New York State Department of Transportation



PROJECT DEVELOPMENT MANUAL

Appendix 10

NYS Thruway Authority/Canal Corporation (NYSTA/CC) Projects

December 2004

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APPENDIX 10

NYS Thruway Authority/Canal Corporation (NYSTA/CC) Projects

Contents Page

1.0 INTRODUCTION1

1.1 PURPOSE 1

1.2 DEFINITION OF THRUWAY 1

1.3 DEFINITION OF CANAL SYSTEM 2

2.0 Project Types 3

3.0 Process for projects administered by nysta/cc 3

3.1 Design Guidance and Standards 3

3.2 Approvals 4

3.3 SEQR 4

3.4 NEPA 4

3.5 Projects for which FHWA is the Grantor of Design Approval. 5

3.5.1 Estimated Construction Cost ≥ 1M and Project Impacts the State System 5

3.5.2 Other Projects, See TEA-21 Matrix, Exhibit 10-1. 5

3.6 Projects for Which NYSTA/CC is the Grantor of Design 6

Approval. See TEA-21 Matrix, Exhibit 10-1. 6

3.6.1 Estimated Construction Cost ≥ 1M and Project Impacts the State System 6

3.6.2 Other Projects See TEA-21 Matrix, Exhibit 10-1. 6

3.7 SPECIAL PROJECTS INVOLVING BOTH THE NYSTA/CC AND NYSDOT 6

LLIST OF EXHIBITS

Exhibit Title Page

10-1 TEA-21 Design Related Approval Matrix 10-7

10-2 NYSTA/CC – NYSDOT Design Report review Checklist 10-8

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1.0 INTRODUCTION

1.1 PURPOSE

The primary purpose of this appendix is to identify the roles and responsibilities of the New York State Department of Transportation and the New York State Thruway Authority/Canal Corporation for processing projects administered by the NYSTA/CC. The appendix presents a framework that promotes maximum delegation, shared responsibilities, flexibility and encourages coordination between the Department and NYSTA/CC while recognizing their respective roles in processing NYSTA/CC administered projects.

1.2 DEFINITION OF THRUWAY

The New York State Thruway (Thruway) is part of the state highway system and is under the jurisdiction of the New York State Thruway Authority as defined by Article 2, Title 9 of the Public Authorities Law. In general, the Thruway includes:

• The Mainline Section – Interstate 87 from the Major Deegan Expressway in New York City, northerly to Thruway Interchange No. 24 (Albany) in the Town of Guilderland, Albany County.

• The Mainline Section – Interstate 90 from Thruway Interchange No. 24 (Albany) westerly to the Pennsylvania State Line.

• The New England Section – Interstate 95 from the Bruckner Expressway and Pelham Cross Road in New York City northeasterly to the Connecticut State Line.

• The Garden State Parkway Connection - from Thruway Mainline Interchange No. 14-A southerly to the Garden State Parkway at the New Jersey State Line.

• The Berkshire Section - from Thruway Mainline Interchange 21-A in the Town of Coeymans, Albany County, easterly to Interchange B-1 (I-90 Exit 12) in the Town of Schodack, Rensselaer County.

• The Berkshire Section – Interstate 90 from Thruway Interchange B1 (I-90 Exit 12) in the Town of Schodack, Rensselaer County to the Massachusetts Turnpike at the Massachusetts State Line.

• The Niagara Section – Interstate 190 from Thruway Mainline Interchange No. 53 in the Town of Cheektowaga, Erie County, north-westerly to the Robert Moses Parkway in the City of Niagara Falls, Niagara County.

• Cross Westchester Expressway – Interstate 287 from the Thruway Mainline Interchange No. 8 in the Town of Greenburgh, Westchester County, easterly to Interchange NE-21 on the New England Section (I-95) in the City of Rye, Westchester County.

• The NYSDOT and the NYSTA entered into an Agreement dated March 1, 1991 where Interstate 287 as defined in the previous paragraph was transferred to the NYSTA. The NYSTA shall operate and maintain I-287 with the exception that capital projects shall remain the responsibility of the NYSDOT, as described in the March 1, 1991 Agreement.

• Interstate 84 – from the Pennsylvania State Line at Port Jervis to the Connecticut border east of Brewster, except for the portion of the highway connection between the interchange (Interchange 10) with the easternmost state highway on the west shore of the Hudson River (currently designated state touring route 9W) and the interchange (Interchange 11) with the most westerly state highway on the east shore of the Hudson River (currently designated state touring route 9D) which is subject to the jurisdiction of the New York State Bridge Authority.

