared according to the guidance offered in Highway Design Manual (HDM) Chapter 21.
Alternatives Considered and Rejected - This section should provide a brief description of the alternatives (that are reasonable and most closely meet the objectives) that are or have been considered, supplemented by a presentation style typical section(s). The no-build/maintenance alternative should be considered and discussed briefly; it must be retained for comparison with the other reasonable alternatives being evaluated and discussed in an appendix as appropriate. Profiles should generally not be included in this chapter. Presentation style plans should be included for realignments, interchange reconfigurations and major intersection work.
When there are numerous alternatives, different colors for each alternative may be useful. More in-depth information/data will be provided in an Appendix which will also cover the alternatives that were deemed inReasonable (eliminated from further study).
For projects with a large range of alternatives, the details of alternatives considered and rejected should be included in an appendix and briefly referenced in this section.
For a more in-depth discussion of the design criteria and nonstandard features see Section ___ of this report.
2.1 DESIGN STANDARDS
Maintenance projects that include new or reconstructed pavements (generally limited to culvert replacements, 2R projects) require a table of Critical Design Elements (see Table C) and existing and proposed typical sections. For shared-use paths Table D should be included. Include Table E Other Design Parameters where applicable. Some projects may not require formal design criteria and the appropriate design guidance listed in the table that follows should be noted here and used for design.
The design standards used should be based on the project work type (see HDM Chapter 2, Section 2.2); different standards may apply to different feasible alternatives. The basis for applying the standards to the project should be stated.
Guidance on establishing standards is available in NYSDOT HDM Chapter 2, Chapter 4 or Chapter 7 and the NYSDOT NYSDOT Bridge Manual, Section 2 as applicable. 1R, 2R and 3R (freeway and non-freeway) standards are included in chapter 7 of the HDM.
|Design Standards |
|Project Type |NYSDOT Design Guidance |
|Sign and/or Traffic Signal Upgrading Projects |NYSDOT Highway Design Manual Chapter 11 |
|Drainage System Restoration |NYSDOT Highway Design Manual Chapters 8 & 19 |
|Bicycle and Pedestrian Facilities |NYSDOT Highway Design Manual Chapters 17 & 18 |
|Park-and-Ride Lot Rehabilitation |NYSDOT Highway Design Manual Chapter 24 |
|Rest Area Rehabilitation |NYSDOT Highway Design Manual Chapter 27 |
|1R Projects |NYSDOT Highway Design Manual Chapter 7 |
|Lighting Upgrading Projects |NYSDOT Highway Design Manual Chapter 12 |
|Guide Railing and Median Barrier Upgrading Projects |NYSDOT Highway Design Manual Chapter 10 |
|Critical Design Elements for |
|PIN | |BIN (if applicable) | |
|Functional Class: | (HDM Chapter 2, Exhibit 2-1) |NHS |[pic] |
|Project Type: | (HDM Chapter 2, Section 2.2) |Terrain: | |
|Design Year AADT: | Refer to HDM Chapter 5, Section |Percentage of Trucks: | |
| |5.2.2.3 for the appropriate design | | |
| |year for the project work type. | | |
|Truck Access or Qualifying Highway |Choose the appropriate designation or | | |
|(QH)? |neither | | |
| | | | |
| | | | |
| | | | mph posted | |
| | |HDM Section |Posted speed is distinct from |Enter proposed design speed. |
| | | |design speed but may be noted |Ensure consistency with the RTE|
| | | |here for comparison |design speed recommendation |
| | | | |(Note 1) |
|2 |Lane Width |11 ft | | |
| | |Bridge Manual (BM) Section 2.2.1 and Table 2-1| | |
| | |[OR] HDM Section | | |
