RDI 07-09 Page 1

REGIONAL DESIGN INSTRUCTION / New York State Department of Transportation
Region One
RDI 07-09 / Enhanced Scoping Process
Approved by:
/s/ James P. Bridges
______
James P. Bridges, Regional Design Engineer / Effective Date:November16, 2007
Expires: November16, 2012
Supersedes: None

Purpose

The primary purpose of this RDI is to supplement designer guidance found in Chapters 2 and 3 of the Department’s Project Development Manual (PDM) pertaining to the development of scope approval documents. The goal is to make these documents and the scoping process more effective by focusing effort on critical issues.

In addition to ensuring the appropriate level of effort is expended during the scoping phase, this RDI is also needed to address several other scoping issues important to the Region but not addressedas part of the PDM guidance regarding project scoping.

Background

The PDMstates that the format of Project Scoping Reports (PSR’s) is intended to follow the design report format, but to provide a substantially different level of detail and analysis. The stated objective “. . . is to have a basic format/framework that works for all projects and

results in an appropriate level of documentation based on the project type/category, to

ensure all relevant issues are considered.” Though the PDM indicates the intent of the PSR format is “. . .not meant to produce a voluminous report. . .”, many PSR’s produced thus far have been more detailed than necessary, have taken longer to produce than desired, and have required significant time and effort by Regional Office Functional Units (ROFU’s) to review. This RDI is necessary to provide additional designer guidance on the appropriate type of scope approval document to be used for various project types/categories and the appropriate level of detail to be included in those documents.

Policy

  1. Scoping by Design Led Inter-Disciplinary Team

In Region 1, scoping is done by a broad based inter-disciplinary team led by the Design Group Project Manager. The team approach facilitates the evaluation of all needs,

identifies critical issues, and develops solutions based on consensus. This has helped

ensure the needs of all Regional Office Functional Units are taken into consideration. Design is committed to continuing this practice and improving the process.

Scoping projects in-houseusing Regional staff is a priority. The project team may

include representatives from Main Office and other Regions who can provide information relevant to a scoping level of analysis and other input into a project’s development.It is essential for the Design Project Manager to always manage and guide project scope

development. Consultant and outside agency involvement in scoping activities is done on a limited basis and under close Department leadership.

  1. Identifying the Need for Outside Assistance

The ability of Design to progress projects into preliminary or final design using Design staff resources will be assessed during the scoping phase. In recognition of the length of time required to secure outside assistance, this needs to be considered at least 6 months prior to Scope Approval soas not to lose time in the project schedule. For projects being scoped in-house, the responsible Design Associate will continually assess future needs and abilities and advise the Regional Design Engineer as soon as the need for outside

assistance is recognized.

  1. Scoping Report Format

The following table specifies the scoping report format to be used for various project types and categories. Customized Region 1 Shells have been created for each project category, except for complex (which will be in accordance with PDM guidance), by

tailoring the content of the outline specified in the PDM. This will help focus design

resources on the issues most important to project development and increase the capability of Design to scope all projects in-house. For all element specific and simple project types a single document (that being either a combined Initial Project Proposal and Final Design Report (IPP-FDR), or Project Scoping Report and Final Design Report (PSR-FDR) as listed below)will be used to secure Scope Approval and Design Approval

simultaneously.

Project Category / Project Type(s) / Scope Approval
Document Format
Element Specific / Crack Sealing, Pavement Marking, Signal Requirements, Where & When, 1R, etc. . . (As listed in the PDM.) / IPP-FDR(No separate Scope Approval document required.)
Simple / Culvert, STAR, 2R, Bridge Rehabilitation, Simple Bridge Replacement (on existing alignment), Intersection Reconstruction / PSR-FDR(Similar format as for moderate projects, but will also serve as the Design Approval document.)
Moderate / 3R, Bridge Replacement, Highway Reconstruction / PSR(Abbreviated version using Chapter 1 / Executive Summary format w/ appropriate attachments. To be followed by a Design Report)
Complex / All projects for which an EIS is thought to be needed / PSR(Full version using Design Report shell, to be followed by a DR/EA or DR/EIS.)
  1. Scoping Report Content

Except for complex project types, the content of Region 1 Scope Approval and combined Scope Approval/Design Approval documents will be in accordance with the latest

version of the applicable report shell located on the Regional server. The shells may be updated periodically, so a new copy must be pulled from the Regional server each time the production of a report is undertaken. Reports produced for other projects must not be used in place of the shell file. See the References section of this document for file

locations. These shells are based on those provided by the Main Office, but have been tailored to better suit Region 1 needs and staff resources. Changes include the

elimination of some suggested content and the addition of topics not addressed by the PDM as part of scoping. Those topics are explained below.

