EXECUTIVE SUMMARY ES.1

Transcription

1 EXECUTIVE SUMMARY ES.1 Cntents f this Manual...ES-1 ES.2 Purpse...ES-2 ES.3 Can-D Principles...ES-2 ES.4 Other Features f Can-D...ES-6 ES.5 Advantages f Can-D...ES-7 ES.6 Histry...ES-8 ES.7 Implementatin Status f Can-D...ES-9

2 Can-D Reference Manual EXECUTIVE SUMMARY Ntes C an-d is a prcess that streamlines the develpment f Iwa Department f Transprtatin (Iwa DOT) prjects frm cncept t cntract. Nt nly des Can-D enhance the develpment prcess, but it als imprves internal and external cmmunicatin and prduces a better-quality final prduct. Can-D prvides a serius apprach t managing prjects rather than letting prjects manage Iwa DOT. Can-D des what was nce cnsidered undable. The name derives frm a cmmitment t g where n ne has gne befre. As explained in this manual, Can-D prvides a system that: Shaves years ff the prject develpment prcess. Integrates cmpliance with the Natinal Envirnmental Plicy Act (NEPA) and Sectin 404 f the Clean Water Act. Prmtes interagency cperatin. Enables custmer-riented public invlvement. Furthers prject understanding and acceptance. Puts int practice federal plicy fr harmnizing a highway prject with its envirnment thrugh cntext-sensitive design (CSD). ES.1 CONTENTS OF THIS MANUAL This highlights the purpse, principles and ther features, advantages, histry, and current implementatin status f the Can-D prcess. Fr mre specific infrmatin, see the bdy f this manual, which cntains: Chapter 1 an intrductin t Can-D and its rigin Chapter 2 the tasks ( events ) in a typical Can-D prject schedule, which begin with priritizing prjects, frming the PMT, and develping the prject cncept; cntinue thrugh analysis, design, NEPA dcument preparatin, public invlvement, and right-f-way activities; and cnclude with the letting prcess. Chapter 3 guidance fr prject management teams Chapter 4 the basics f cntext-sensitive design Chapter 5 a guide t public invlvement based n Iwa DOT plicy Chapter 6 a guide t public invlvement based n federal surces 1 Chapter 7 the Statewide Implementatin Agreement t integrate NEPA and Sectin 404 prcessing Chapter 8 abbreviatins and shrt frms used in this manual Chapter 9 definitins f terminlgy used in this manual Chapter 10 surces used t prepare this manual Appendix A typical prject develpment schedules in the frm f Gantt charts 1 U.S. Envirnmental Prtectin Agency, U.S. Department f Transprtatin, and Federal Highway Administratin. ES-1

3 Can-D Reference Manual Appendix B prject management team respnsibilities and a meeting agenda in the frm f checklists Appendix C a guide t the envirnmental cncurrence 2 meeting prcess Appendix D FHWA authrizatin f Iwa DOT s value engineering prcedures Appendix E Iwa DOT s public invlvement plan, including attachments with amendments and examples f: An early crdinatin letter and infrmatin packet A prbable class f NEPA actin infrmatin packet A public meeting ntice Public hearing certificatin Ntes ES.2 PURPOSE Can-D serves a threefld purpse: T re-engineer the prject develpment prcess with the gal f reducing develpment time while maintaining the integrity and quality f the prcess. T prmte cperatin between Iwa DOT and the regulatry agencies. T merge cmpliance with NEPA and Sectin 404 f the Clean Water Act as part f the federal streamlining initiative. Can-D was develped fr Type I and sme Type II prjects 3 requiring an envirnmental dcument because these prjects encmpass all facets f the develpment prcess. Althugh prjects that d nt require an envirnmental dcument are nt currently cvered in Can-D, the intent is t have a single develpment prcess fr all prject types. Prjects already under develpment ( pipeline prjects ) and prjects nt requiring an envirnmental dcument are als t take advantage f the enhancements available using Can-D. ES.3 CAN-DO PRINCIPLES Can-D emphasizes flexibility by applying a set f interrelated principles that frm the crnerstne f the Can-D prcess: 1. Multidisciplinary prject management The fcal pint f Can-D is the multidisciplinary prject management team (PMT), which is charged with develping a quality, cnstructible prject n time and within the prgrammed budget. The PMT sets and maintains the prject schedule and identifies prject resurce requirements. The PMT cncept prvides prject management cntinuity frm the planning phase t develpment and int cnstructin. 2 3 Cncurrence means cnfirmatin by the agency that infrmatin t date is adequate t agree that the prject can be advanced t the next stage f prject develpment. A Type I prject is a majr change, a Type II prject is a minr change, and a Type III prject is a repair, replacement, r peratinal imprvement. (See Chapter 9, Glssary, fr definitins.) ES-2