| | |For ramps concisely note the R value, Case | | |
| | |I/II/III and Design Traffic Condition, as | | |
| | |applicable, to explain your choice(s) of | | |
| | |Traveled Way Width (HDM Exhibits 2-9a/2-9b). | | |
| | |In addition, specify ramp type such as loop, | | |
| | |direct connection etc. | | |
| |Approach Lane Width |MAKE NO ENTRIES IN THIS CELL; THIS CELL SHOULD| | |
| |Note only for bridge |BE LEFT BLANK |Note existing width measured no| |
| |projects, remove row for | |closer than 100 ft from the | |
| |other project types | |ends of the bridge | |
|3 |Shoulder Width |4 ft | | |
| | |BM Section 2.2.1 Table 2-1, and App. 2A Tables| | |
| | | & [OR] HDM Section | | |
| |Approach Shoulder Width |MAKE NO ENTRIES IN THIS CELL; THIS CELL SHOULD| | |
| |Note only for bridge |BE LEFT BLANK |Note existing width measured no| |
| |projects, remove row for | |closer than 100 ft from the | |
| |other project types | |ends of the bridge | |
|4 |Horizontal Curve Radius |758 ft Min (at emax= ) | | |
| | |HDM Section | |Use HDM Exhibits 2-11 - 2-14a |
| | | | |to determine the appropriate |
| | | | |radius needed based on design |
| | | | |speed and superelevation or |
| | | | |state ”on tangent.” |
|5 |Superelevation |emax = |X% @ emax = |X% @ emax = |
| | |HDM Section Refer to HDM Exhibit 2-1b to | | |
| | |determine emax. | | |
|6 |Stopping Sight Distance |425 ft Min. | | |
| |(Horizontal and Vertical) |HDM Section | | |
|7 |Maximum Grade |7% | | |
| | |HDM Section | | |
|8 |Cross Slope |1.5% Min., 2.5% Max. | | |
| | |HDM Section | | |
|9 |Vertical Clearance |14 ft Min. | | |
| |(above traveled way) |BM Section 2.3.1, Table 2-2 | | |
| | |See Notes to BM Table 2-2 for minimum | | |
| | |clearances at through-truss bridges, | | |
| | |pedestrian bridges and sign structures | | |
|10 |Design Loading Structural |Use Bridge Manual standards for new and | | |
| |Capacity |replacement bridges: |Enter the existing inventory | |
| | |NYSDOT LRFD Specifications |and operating rating | |
| | |AASHTO HL-93 Design Live Load and NYSDOT | | |
| | |Design Permit Vehicle with LRFR 1.2 or higher | | |
| | |BM Sections 1.3 and 1.5 | | |
| | | | | |
| | |Use HDM Chapter 19 standards for new and | | |
| | |replacement culverts: | | |
| | |NYSDOT LRFD Specifications | | |
| | |AASHTO HL-93 Live Load and NYSDOT Design | | |
| | |Permit Vehicle | | |
| | |HDM Section 19.5.3 | | |
|11 |Americans with Disabilities|HDM Chapter 18 |Use one of the following: |Use one or combination of the |
| |Act Compliance3 | | |following as appropriate: |
| | | |No existing pedestrian | |
| | | |facilities |No new proposed pedestrian |
| | | |[OR] |facilities |
| | | |Existing pedestrian facilities |[OR] |
| | | |comply with HDM Chapter 18 |Proposed pedestrian facilities |
| | | |standards |will comply with HDM Chapter 18|
| | | |[OR] |[OR] |
| | | |Facilities will be evaluated in|There are pedestrian facility |
| | | |final design |elements [proposed [OR] to |
| | | | |remain] that cannot be made |
| | | | |compliant and will be justified|
| | | | |as nonstandard4**. |
| | | | |[OR] |
| | | | |If pedestrian facilities are |
| | | | |found to have noncompliant |
| | | | |elements that cannot be made |
| | | | |compliant, they will be |
| | | | |justified as nonstandard.4 |
Notes:
1. The Regional Traffic Engineer has concurred that the proposed Design Speed of mph is consistent with the anticipated off-peak 85th percentile speed and is within the design classification’s range of design speeds for terrain and volume.
2. ** Denotes non-standard feature
3. Refer to Section 2.3.5 for detailed pedestrian facility information.
4. Pedestrian facility nonstandard features to be retained or created will be justified in final design
Use table below when a shared use path is proposed.