The following requirements apply to all scoping reports prepared for Region 1 projects, regardless of the report format, including complex projects using DQAB’s Design Reportshell:

  1. LA/ES Project Resource Report

A copy of the completed LA/ES Project Resource Report, prepared by the LA/ES section, will be included as an attachment to the scope approval

document.

  1. Public Involvement Plan

A Planned Public Involvement Activities Form will be completed and

included as an attachment to the scope approval document. See the

References section below for the location of this form.

  1. Project Web Site

The need for a project Web site shall be considered and identified on the Planned Public Involvement Activities form. A project Web site may be

established during the scoping phase if deemed appropriate by the PM or

requested by the RDE.

  1. Project Objectives

Project objectives will not be finalized until after the PI steps to be undertaken during scoping are completed.

  1. Project Alternatives

Whenever possible, based on investigation of the topics included in the Scope Approval document, non-feasible alternatives will be identified, explained, and eliminated from further study. Feasibility will be determined on the

definition included in PDM Chapter 3. Reasons for classifying an alternative as non-feasible include; failure to meet project objectives, failure to meet transportation, community, or environmental goals, cannot be accomplished from an engineering perspective (i.e. not buildable), would have significant environmental impacts, cannot be funded, or cannot be accomplished in a timely manner. As stated in the PDM, “. . .to keep the decision making

document readable and a practical size, carrying forward a practical number of feasible alternatives is advisable. . .” If too many feasible alternatives

remain after evaluation the project objectives should be reviewed to ensure they are not too broadly defined.

Alternatives that cannot be eliminated based upon the level of detail provided in the Scoping Report will be carried forward into preliminary design for

further investigation. In order to keep projects on schedule, it is preferable to carry alternatives forward into preliminary design rather than delay Scope Approval in order to obtain more information. Alternatives may be dropped later, during preliminary design, if and when information becomes available that renders those alternatives non-feasible, however, project objectives should be finalized during scoping.

  1. Project Schedule

A copyof the MS Project schedule completed in accordance with the

requirements of RDI 07-03, Project Schedules, will be included as an

attachment to all Scoping Reports. When meeting the desired Let date is critical, a statement to that affect will be included in the body of the report

together with an explanation. Similarly, if there is flexibility in the schedule that will also be explained in the body of the report.

  1. Project Estimate

AProject Cost Estimate completed in accordance with the requirements of RDI 07-11 will be included as an attachment to all scoping reports and

combined Scope Approval / Design Approval documents. The body of the report will include an explanation of the rationale behind the percentage for contingencies included in the estimate and any other pertinent information needed to explain how the estimate was produced.

  1. Project Staffing Plan

A copy of the Project Staffing Plan, completed in accordance with the

requirements of this RDI, shall be included as an attachment to all scoping

reports.

  1. Digital Data Needs

The appropriate level of CADD effort for each project shall be determined in consultation with Regional Construction staff, discussed at the Scoping

Meeting, and documented in the Scoping Meeting Minutes.

  1. Scoping Meeting Minutes

A copy of the Scoping Meeting minutes shall be included as an attachment to all scoping reports.

  1. Design Project Review Summary Report

A copy of the Design Project ReviewMonitoring Report completed in

accordance with RDI 01-05 (or the updated RDI, when issued) is to be

included as an attachment to all scoping reports.

  1. Scoping Meetings

The Preliminary Scoping Information Form will be completed and provided in advance to all Scoping Meeting invitees as an attachment to the Scoping Meeting Memo. The use ofPowerPoint presentations at scoping meetings is a ‘best practice’ and is encouraged.

  1. Project Staffing Plans

A Project Staffing Plan shall be completed by the Project Manager based on all

information available to date. The objectives of the staffing plan are to:

  • clearly identify those individuals directly involved with the project (e.g. PM, Designer, Drafter, etc.),
  • identify contacts from other functional units and/or agencies involved in the project, and
  • identify training and resources required for the effective progression and completion of the project.

It is understood that some information (e.g. resource requirements and personnel) may change or not be identified until after Scope Approval. The Project Staffing Plan is

intended to be a working document that will be updated as new information becomes

available.

A Project Staffing Plan shell file is located on the Regional server as noted in the

References section of this RDI.

