New York State Department of Transportation



|Transportation | |

|Project Report | |

|Project Scoping | |

|Report | |

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|Month 20xx | |

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|[Project Title/Description (e.g., Route______over________)] | |

|Project Identification Number (PIN): _______ | |

|[Bridge Identification Number (BIN): ________] | |

|[Village/Town/City] of________ | |

|________ County | |

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|[pic] | |

For 100% State funded projects delete the FHWA logo below.

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|Project Approval Sheet |

|Note this sheet is formatted as a table. |

|Milestones |Signatures | |Dates |

|A. IPP Approval: |The project is ready to be added to the Regional Capital Program and project scoping can begin. |

| | |The IPP was approved by       | |      |

| |Regional Director | |

|B. Recommendation for |The project cost and schedule are consistent with the Regional Capital Program. |

|Scope Approval | |

| | |      | |      |

| |Regional Planning & Program Manager | |

| | |      | |      |

| |Regional Design Engineer | |

|C. Scope Approval: |The project cost and schedule are consistent with the Regional Capital Program. |

| | |      | |      |

| |Regional Director | |

| | |      | |      |

| |Name, Regional Program Manager |Date |

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| | |Name, | |Date |

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|Table of Contents |

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|PROJECT APPROVAL SHEET i |

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|PROJECT SCOPE 1 |

|1.1. Introduction 1 |

|1.2. Purpose and Need 1 |

|1.2.1. Where is the Project Located? 1 |

|1.2.2. Why is the Project Needed? 1 |

|1.2.3. What are the Objectives/Purposes of the Project? 1 |

|1.3. What Alternative(s) Are Being Considered? 2 |

|1.4 How will the Alternatives Affect the Environment? 2 |

|1.5. What Are The Costs & Schedules? 3 |

|1.6. Which Alternative is Preferred? 4 |

|1.7. What are the Opportunities for Public Involvement? 4 |

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|List of Attachments |

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|Critical Design Elements |

|Social, Economic and Environmental Resources Checklist |

PROJECT SCOPE

(Go to end of this document for instructions on turning on/off GREEN text during document preparation and for summary of changes)

This report should utilize a brochure style format to briefly discuss the highlights of the project. It shall be limited to 8 pages (including graphics) for moderate projects and 10 pages (including graphics) for complex projects. The intent of the page limitation ensures the executive summary focuses on the project’s critical issues. Also, it can be readily adapted to serve as a meeting brochure and can be readily understood.

1.1. Introduction Include reference to 23 CFR Part 771 if project has or requires a federal action including funding, federal permit or interstate access modification.  17 NYCRR Part 15 applies to all projects for which NYSDOT is the SEQRA Lead Agency.  For projects where NYSDOT is not the SEQRA Lead Agency use “6 NYCRR Part 617.”

This report was prepared in accordance with the NYSDOT Project Development Manual, 17 NYCRR (New York Codes, Rules and Regulations) Part 15, and 23 CFR (Code of Federal Regulations) 771. Transportation needs have been identified (section 1.2), objectives established (1.2.3) to address the needs, and cost-effective alternatives developed (1.3). This project is federally funded 100% State funded.

1 1.2. Purpose and Need

1 1.2.1. Where is the Project Located?

Include a project map developed utilizing both ArcMap and snag-it, or similar method. For additional Guidance on ArcMap see Design Section’s GIS Webpage. The minimum mapping information should include (in a text bubble):

1) Route number

2) Route name

3) SH (state highway) number and official highway description

4) BIN (Bridge Identification Number) and feature crossed

5) City/Village/Township

6) County

7) Length

8) From RM XXXXXXXXXX To RM XXXXXXXXXX

9) Briefly describe existing conditions in terms of the no. and widths of travel lanes, turn lanes, parking lanes and shoulders, general vertical and horizontal alignment, pavement condition, speed limit(s), known geometric deficiencies, type and age of bridge, no. and length of spans, and any other description information which is pertinent.

2

3 1.2.2. Why is the Project Needed?

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.

4 1.2.3. What are the Objectives/Purposes of the Project?

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 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 and ride-ability using cost effective pavement treatments which provide a service life of ___ years.

6) Correct safety deficiencies using cost effective accident reduction measures such that accident 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.

2 1.3. What Alternative(s) Are Being Considered?

Begin the GreenLITES scorecard to remind you of sustainable design choices that may be considered as the project progresses. For information contact the Regional GreenLITES Coordinator.

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. 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 several alternatives, different colors for each alternative may be useful. More in-depth information/data may be included as an attachment, which can also cover the alternatives that were deemed not reasonable (eliminated from further study).