|Primary Design Values for Paved Shared-Use Path |
|Element |Standard Value |Source1 |Proposed Value5 |
|Design Speed2 |20 mph |AASHTO | |
|Shared Use Width 3 |10 ft min. |AASHTO | |
|Adjacent Graded Width |2 ft min. width |AASHTO | |
| |1:6 max. cross slope | | |
|Maximum Grade4 |5% max. or match grade of adjacent roadway |AASHTO | |
|Cross Slope |2% max. |HDM Chapter 18 | |
|Horizontal Curvature |74 ft min. |AASHTO | |
|Stopping Sight Distance |195 ft min. |AASHTO | |
|Horizontal Sight Distance |56 ft min. |AASHTO | |
|Crest Vertical Curve |423 ft min. |AASHTO | |
|Horizontal Clearance |2 ft min. |AASHTO | |
|Vertical Clearance |10 ft min. |AASHTO | |
1 2012 AASHTO Guide for the Development of Bicycle Facilities.2. 20 mph is typically used as a general maximum operating speed. A design speed of 18 mph may be used in relatively flat areas (grades less than 2%). However, a higher design speed up to 30 mph may be needed if the path has grades steeper than 5%. A design speed as low as 15 mph may also be used if conditions warrant. Such conditions could include flat topography and where frequent conflicts or constraints exist. It may be necessary to assign different design speeds to different segments of a shared-use path if conditions warrant. A separate Primary Design Values Table should be used for each segment with a different design speed.
3. 10 ft width is the minimum two-way width for typical path use and conditions. AASHTO recommends providing less than 10 ft (8 ft. min.) only when the following conditions exist:
• Bicycle traffic is expected to be low even on peak days or during peak hours;
• Pedestrian use is not expected to be more than occasional;
• There will be adequate horizontal and vertical alignment providing safe, frequent passing and resting opportunities;
• The path will not be subject to maintenance vehicle loadings that would cause pavement edge damage.
4. See AASHTO Guide for the Development of Bicycle Facilities for more information.
5. Where proposed values do not meet or exceed the standard values derived for the project, document the proposed values as non-conforming features in the Design Approval Document.
2.2 OTHER DESIGN PARAMETERS
This section should include the following tabularized information. Other important parameters that warrant specific mention may also be included in this section (e.g., design storm). Any non-conforming features (see next section) should be identified with an asterisk.
|Other Design Parameters |
|Element |Parameter(Standard) |Existing Conditions |Proposed Condition1 |
|Level of Service | | | |
|Drainage Design Storm | | | |
|Freeboard | | | |
|Design Vehicle | | | |
1 ** Denotes non-conforming feature
Note: Level of Service is an Other Design Parameter only for non-interstate projects.
2.3 NONSTANDARD/NONCONFORMING FEATURES
This section should include a listing of all existing non-standard or non-conforming features and any nonstandard or non-conforming features to be retained/ created. A nonstandard feature is created when the established design criteria for a critical design element is not met (HDM 2.8.1). A non-conforming feature is created when design elements other than critical design elements do not comply with normally accepted engineering policy or practice. This section should describe and provide values and support for features that do not comply with normally accepted engineering policy or practice (“non-conforming features”). The degree of explanation for the non-conforming features should be proportionate to the amount of the variations from normal practice. Examples include inadequate length of acceleration, deceleration, climbing and turning lanes, inadequate transitions to horizontal curves, skewed intersections, compound or broken back curves, inadequate intersection corner radii for the design vehicle, no curb offset, less than recommended width for bicyclists, etc. When used, Nonstandard Feature Justification Form (HDM Exhibit 2-15) may be included here or as an attachment (note that nonstandard features for pedestrian facilities must use the Nonstandard Feature Justification Form for Pedestrian Facilities). This form is typically completed in final design and is not required to be attached to the DAD (see ED 15-004 for information).
There nonstandard or nonconforming roadway features within the project limits.
When there is curb ramp or other pedestrian facility work being accomplished use the following statement:
Existing pedestrian facilities within the scope of this project will be evaluated in final design for conformance with the applicable standards in the NYSDOT Critical Elements for the Design, Layout and Acceptance of Pedestrian Facilities found on the NYSDOT Highway Design Manual Chapter 18 webpage. If the work at any facility will not meet the applicable standards, then the procedural requirements identified in ED 15-004 - Design, Construction and Inspection of Pedestrian Facilities in the Public Right of Way will be followed and the facility will be rehabilitated, replaced or justified as nonstandard.
2.4 SPECIAL TECHNICAL ACTIVITIES REQUIRED
Examples include a safety audit, Work Zone Traffic Control (WZTC) schemes, off-site detour routes etc.
2.5 WORKZONE SAFETY AND MOBILITY
The following information is provided to progress the subject project consistent with 23 CFR 630.1012.
The Region has determined that this project significant per 23 CFR 630.1010.