• The NYSDOT and the NYSTA entered into an Agreement dated March 19, 1992 where Interstate 84 as defined in the previous paragraph was transferred to the NYSTA. The NYSTA shall operate and maintain Interstate 84 with the exception that capital projects shall remain the responsibility of the NYSDOT as described in the March 19, 1992 Agreement.

1.3 DEFINITION OF CANAL SYSTEM

The New York State Canal Corporation (Canal) is part of the state transportation system and is under the jurisdiction of the New York State Thruway Authority as defined by Article 2, Title 9 of the Public Authorities Law. In general, the Canal includes:

• Erie Canal - The portion of the Canal System connecting the Hudson River at Waterford with the Niagara River at Tonawanda.

• Oswego Canal - The portion of the Canal System connecting the Erie Canal at Three Rivers with Lake Ontario at Oswego.

• Champlain Canal - The portion of the Canal System connecting the easterly end of the Erie Canal at Waterford with Lake Champlain at Whitehall.

• Cayuga-Seneca Canals - The portions of the Canal System connecting the Erie Canal at a point near Montezuma with Cayuga and Seneca Lakes and through Cayuga Lake and Cayuga inlet to the southerly side of State Street in the City of Ithaca and through Seneca Lake with Montour Falls.

• Canalway Trail – A system of multi-use trails paralleling the New York State Canal System. A five-year plan to complete the 348-mile Erie Canalway Trail, which will link the Hudson River and Lake Erie, is in progress.

• Canal Reservoirs & Feeder System - The Champlain summit level is supplied with water from the Hudson River via the Glens Falls Feeder Canal. The Rome summit level is supplied, from the north, with water from Delta and Hinckley Reservoirs via the Mohawk River and Nine Mile Creek. Ten smaller reservoirs are located upstream of Delta Reservoir supplying water via the Forestport Feeder which is part of the old Black River Canal system. The Rome summit level is supplied, from the south, with water from ten reservoirs via Butternut, Limestone, Chittenango and Oriskany Creeks.

2.0 Project Types

Projects are typically placed in one of four (4) categories as follows:

1. Projects administered by NYSTA/CC to construct, reconstruct or maintain Thruway and/or Canal facilities.

2. Projects administered by NYSTA/CC to construct, reconstruct or maintain Thruway and/or Canal facilities and/or Departmental facilities adjoining the Thruway and Canal Systems.

3. Projects administered by the Department to construct, reconstruct or maintain Thruway/Canal facilities and/or Departmental facilities adjoining the Thruway System (This type of project is covered by the PDM Chapters 1-4. Coordination of planning, design and review with the NYSTA/CC and other agencies is integrated into NYSDOT process).

4. Special Projects, see Section 3.7.

3.0 Process for projects administered by nysta/cc

3.1 Design Guidance and Standards

All projects shall be progressed in accordance with the following design guidance and standards as applicable:

• NYSDOT Project Development Manual(PDM)

• NYSDOT Environmental Procedure Manual(EPM)

• NYSDOT Highway Design Manual(HDM)

• AASHTO A Policy On Geometric Design

• NYSDOT Bridge Manual

• American Railway Engineering Association Manual of Railway Engineering

• NYSTA Structures Design Manual

• AASHTO Guide for the Development for Bicycle Facilities

All project work on NYSTA/CC facilities shall conform to the standards, practices and policies of the NYSTA/CC.

3.2 Approvals

Non-standard feature approval, design approval, and PS&E approval shall be progressed in accordance with the modified TEA-21 matrix shown in Exhibit 10-1.

3 SEQR

NYSTA/CC shall typically be the lead agency responsible for review, compliance and determinations under SEQR.

Both NYSDOT and NYSTA/CC shall coordinate with each other on all SEQR reviews on projects that involve both agencies. The goal is to make SEQR determinations that both the NYSTA/CC and NYSDOT support. Each agency will be required to make a Record of Decision/Findings Statement on projects that require an EIS.

3.4 NEPA

• FHWA is the Lead NEPA agency for Thruway projects.

• NYSTA shall be responsible for producing the necessary documentation to satisfy NEPA and FHWA.

• NYSDOT shall facilitate FHWA reviews and action per Table 10-1.

• The Army Corps of Engineers or other Federal Agencies may be the Lead NEPA agency for Canal projects.

3.5 Projects for which FHWA is the Grantor of Design Approval.

See TEA-21 Matrix, Exhibit 10-1.