An electronic copy of the Project Staffing Plan shall be kept in the project’s ProjectWise folder and named “XXXXXX staffing plan V-num.doc”, where XXXXXX is the 6 digit PIN and V-num is the staffing plan version number. (e.g., “123456_Staffing_Plan_V1.doc”).

  1. Field Reviews

A field review of the project by the Design team (including the PM, project engineer, and lead designer) in advance of the Scoping Meeting is mandatory.

  1. Project Survey and Right-of-Way

Whenever possible, it’s desirable to have both the project survey/mapping and the

existing highway boundary information available prior to the Scoping Meeting. In order to achieve this goal, the PM needs to submit the Project Survey Request Form to the

Regional Land Surveyor (RLS) preferably 18 months, but at least 6 months in advance of that meeting. A meaningful exchange of information between the RLS and the PM prior to the Scoping Meeting is essential because the ROW acquisition process, should takings be needed, may be on the critical path to project delivery. The submission of the Project Survey Request form provides both the PM and the RLS with the opportunity to initiate a dialog. As mentioned in RDI 07-10, ROW Mapping & Real Estate Acquisition Process: “It is essential for the Project Manager to be pro-active when considering the scheduling of real estate activities. Consultation with the Regional Land Surveyor and Regional Real Estate Liaison during the scoping phase will assist with scheduling of ROW

activities. . . “

In accordance with the list of invitees in the Scoping Meeting Memo Shell, the RLS will be invited to all scoping meetings. However, the RLS’s attendance is optional, depending on the expected complexity of the right-of-way involvement (as discussed previously by the PM and RLS). The PMwill ensure the right-of-way recommendations and ROW processing schedule are discussed at the scoping meeting whether or not the RLS is in

attendance. This discussion will be documented in the Scoping Meeting minutes.

Upon receipt of the invitation to the Scoping Meeting, the RLS willcheck on the status of the survey and/or mapping production, and determination of the existing highway

boundary (if the PM has not already inquired) and provide the PM with an updateand revised delivery date and/or the final product(s) prior to the meeting.

Prior to Scope Approval, the PM will notify the RLS promptly about any situation which may affect survey and/or mapping needs, right-of-way needs,or the right-of-way

acquisition schedule. In return, the RLS will promptly revise the proposed schedule for delivery of mapping services and forward to the PM so that the overall project schedule can be updated.

  1. Scope Approval

As per the PDM, Scope Approval authorization is granted to the Regional Director or his/her designee. In Region 1, the Regional Director approves scope with a joint

recommendation from Regional Design Engineer (RDE) and Regional Program and

Project Manager (RPPM). This is to ensure agreement between Regional Design and Regional Planning on scoping issues. Agreement is obtained and confirmed via signature of the Scope Approval Memo, or combined Scope Approval / Design Approval Memo, by both the RDE and RPPM. See the References section below for the name and location of the applicable memo shells.

References:

Document(s) / File Location\Name
Project Survey Request Form / O:\Design\Design Resources\INFO\Shells\Project_Survey_Request.doc
Preliminary Scoping Information Form / O:\Design\Design Resources\INFO\Scoping\Preliminary_Scoping_Information_Form_v2.doc
Scoping meeting memo shell / O:\Design\Design Resources\INFO\Scoping\Scoping_Meeting_Memo_Shell.doc
Scoping meeting minutes shell / O:\Design\Design Resources\INFO\Scoping_Meeting_Minutes_Shell.doc
Project Staffing Plan shell / O:\Design\Design Resources\INFO\Shells\ project_Staffing_Plan_Template.doc
IPP-FDR shells for Element Specific project types / O:\Design\Design Resources\INFO\Scoping\filename(1)
PSR-FDR shells for Simple project types / O:\Design\Design Resources\INFO\Scoping\filename(1)
PSR shells for Moderate project types / O:\Design\Design Resources\INFO\Scoping\filename(1)
PSR shell for complex project types / See DQAB website for Design Report shell
Planned Public Involvement Activities Form / O:\Design\Design Resources\INFO\Shells\Planned_Public_Involvement_Activites.doc
Scope Approval memo shell / O:\Design\Design Resources\INFO\Scoping\SA_Memo_Shell.doc
Combined SA/DA memo shell / O:\Design\Design Resources\INFO\Scoping\Combined_SA-DA_Memo_Shell.doc

(1) File naming convention is consistent with the project types listed in the table included above in Section C, Scoping Report Format. If unsure as to which shell file should be used see the R-1 QA/QC Engineer for further guidance.

Keywords:Scoping, Scope Approval, Project Scoping Report, Project Staffing Plan,

Project Cost Estimate, IPP, PSR, FDR