Choice #1:

Refer to Attachment ___ for the design criteria. No nonstandard features are anticipated.

Choice #2:

Refer to Attachment ___ for the design criteria. The following nonstandard features are anticipated with Alternative ___. Justifications for the nonstandard features will be prepared in preliminary design as the alternatives are refined further.

List nonstandard features.

3 1.4 How will the Alternatives Affect the Environment?

|Exhibit 1-1 |

|Environmental Classification Summary |

| |

|NEPA Classification | |BY | | |

|SEQRA Type: | |BY | | |

|Exhibit 1-2 |

|Comparison of Alternatives |

|Category |Alternatives Evaluated |

| |No Build |Preferred |Alt 2 |Alt 3 |

| | |Alt. 1 | | |

|Topics provided below are examples. Add and remove topic rows as necessary for project |

|Environmental Impacts |

|Wetlands |None |2.81 acres |3.08 acres |3.5 acres |

|Cultural Resources (Section |None |2 sites affected |2 sites affected |3 sites affected |

|106) | |No Adverse Effect |Adverse Effect |Adverse Effect |

|Section 4(f) |None |Programmatic Section 4(f) |Individual Section 4(f) |Individual Section 4(f) |

| | |Evaluation for Minor |Evaluation |Evaluation |

| | |Involvement with Historic | | |

| | |Sites | | |

|Endangered/ Threatened Species|None |May Affect, Not Likely to |May Affect, Not Likely to |May Affect, Not Likely to |

| | |Adversely Affect the northern |Adversely Affect the northern|Adversely Affect the |

| | |long eared bat |long eared bat |northern long eared bat |

|Noise |None |4 Residences |4 Residences |2 residences |

|Social Impacts |

|Property/Relocations |None |10 acres |12.5 acres |20 acres |

| | |6 businesses |8 businesses |8 businesses |

| | |1 residence |2 residences |4 residences |

| | | | |1 relocation |

|Mobility (Pedestrian, bicycle,|No Effect |Improved pedestrian and |Increased pedestrian crossing|Reduction in shoulder width |

|transit, etc.) | |bicycle mobility |distances |used by bicyclists. |

|Environmental Justice |No Effect |No disproportionate high and |No disproportionate high and |No disproportionate high and|

| | |adverse effects to minority or|adverse effects to minority |adverse effects on minority |

| | |low-income populations |or low-income populations |or low-income populations |

|General Social Groups |No Effect |Beneficial impacts for |Increased impacts to elderly |Impacts to children’s’ |

|(elderly, disabled, children, | |disabled (new accessible |population (noise impacts, |access to parks and school. |

|transit dependent, etc.) | |sidewalks and crossings) |increased pedestrian crossing| |

| | | |distance) | |

|Crash Costs |High |Low |High | Low |

|Economic and/or Operational Impacts - Examples of issues that might cause economic impacts are temporary detours, reduction in parking, access |

|management that limits movements into businesses, removal of traffic from a roadway, etc. |

|Economic Impacts |No |Modification to vehicular |Slight modification to |No change to vehicular |

| |Effect |access to businesses |vehicular access to |access to businesses |

| | | |businesses | |

|Temporary Detours |No Effect |6 businesses affected for 2 |6 businesses affected for 2 |6 businesses affected for 2 |

| | |months |months |months |

|Reduction of Parking |No Effect |Loss of 3 on-street parking |Loss of 3 on-street spaces |Loss of 3 on-street spaces |

| | |spaces |and loss of off-street |and loss of off-street |

| | | |parking in 2 private lots. |parking in 2 private lots. |

|Operation at ETC If using |15 min delay |4 min delay |3 min delay |1 min. delay |

|this row insure the | | | | |

|appropriate design year is | | | | |

|used. | | | | |

|Utilities |None |Relocation required |Relocation required |Temporary Relocations |

| | |$0.2M |$0.3M |Required |

|Construction Cost |None |$14M |$15M |$20M |

The above table should be modified to include the items that help differentiate between the alternatives (including the no-build/maintenance alternative).   For example, load rating might be a row for a bridge project and tons of air pollutants for a capacity improvement project.  If mitigation measures are proposed for the project, include a brief description of what they are and the cost.