3.5.1 Estimated Construction Cost ≥ 1M and Project Impacts the State System

• The NYSTA/CC shall prepare a project action summary with the NYSDOT Regional Office that defines the scope, schedule, preliminary costs, jurisdictional limits and other pertinent information for the project. The project action summary shall be co-signed by the NYSDOT Regional Office.

• NYSDOT Design Quality Assurance Bureau – Regional Liaison Section (DQAB-RLS) will be the Liaison with FHWA and MO Functional Units.

• NYSTA/CC shall be responsible for Quality Control and detailed checking of project documentation, design, and plans.

• The NYSTA/CC Director of Engineering Services shall sign requests to the FHWA for approval of non-standard features, NEPA determination, and design approval. These requests shall be forwarded to NYSDOT-DQAB for submission to the FHWA. The following paragraph shall be incorporated in each request:

"All requirements requisite to these actions and approvals have been met, independent quality control reviews have been accomplished, and the work is consistent with established standards, policies, regulations and procedures, except as otherwise noted and explained in this letter.”

• DQAB-RLS will perform a basic review based on the checklist shown as Exhibit 10-2. It is recommended that NYSTA/CC complete the checklist and attach it to the request for action memo. This will speed the process and facilitate DQAB-RLS review.

• DQAB-RLS will coordinate reviews with other MO Functional Units as appropriate.

• NYSTA/CC shall coordinate all work with the appropriate Regional Office and keep DQAB-RLS informed of progress. Regional office concurrence is required before final submission to FHWA for approval.

• The appropriate NYSDOT Regional Office shall be copied on all correspondence between the NYSTA/CC and the DQAB.

3.5.2 Other Projects, See TEA-21 Matrix, Exhibit 10-1.

• NYSTA/CC shall coordinate project activities, as appropriate, directly with FHWA, the ACOE or other Federal agencies as appropriate.

• NYSTA/CC shall be responsible for satisfying NEPA and obtaining NEPA determination, Non-Standard Feature approval, and Design Approval directly from FHWA as applicable per TEA-21 Matrix, Exhibit 10-1.

• NYSTA/CC shall be responsible for Quality Control and detailed checking of project documentation, design, and plans.

• NYSTA/CC shall keep the appropriate Regional Office informed and coordinate with Region as appropriate.

3.6 Projects for Which NYSTA/CC is the Grantor of Design Approval, See TEA-21 Matrix, Exhibit 10-1.

3.6.1 Estimated Construction Cost ≥ 1M and Project Impacts the State System

• The NYSTA/CC shall prepare a project action summary with the NYSDOT Regional Office that defines the scope, schedule, preliminary costs, jurisdictional limits and other pertinent information for the project. The project action summary shall be co-signed by the NYSDOT Regional Office.

• NYSTA shall be responsible for satisfying NEPA and obtaining environmental NEPA determination directly from FHWA, ACOE when required per TEA-21 Matrix, Exhibit 10-1.

• NYSTA/CC shall be responsible for Quality Control and detailed checking of project documentation, design, and plans.

• NYSTA/CC shall coordinate all work with the appropriate NYSDOT Regional Office.

• The NYSTA/CC Director of Engineering Services shall approve non-standard features on the Thruway System. For NYSDOT facilities, the NYSDOT Deputy Chief Engineer shall approve non-standard features for NHS projects and the NYSDOT Regional Director shall approve non-standard features for non-NHS projects, see exhibit 10-1.

• The NYSTA/CC Director of Engineering Services shall be responsible for granting design approval upon recommendation from the NYSDOT Deputy Chief Engineer for NHS projects and the NYSDOT Regional Director for non-NHS projects, see exhibit 10-1.

2. Other Projects See TEA-21 Matrix, Exhibit 10-1.

• NYSTA/CC shall be responsible for satisfying NEPA and obtaining NEPA determination, Non-Standard Feature approval, and Design Approval directly from FHWA, ACOE or other Federal agencies as applicable per TEA-21 Matrix, Exhibit 10-1.

• NYSTA/CC shall be responsible for Quality Control and detailed checking of project documentation, design, and plans.

• NYSTA/CC shall keep the appropriate NYSDOT Regional Office informed and coordinate with Region as appropriate.

• The NYSTA/CC Director of Engineering Services shall be responsible for granting design approval.