USE FOR SIGNIFICANT PROJECTS:
A Transportation Management Plan (TMP) will be prepared for the project consistent with 23 CFR 630.1012. The TMP will consist of:
• A Temporary Traffic Control (TTC) plan
• A Transportation Operations (TO) component
• A Public Information component (PI)
OR FOR PROJECTS WHICH THE REGION BELIEVES ARE NOT SIGNIFICANT PER 23 CFR 630.1010:
A Transportation Management Plan (TMP) will be prepared for the project consistent with 23 CFR 630.1012. The TMP will consist of a Temporary Traffic Control (TTC) plan. Transportation Operations (TO) and Public Information (PI) components of a TMP will be considered during final design.
2.6 ASSET MANAGEMENT (Optional)
Applies Not Applicable
|Asset Management |
|Asset Management Team |IPP Initiator |Asset Specific |Asset Management Team Specific |
| |(Yes/No) |Cost Share |Cost/Scope/Schedule/Concurrence |
| | |($M) |(Team Chair Signature) |
|Pavement | | | |
|Structures | | | |
|Culverts | | | |
|Operations | | | |
|Environment | | | |
2.7 POTENTIAL UTILITY INVOLVEMENT
Yes NoIf “Yes” is checked, use table below to list overhead and underground utilities within existing ROW and identify owners. Also describe, and identify owners of, any other utilities’ facilities in the vicinity of the project that could be affected by, or have an effect on, the project. Indicate disposition, i.e., are relocations necessary.
|Potential Utility Impacts |
|Owner |Type (Denote OH/UG) |Location |Side |Length (m) |Impact |
| | (UG) | | | | |
2.8 RIGHT OF WAY
Identify approximate existing ROW width. Indicate if acquisitions or releases are required to perform the work and why ROW is needed, for example, temporary easements (TE’s) required at toe of slope for construction access. State if there are any consequences to the proposed ROW acquisition, such as loss of parking, loss of significant trees or vegetation, effect upon wells, septic systems, etc.
All projects, including maintenance projects, require a Right of Way (ROW) Clearance Certificate; obtain it from the Regional Real Estate Officer. Attach it to your PS&E transmittal memo.
FOR PROJECTS WITH NO ADDITIONAL ROW NEEDS:
All proposed work can be accomplished within the existing right of way, therefore, it is anticipated that no right of way acquisitions will be required for the project. The ROW Clearance Certificate will be attached to the PS&E transmittal memo.
3.1 ENVIRONMENTAL CLASSIFICATION
NEPA (National Environmental Policy Act):
This project is being progressed as a NEPA Class II action (Categorical Exclusion).
Choose either:
In accordance with the Federal Highway Administration’s regulations in 23 CFR 771.117(c) this is an action which will not have significant environmental effects and does not normally require additional federal approval regarding NEPA. Specifically this action meets the description in 23 CFR 771.117(c)(#choose appropriate number from regulation) described as “regulatory description [insert description from regulation] ” and meets the constraints listed in 23 CFR 771.117(e) text only added for c(26), c(27) or c(28). This is further detailed in the Federal Environmental Approvals Worksheet (FEAW) included in Appendix X.
OR
Based on the Federal Highway Administration’s regulations, including the constraints listed in 23 CFR 771.117(e), the action is a Categorical Exclusion under 23 CFR 771.117(d). Specifically this action meets the description in 23 CFR 771.117(d)(#choose appropriate number from regulation) described as “regulatory description [insert description from regulation] ”. Categorical Exclusions under 23 CFR 771.117(d), are actions which may be designated as a Categorical Exclusion when documentation is provided that demonstrates that significant environmental effects will not result. To this end, information on those constraints from 23 CFR 771.117(e) that were exceeded is available, along with only include this reference if using d(13)[c(26), c(27), or c(28) that did not meet the constraints] the Federal Environmental Approvals Worksheet (FEAW), in Appendix X.
OR
If the project is 100% State funded, the typical NEPA review process is not applicable. Note that when permits are required from federal agencies or in rare cases where federal funding is used other than FHWA, information will need to be supplied to these agencies to complete their NEPA process. When this is the case use the following statement. This project is 100% State funded and the FHWA’s NEPA policies and procedures found in 23 CFR 771 do not apply.
SEQRA (State Environmental Quality Review Act):
SEQRA applies to both Federal aid projects and 100% State funded projects. Refer to 17 NYCRR Part 15.12 for SEQRA Exempt criteria and Part 15.14 for SEQRA Type II criteria. A project that does not meet the Type II criteria is classified as Non-Type II (EA).