4 Can-D Reference Manual Early in the Can-D develpment schedule, a PMT is frmed fr prjects that are likely t require an envirnmental dcument. PMT membership includes representatives f the Iwa DOT District (District); the Offices f Design, Bridges & Structures, Right-f-Way, and Lcatin & Envirnment; the Federal Highway Administratin (FHWA); and ther internal and external resurces as needed and apprpriate. The nucleus f the PMT remains n the prject frm cncept develpment thrugh prject letting, and lnger if needed during the cnstructin phase. The PMT meets as ften as apprpriate based n prject needs. Members general respnsibilities are: T review the prpsed prject. T prvide insight and expertise at each step f the prcess. T wrk tgether t identify ptential prblems early and develp slutins. T ensure that prject cncerns are adequately addressed. T present answers and slutins frm thers within Iwa DOT t the PMT fr discussin and reslutin. T act as a liaisn t their ffices and areas f specialty. T represent the supprt functins and identify apprpriate times t invlve them. 2. District leadership Can-D mves prject versight t the Districts because they are clsest t the custmer and mst familiar with custmer needs. The Districts ensure that a PMT is established fr all prjects requiring an envirnmental dcument. District staff crdinates the wrk f the PMT under the leadership f the district engineer and ther District staff members as apprpriate during prject develpment. 3. Early prblem identificatin Can-D makes mre cmplete data available at key decisin pints. When a Can-D prject is prgrammed, apprximately 25 t 35 percent f the design wrk is already cmpleted and imprved prject cst estimates are available. By beginning tasks earlier in the schedule, the PMT can base decisins n cmplete, factual, reliable infrmatin, alng with engineering judgment, and can tailr slutins t individual prject needs. The means f early prblem identificatin include: Gathering input frm the public, envirnmental resurce agencies, and ther stakehlders Setting the limits f the envirnmental analysis thrugh the scping 4 prcess Initiating data cllectin, fr example by btaining aerial phtgraphy and perfrming full envirnmental investigatins f all reasnable alternatives Ntes 4 Scping is an early and pen prcess... fr identifying the significant issues related t a prpsed actin (40 C.F.R., ). Scping cnsiders a range f actin(s), alternatives, and ptential impacts as well as Sectin 404 permitting issues t include in the envirnmental review prcess. ES-3