3.7 SPECIAL PROJECTS INVOLVING BOTH THE NYSTA/CC AND NYSDOT

For Legislated and other Special Projects involving the NYSTA/CC and NYSDOT that require additional understandings, a Memorandum of Understanding (MOU) shall be prepared that identifies the roles and responsibilities of the respective agencies. This MOU shall address lead agencies, approval of non-standard features, design approval, funding and other responsibilities.

|Funding 1 |Highway System |Non-Standard|Environmental |Design Approval Request Memo 5 |P.S. & E. |

| |Project Type 2 |Feature |Determination | |and |

| |Estimated Construction Cost 3 |Approval | | |Amendment |

| | | | | |Approval |

| | | |

|RD – NYSDOT Regional Director |ROD - Record of Decision |DQAB-RLS - Design Quality Assurance – Regional Liaison Section |

KEY TO ABBREVIATIONS:

FOOTNOTES

1. Projects funded in any part by federal funds earmarked for ITS projects shall follow the procedures for the Interstate NHS - Highway & Major Interchange Reconstruction, New Construction, New & Replacement Bridge projects >$1 M.

2. A description of the project work types is provided in Appendix 5, Section 2.0.

3. For projects on more than one system, please contact DQAB-RLS for guidance.

4. NEPA only applies when federal action is required (e.g. Federal funding, design approval for access modification and/or a granting of a permit from a federal agency). The NEPA Class II determinations are made using the FHWA approved NEPA Assessment Checklist in Section 2.2 of the Environmental Procedures Manual.

5. For select projects the Environmental Determination and the Design Approval actions will be combined (see Sections 4.4 & 4.5 - Procedural Steps). See Appendix 3 for example Environmental Determination / Design Approval Request Memos.

6. The Director of Engineering Services, NYSTA /CC shall approve non-standard features on the Thruway System and the NYSDOT Regional Director shall approve non-standard features pertaining to Departmental facilities.

7. The NYSTA/CC Director of Engineering Services shall be responsible for granting design approval upon recommendation from the NYSDOT Regional Director.

8. The NYSTA/CC Director of Engineering Services shall be responsible for granting design approval upon recommendation from the NYSDOT Deputy Chief Engineer.

9. Director of Engineering Services, NYSTA /CC shall approve non-standard features on the Thruway System and the NYSDOT Deputy Chief Engineer shall approve non-standard features pertaining to Departmental facilities.

NYSTA/CC-NYSDOT Design Report Review Checklist

Exhibit 10-2

|PIN: |      |Dates: |      |Reviewed by: |      |

|Project Description: |      |Design Approval Grantor:|      |

|Functional Class |      |Requested Action: |      |

|For Design Criteria: | | | |

|NEPA |Clas|Class III |Class I |

|Class:|s II| | |

|1 | |Report content is in accordance with the PDM | |

| | | |      |

|2 | |Location maps with project location/limits included | |

| | | |      |

|3 | |Design speed reflective of anticipated off-peak 85th% speed per | |

| | |Highway Design Manual (HDM) Ch. 2, 4, or 7? |      |

|4 | |Design criteria established using the proper standards per HDM | |

| | |Chapters 2, 4, or 7? |      |

|5 | |Capacity of each feasible alternative analyzed per HDM (5.2 using a | |

| | |design year per DPM Appendix K? |      |

|6 | |Non-Standard Features to be created, worsened, or retained are | |

| | |identified? |      |

| | |Non-Standard Features are justified in accordance with HDM (2.8 or the| |

| | |3R Standards? Correlation of retained non-standard features to safety |      |

| | |concerns is discussed? | |

|7 | |Accident analysis performed using HDM (5.3 (using current data or data| |

| | |representative of current conditions)? |      |

| | |Accident mitigation measures considered and either incorporated or an | |

| | |explanation provided? |      |

|8 | |Prerequisites to environmental determinations are complete? (Check all| |

| | |appropriate boxes below) |      |

| | |NEPA Assessment Checklist included for Federal aid, NEPA Class II | |

| | |projects? |      |

| | |FHWA Sign-off, 36 CFR Part 800 (Fed-Aid w/ Cultural Resources) and | |

| | |SHPO effect determination? |      |

| | |Environmental studies complete (Ref. DPM Appendix A)? | |

| | | |      |

| | |Environmental permits identified and in process (Ref. Environmental | |

| | |Commitments and Obligations Package)? |      |

| | |Public Hearing/opportunity offered (if applicable) and hearing | |

| | |certification included per 23 USC (128? |      |

|9 | |Are plans, profiles and sections for highway, bridge, and detours | |

| | |included per DPM Appendix B, (9.0? |      |

|10 | |Transmittal Memo matches the information contained in the Report, | |

| | |other attachments... |      |

|11 | |For Design Approval requests, has environmental determination been | |

| | |made? |      |

|12 | |      | |

| | | |      |

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