In accordance with 17 NYCRR, Part 15, “Procedures for Implementation of State Environmental Quality Review Act”, the Department has determined that this project is a SEQR Exempt/Type II/Non-Type II Action. Additional information related to how the project meets the SEQR Exempt/Type II criteria is included in Appendix X.
The following Checklist(s) are attached:
Federal Environmental Approvals Worksheet (FEAW)
Complete and attach the Federal Environmental Approvals Worksheet for federally funded projects.
Social, Economic and Environmental Resources Checklist
Use the Social, Economic and Environmental Resources Checklist to determine if there are potential environmental issues that need to be documented in this report.
Attach for all projects except “Where and When” type projects. The checklist is not required for these projects.
Capital Projects Complete Streets Checklist
Only step one on the checklist is completed for 1R, Cyclical Pavement Marking or other maintenance project types listed in the Maintenance Project definition found in the CPCSC. For more information, refer to HDM Chapter 18, Section 18.5.1. For the checklist, refer to
3.2 ENVIRONMENTAL DOCUMENTATION
For topics checked yes on the Social, Economic, and Environmental Resources Checklist or applicable on the FEAW in the appendix, resolution is as follows: Topics that have been checked yes on the Social, Economic and Environmental Resources Checklist should be resolved and summarized in this section (see the Instructions at the end of the checklist) and use appendices for additional documentation and correspondence. For example, Section 106 effect documentation and FHWA sign off, FHWA’s endangered species (ESA) determination, etc.
For "Where & When” type contracts include the statement: “Sites have not been identified for this “Where & When” contract. As sites are identified, they will be screened for any environmental concerns, including necessary agency reviews and/or permits.”
|Comparison of Alternatives |
|Category |Alternatives Evaluated |Alternatives Considered and Dismissed |
| |Null |Reasonable/Preferred |Alt 2 |Alt 3 |
| | |Alternative – Alt. 1 | | |
|Insert applicable environmental|None |xxx (identify unit of |xxx units |xxx units |
|topic(s) | |measurement as appropriate | | |
| | |9acres, linear feet, # of | | |
| | |sites, level of effect or | | |
| | |impact, etc) | | |
|Property impacts |None |10 acres |12.5 acres |20 acres |
| | |6 businesses |8 businesses |8 businesses |
| | |1 residence |2 residences |4 residences |
| | | | |1 relocation |
|Operation at ETC + 20 |15 min delay |4 min delay |3 min delay |1 min. delay |
|20-year Crash Costs |$21M |$2M |$2M |$1M |
|Construction Cost |None |$14M |$15M |$20M |
The above table should be modified to include the items and resources that by comparison help to differentiate the alternatives (including the null/no-build alternative) and aid in conveying the reasons for the selection of the preferred alternative. For environmental topics, this could include issues such as permanent or temporary wetland impacts as expressed in acreage; permanent or temporary stream impacts expressed in both linear feet and acreage; suitable habitat impacted for certain endangered or threatened species (amount in acreage or type -breeding, nesting, foraging etc.); number of National Register eligible or listed sites (or type of effect). All issues that have a bearing on the preferred alternative selection should be included as needed. For example, load rating could be included for a bridge project, air quality for a capacity improvement project, etc.
Proposed Mitigation: If mitigation measures are proposed for the project, briefly state what mitigation is being proposed and/or include a statement referencing the applicable section(s) in the Appendix.Refer to Appendix X for mitigation measures that are proposed for this project.
3.3 ANTICIPATED PERMITS/CERTIFICATIONS/COORDINATION
(Briefly list any anticipated permit(s) and certification(s) as well as the status of any coordination required for the project. Refer to applicable Appendices for additional in-depth information.)
Permits
New York State Department of Environmental Conservation (NYSDEC):
• State Pollutant Discharge Elimination System (SPDES) General Permit
• Article 24- Freshwater Wetlands Permit
• Article 25 Tidal Wetland Permit
• Water Quality Certification
• Mined Land Permit
• Floodplain Variance
• Wild, Scenic, Recreational Rivers Permit
• Construction Staging Permit
• Construction Borrow Area Mining Permit
• Construction Solid Waste Disposal Permit
• Indirect Source Air Quality Permit
• Coastal Zone Erosion Permit
• Coastal Erosion Hazard Permit (Article 34)
United States Coast Guard (Reference Appendix H for the USCG Checklist)
• Section 9 Permit
Army Corps of Engineers (USACE):
• Section 404/ Section 10 Nationwide Permit # (fill in permit # and title. Some of the typical NWPs used for NYSDOT projects are; #3 – Maintenance; #13 - Bank Stabilization; #14 – Linear Transportation Projects; #23 – Approved Categorical Exclusions; #33 – Temporary Construction, Access and Dewatering; #43 – Stormwater Management Facilities.)