5 Can-D Reference Manual 4. Unifrm, integrated develpment prcess Can-D prvides a seamless prcess frm cncept t letting, with prject data cntinuity alng the entire develpment time line. Parallel planning and design minimize linear sequencing and expedite prject develpment. Cncurrent prcessing by the varius disciplines enables schedule challenges t be managed mre effectively than with the cnventinal end-t-end philsphy. 5. Avidance f envirnmental impacts All f the Can-D principles wrk tward maximum avidance f envirnmental impacts. In an effrt t avid impacts, full envirnmental investigatins f all reasnable alternatives are cmpleted, thugh it is recgnized that sme data may nt be used. The ftprint cleared 5 during envirnmental investigatins is sufficiently wide t minimize rewrk and ensure that ptential brrw areas are included. In cases where envirnmental impacts are unavidable, practive measures can be taken t minimize impacts and a range f mitigatin ptins can be applied as apprpriate. 6. Cntext-sensitive design The CSD apprach t prject planning and develpment fits the radway int the envirnment (that is, the ttal cntext within which the prject is t be built) rather than mdifying the envirnment t fit the radway. CSD is an integral part f effrts by FHWA t advance envirnmental stewardship and streamline implementatin. It is a cllabrative, interdisciplinary apprach that is clsely linked t the ther Can-D principles. The gal is t prvide a transprtatin facility that suits its physical setting and preserves scenic, aesthetic, histric, and envirnmental resurces, while maintaining safety and mbility. 6 The catalyst fr CSD was the 1991 Intermdal Surface Transprtatin Efficiency Act (ISTEA), which emphasized the imprtance f gd design that is sensitive t its surrunding envirnment. 7 Designers are t think beynd the pavement and cnsider the impacts a highway wuld have n the area. The varius prject elements shuld be in harmny with ne anther, resulting in a highway in harmny with its surrundings. Cmmunity input shuld guide develpment s that the prject cncept and design incrprate the cmmunity s resurces, physical characteristics, and sense f place. 7. Practive public invlvement and cnsensus building Underlying Can-D is the cncept f cllabratin and cllective develpment f a prject with bradbased input frm all stakehlders. Public invlvement Iwa DOT sees its primary respnsibility as service t the public and is cmmitted t wrking with the public as partners frm the earliest stages f prject develpment t develp the best prjects pssible. Chapter 5, Guide t Public Invlvement Part I, cites reasns fr invlving the public, including legal requirements. Public invlvement plays a critical rle in the Can-D prcess because transprtatin prjects affect the ecnmic and scial fabric f a cmmunity. Therefre, substantive input is slicited early and cntinuusly in an pen, Ntes As used here, clear means t survey in rder t ensure that there are n encumbrances frm an envirnmental standpint. FHWA, Cntext Sensitive Design/Thinking Beynd the Pavement, FHWA, Flexibility in Highway Design, FHWA-PD ES-4

6 Can-D Reference Manual multifaceted prcess fr cnsideratin during decisin making. Emphasis is placed n building and sustaining relatinships with a brad range f stakehlders. Mre than 100 public invlvement techniques are available. Sme fcus n gathering and exchanging infrmatin; thers are geared tward disseminating infrmatin. Techniques cmmnly used in Iwa are pen frum public hearings and meetings, fcus grups r neighbrhd grups, n-site drp-in centers, media strategies ranging frm flyers and brchures t radi and TV messages, transprtatin fairs with varius exhibits, and citizen surveys. A cmbinatin that wrks well n ne prject may nt be effective n anther. Under District leadership, in crdinatin with the Office f Lcatin & Envirnment Public Hearing Sectin, the PMT can custmize the public invlvement prcess t the individual prject needs. The District Office helps prepare a public invlvement plan (PIP) 8 as a blueprint, and District staff plays a majr rle in its executin. The PIP shuld be unmistakably by and frm Iwa DOT rather than sme third party. The PIP is prepared by identifying the varius grups that make up the public, determining the current prject develpment stage, identifying issues f cncern, defining bjectives, and selecting the mst effective techniques. The public invlvement effrt shuld be evaluated based n the PIP bjectives and feedback frm the public. Refer t Chapter 6, Guide t Public Invlvement Part II, fr an anntated utline fr a PIP. Cnsensus building Thrughut prject develpment, Iwa DOT strives t build cnsensus amng resurce and regulatry agencies as well as with the public. Prvisins fr public and agency participatin and buy-in at all stages help crdinate effrts, minimize changes, and prevent rewrk. Examples are public infrmatin meetings, an early crdinatin letter and a prject infrmatin packet (see Appendix E, Attachment A), envirnmental scping, envirnmental cncurrence meetings (see the fllwing Can-D principle), and distributin f the draft envirnmental dcument fr review and cmments. 8. Merged cmpliance with NEPA and Sectin 404 Requirements Can-D prvides a system fr merging the NEPA and Sectin 404 prcesses. This Can- D principle is based n a Statewide Implementatin Agreement (SIA), reprinted in Chapter 7, by which the relevant federal agencies and Iwa DOT agreed t implement cncurrent NEPA and 404 prcesses fr eligible highway prjects in Iwa. 9 T implement the merged NEPA/404 prcessing, the SIA prvides fr cncurrence pints during prject develpment: Ntes Cncurrence Pint 1 Purpse and Need Cncurrence Pint 2 Alternatives t Be Analyzed Cncurrence Pint 3 Alternatives t Be Carried Frward Cncurrence Pint 4 Preferred Alternative 8 9 A PIP is a prject-specific set f actins designed t enable Iwa DOT t wrk effectively with the cmmunity and the resurce agencies. The purpse is t identify the public s cncerns and use existing guidelines as a framewrk fr gathering meaningful public input t assist in prject decisins. That is, fr thse needing Federal Highway Administratin actin under NEPA and a Department f the Army permit under Sectin 404 f the Clean Water Act. ES-5

