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SHORTENING PROJECT DELIVERYINITIATIVE
CLARIFYING THE SCOPE OF PRELIMINARY
DESIGNDate Prepared: 9/28/2010 1
EDC Training Regional SummitTysons Corner, VA October 4th, 2010
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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
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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.
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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.
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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.
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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.
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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).
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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
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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
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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
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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
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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.
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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.
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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).
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What Can We Do Under Existing
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.
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What Can We Do Under Existing
Statutes / Regulations ?
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
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What Can We Do Under Existing
Statutes / Regulations ?
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)
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What Can We Do Under Existing
Statutes / Regulations ?
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.
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What Can We Do Under Existing
Statutes / Regulations ?
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.
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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,
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What Can We Do Under Existing
Statutes / Regulations ?
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
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What Can We Do Under Existing
Statutes / Regulations ?
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.
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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.
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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.
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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.
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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.
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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
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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.
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Preliminary Design Interactive
Example:
Alternatives & Preliminary Design
FloodplainsIndustrial Site
Historic Site
Neighborhood
Route 201
Route 101
Project Limit Project Limit
CommonAlignment
CommonAlignment
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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.
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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
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How Do We Determine What
Activities are Allowed ?
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.
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How Do We Determine What
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;
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How Do We Determine What
Activities are Allowed ?
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.
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How Do We Determine What
Activities are Allowed ?
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.
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How Do We Determine What
Activities are Allowed ?
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.
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How Do We Determine What
Activities are Allowed ?
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.
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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.
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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
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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)
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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
Jon Obenberger: Team Leader Preconstruction Group (HIF) (202) 366-2221
[email protected] Smith: Manager of the Env. Technical Services Team (RC) (720) 963-3210
Michael Harkins: Attorney (HCC) (202) 366-4928
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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
[email protected] [email protected]
Michael Matzke HIF R. Keith Moore - HEPE
(202) 366-4658 (202) 366-0524
[email protected] [email protected]
Preliminary Design Team Members:
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Preliminary Design - Questions
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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?