• Section 404/Section 10 Individual Permit
• Transportation Regional General Permit TRGP-1
Environmental Protection Agency (EPA)
• National Pollutant Discharge Elimination System (NPDES) General Permit
Adirondack Park Agency (APA)
• APA General Permit
Others
• Local Permits
• Historic or Archaeological Impacts to National Historic Preservation Act (NHPA) Section 106 resources
• Section 1424(e) review by FHWA and EPA (sole source aquifer)
• New York State Department of State (NYSDOS)
o Coastal Zone Consistency Certification Statement
o Coastal Zone Local Waterfront Revitalization Coordination (Reference whether or not there is a Local Waterfront Revitalization Plan.)
Coordination
• NYSDEC pursuant to the “NYSDEC/NYSDOT Memorandum of Understanding Regarding ECL Articles 15 & 24”
• Federal Highway Administration
• New York State Historic Preservation Officer (SHPO)
• US Fish and Wildlife Service
• New York Natural Heritage Program
• Adirondack Park Agency
• Municipality
Certifications
• NYS Department of Labor: Asbestos Variances
• NYSDEC Airport Air Quality Certification (Licensed Designer Specifications/Notes)
3.4 NYS SMART GROWTH PUBLIC INFRASTRUCTURE POLICY ACT (SGPIPA)
To the extent practicable this project has met the relevant criteria as described in ECL § 6-0107. The Smart Growth Screening Tool was used to assess the project’s consistency and alignment with relevant Smart Growth criteria; the tool was completed by the Region’s Planning and Program Management group on insert date and reflects the current project scope. The Screening Tool shell can be found on the NYSDOT Smart Planning webpage.
4.1 FUNDING
Refer to PPMIS software for the initial cost and schedule. During scoping, the designer is to develop costs and a schedule using accepted practices such as an itemized estimate based on bid histories and MS Project. A project schedule (prepared using MS Project) and an Excel cost estimates spreadsheet are to be maintained in ProjectWise. When the desired Letting date is critical, a statement to that affect shall be included in the body of this DAD with an explanation. Similarly, if there is flexibility in the schedule, this must be explained. Schedule qualifiers such as utility involvement, ordering steel for bridges, meeting cultural resource requirements, special local events, and other schedule constraints should also be described.
FUNDING SOURCE: 100% State Federal
MPO INVOLVEMENT: No Yes
TIP Name: Identify TIP No.: Identify
TIP AMENDMENT REQUIRED: No Yes; Needed by:
STIP STATUS: On STIP Not on STIP
4.2 COST AND SCHEDULE
Include the below schedule and cost information as appropriate based on project type
Public Meeting 4(f)/106 FHWA sign-off
Permits Consultant(s) for: Other – Identify e.g., utilities, endangered species (ESA)
|Schedule and Cost |
|Project Phase |Activity Duration |Estimated Cost |Fund Source |Obligation Date |
|Design V-VI | | | | |
|Construction | | | | |
|Construction Inspection | | | | |
| | | |
|TOTAL ESTIMATED COST | | |
BASIS OF ESTIMATE: Indicate if estimate was prepared by lane mile, annual set aside funding capped at $X.XX M, etc.
PROGRAM DISPOSITION/LETTING: Scheduled for letting in SFY 20XX
STATEWIDE SIGNIFICANCE: No Remarks:
Design approval is scheduled for ___ of 20__ with construction scheduled to begin in ____ of 20__and last ___ months.
|Project Schedule |
|Activity |Date Occurred/Tentative |
|Scope Approval | |
|Design Approval | |
|ROW Acquisition | |
|Construction Start | |
|Construction Complete | |
[pic]
In the cost table above, Preliminary Design costs shall be calculated from actual PIN charges at submittal of the Design Approval Document. The Final design costs shall be taken from the resource estimate.