Anticipated Permits/Certifications/Coordination:

(Briefly list along with the status of any anticipated permit(s), certification(s) and coordination required for the project. Refer to attached environmental checklist.)

|Exhibit 1-3 |

|Anticipated Permits/Certifications/Coordination |

|Permits – remove or add rows for those that apply |

|NYS 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): |

|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; ; #33 – Temporary Construction, Access and Dewatering; #43 – Stormwater Management |

|Facilities.) |

|Section 404 Individual Permit |

|Section 10 Permit |

|Environmental Protection Agency (EPA) |

|National Pollutant Discharge Elimination System (NPDES) General Permit |

|Adirondack Park Agency (APA) |

|APA General Permit |

|Others |

|Local Permits |

|Coordination – remove or add rows for those that apply |

|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 |

|National Park Service |

|Adirondack Park Agency |

|Section 1424(e) review by FHWA and EPA (sole source aquifer) |

|Municipality(ies) -       List all that apply |

|Metropolitan Planning Organization - |

|Utility(ies) -      List all that apply including municipal and private utilities that apply |

|Certifications – remove or add rows for those that apply |

|NYS Department of Labor: Asbestos Variances |

|NYSDEC Airport Air Quality Certification (Licensed Designer Specifications/Notes) |

|NYS Department of State Coastal Zone Consistency Certification Statement |

|NYS Department of State Coastal Zone Local Waterfront Revitalization Certification |

4 1.5. What Are the Costs and Schedules?

Refer to PPMIS software for the initial cost and schedule. During scoping, the designer needs to develop costs and a schedule using accepted practices such as an itemized estimate based on bid histories and MS Project.

Choice #1: (no preferred alternative selected)

All reasonable alternatives are under consideration. Refer to Section 1.4 for the costs of the reasonable alternatives. Design Approval is scheduled for ___ of 20__ and Construction is scheduled to last ___ months beginning in ____ of 20__.

|Exhibit 1-4 - Project Schedule |

|Activity |Date Occurred/Tentative |

|Scope Approval |      |

|Design Approval |      |

|ROW Acquisition |      |

|Construction Start |      |

|Construction Complete |      |

Choice #2: (One preferred alternative under $100M)

|Exhibit 1-5 - Cost and Schedule |

|Basis of Estimate | |      |

|Agreements Needed | |      |

|Betterments | |      |

|Project Phase |Date |Estimated Cost |Fund Source |

| | |(millions) | |

|Design Approval |      | |

|ROW Acquisition |      |      | |

|Construction Start |      | |

|Construction Complete |      |      | |

Choice #3: (Required for projects with a total estimated cost of $100 m or more)

|Exhibit 1.5 - Cost and Schedule |

|Basis of Estimate | |      |

|Agreements Needed | |      |

|Betterments | |      |

|Project Phase |

|Activity |Date Occurred/Tentative |

|Initial Environmental Findings |      |

|Field Pre-Scoping Meeting (all groups) |      |

|In-house DOT scoping meeting |      |

|Stakeholder Meeting |      |

|Focus Group Meeting |      |

|Meeting with Town/Village/City Officials |      |

|Meeting with SHPO |      |

|Public Informational Meeting |      |

|Current Project Letting date |      |

Include following statement as necessary:

Refer to attachment __ for project correspondence.

For additional information or to provide comments, please contact:

Name, Project Manager

Please include the six digit Project Identification Number (PIN) XXXX.XX

Questions or comments email: firstname.lastname@dot.

telephone: (XXX) XXX-XXXX

Mailing Address

New York State Department of Transportation

Region 1 Design

328 State Street

Schenectady, New York 12305

Summary of changes:

3/12/10

No headings/subheadings added or deleted. Added “The no-build/maintenance alternative should be considered and discussed briefly” to section 1.3.

9/22/10

Completion of GreenLITES scorecard added to section 1.3.

10/19/10

Description of existing conditions expanded to ensure that pertinent information on existing conditions is included in Section 1.2.1. (9)

9/28/11

Governor’s and Commissioner’s names revised.

11/23/12

Slight revision in section 1.1

01/18/13

Guidance text hidden

Revision to Exhibit 1.4-A

Guidance text added to Section 1.6 and revisions made to example statements

Section title and text modified for Section 1.7

Table of Contents modified

6/29/17

Removed metric conversion sheet

Revised guidance text in Sections 1.1, 1.3 and 1.4.

Guidance on using this shell:

• RED text offers choices; choose one or all paragraphs that apply.

• BLUE text is hyperlinks to web pages.

• GREEN text instructs the writer of action to be taken or informs the writer of important information.

• BLACK text is to be included in the report (after selecting one of the choices and deleting the non-selected choices).

• ALL GREEN text IS TO REMAIN IN THE DOCUMENT AND MAY BE TURNED ON/OFF AS REQUIRED DURING DOCUMENT PREPARATION.

• To turn hidden text on/off in MS Word, on the Home tab, in the Paragraph group, click Show/Hide (¶).

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• To reformat hidden text so that it will be always viewable and print in Word:

1. Highlight the portion you wish to unhide

2. Right-click and select Font…

3. In the Effects section, deselect Hidden

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