Prepare a Design Resource Estimate per EI 22-029 and place a copy in Appendix I and include the text below:
This project is estimated to require x,xxx design hours to complete with an estimated resource cost of $y,yyy,yyy. For a more detailed estimate of how the design hours are broken down, see the Design Resource Estimate in the attachments.
5.1 PUBLIC INVOLVEMENT
Notifications to public officials, potential stakeholders and emergency responders and schools have been completed. Briefly describe the public involvement activities to date and attach the Public Involvement (PI) Plan; all projects require a PI Plan (PDM 2.2.6). Include how the public will be made aware of the construction activities (see PDM Appendix 2 for potential informational/PI activities).
If the project is expected to have a de minimis Section 4(f) impact finding on a park, recreation area or wildlife/waterfowl refuge, public notice and an opportunity for public review and comment must be provided per 23 CFR 771.111(h)(2)(viii) and 23 CFR 774.5(b)(2)(i). If a public meeting is planned, this may be done as part of the notice for the public meeting. If no meeting is planned, then a notice should be published in a local newspaper with deadline for acceptance of comments (concerning the Section 4(f) de minimis impact finding). For historic resources, this requirement is met by following Section 106 procedures (23 CFR 774.5(b)(1)(iii)). Additional information can be found in the Project Development Manual Appendix 2 - Public Involvement Manual.
Include a description of any major actions proposed by other governmental agencies in the same geographic area as the proposed project.
|Public Involvement Plan Schedule of Milestone Dates |
|Activity |Date Occurred/Tentative |
|Stake holder Meeting | |
|Focus Group Meeting | |
|Meeting with Town Reps. | |
|Meeting with Agency (SHPO/USCG/USACE, etc.) | |
|Include if identified as necessary and if | |
|identified as part of the public involvement | |
|process. | |
|Public Informational Meeting | |
Refer to appendix __ for project correspondence.
5.2 SPECIAL CIRCUMSTANCES (Optional)
(Public sensitivity, political commitment, relationship to other projects, relationship to local comprehensive plan, etc.) Note that for projects using the IPP/FDR, there typically would not be public sensitivity or political involvement. If you find those circumstances exist on your project, use of the PSR/FDR or DDR may be more appropriate. Refer to PDM Exhibit 7-1.
6.1 LIST OF ATTACHMENTS / APPENDICES
Include attachments from PDM Exhibit 7.11. These include plans and typical sections as appropriate; include existing and proposed typical sections where table A and/or B is included.
Summary of Changes
4/14/17-
• Document modified to be applicable for projects with multiple alternatives.
11/6/17
• Cover sheet updated to include logo with new commissioner
• Project Approval Sheet modified for consistency with other shells.
• Table headings removed from tables in section 4 to match rest of tables in the shell
• Minor revision to pedestrian facilities statement to clarify statement refers to existing facilities.
11/16/18
• Branding cover sheet added.
• Project Approval Sheet modified to add CE Determination signature row and local project DA and NSF signature rows.
• Project Cost table updated.
3/6/19:
• Updated DOT Logo on cover sheet
• Project Approval Sheet: Added reference to PDM Exhibit 4-2 in Design Approval signature instructions.
5/28/19:
• Project Approval Sheet: Public Hearing Certification was revised for applicability when public hearing per FHWA regulations is not required.
• Critical Design Elements table was revised to:
o Change the new and replacement bridge standard statement for Design Loading Structural Capacity due to Bridge Manual revision.
o Add statement options for the existing and proposed conditions columns for ADA Compliance.
4/1/20:
• Critical Design Elements table was revised to comply with EB 20-018.
• Table of Contents was added.
7/9/20
• Design Loading Structural Capacity standard for bridge replacement in the Critical Design Elements exhibit was revised to better reference use of the Design Permit Vehicle per Office of Structures comment.
• Links were updated.
11/30/2022
• Changed “Accident” to “Crash. In sections 1.3 and 1.4.”
• Added text for Design Resource Estimate EI 22-029 at the end of section 4.2.
• ETC+30 removed (EB 20-018) .
7/21/2023
• Revised hidden text guidance and moved to the top/front of the report shell.
• Changed Bridge Identification Number (BIN) to Culvert Identification Number (CIN) on the cover page and through the report as applicable.
• Added Transportation Regional General Permit TRGP-1 to 3.3 ANTICIPATED PERMITS/CERTIFICATIONS/COORDINATION
10/3/2023
• Revised Project Cost Table Preliminary/Final Design rows for Design Resource Estimate and added guidance text
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