7 Can-D Reference Manual At these pints, the transprtatin agency asks the resurce agencies t cnfirm that the infrmatin t date is adequate, cncur that the alternatives t be analyzed are apprpriate t meet the resurce agencies gals, and agree t advance the prject t the next stage f develpment. The purpse is t preclude the rutine revisiting f decisins that have been agreed t earlier in the prcess and encurage early substantive participatin by the agencies (see the SIA in Chapter 7). The cncurrence pints are a vital cmpnent f the merged NEPA/404 prcessing in Can-D. They fster interagency cperatin and prvide fr resurce agency buy-in t prject cncepts and decisins. Tw Gantt charts in Appendix A shw the cncurrence pints in relatin t the time line fr develping Can-D prjects: Figure A-1, Can-D Develpment Schedule EA & Pssible FONSI, fr events assciated with preparatin f an envirnmental assessment (EA) and, if applicable, a finding f n significant impact (FONSI) Figure A-2, Can-D Develpment Schedule EIS & ROD, fr events assciated with preparatin f an envirnmental impact statement (EIS) and a recrd f decisin (ROD) Fr an verview f the NEPA prcess within Can-D prject develpment, see Figure 1-2 in Chapter 1, Intrductin t Can-D. Ntes ES.4 OTHER FEATURES OF CAN-DO Several imprtant features, utlined belw, f Can-D relate t the abve principles. ES.4.1 Cmmissin s Rle The Cmmissin s rle has nt changed with regard t prgramming decisins, except that these decisins have increased significantly in imprtance and, as with ther activities, have shifted t an earlier starting pint. The District, in cnjunctin with the Office f Lcatin & Envirnment, is respnsible fr wrking with the Cmmissin t identify pririty prjects and request spending authrity fr develpment csts prir t prgramming. The divisin directrs and Districts rutinely keep the Cmmissin apprised f prject-specific infrmatin. Figure 1-2, Overview f the Can-D NEPA Prcess, in Chapter 1 indicates the Cmmissin s rle. ES.4.2 Early Acquisitin Can-D shrtens the time frm an acquisitin agent s initial cntact with a landwner t ROW acquisitin by apprximately 2 years. Althugh acquisitin takes less time, Can-D des nt shrten the public invlvement prcess, which begins abut the time the prject cncept is develped. ES.4.3 Single Hearing With the enhanced public invlvement prcess, prjects require nly a single public hearing. When this cmbined lcatin-design hearing is cnducted, abut 25 t 35 percent f a prject is cmplete, and mre details are therefre available than at the traditinal lcatin hearing. ES-6

8 Can-D Reference Manual ES.4.4 Value Engineering Can-D incrprates value engineering (VE), which is a systematic methd f identifying, evaluating, and selecting an alternative in light f bth bjective and subjective parameters assciated with a prject. The PMT initiates and manages the VE prcess as authrized by, and in accrdance with, FHWA s regulatins fr VE. As utlined in the PMT Respnsibility Checklist in Appendix B, the PMT: Ntes Determines the applicability f VE and the apprpriate time t initiate a VE study. Establishes a schedule fr preparing the VE reprt. Assigns a value engineering team. Defines the scpe f the VE study. Ensures that the value engineering team has all apprpriate and relevant prject infrmatin fr its review. Oversees the prcess t keep it within the scpe. Implements the results. ES.4.5 Cst Sme aspects f the Can-D prcess are mre expensive, such as cnducting envirnmental investigatins n multiple alignment ptins r a wider ftprint within a crridr, r flying mre crridrs at a lwer flight level t imprve pht reslutin. The brader picture, hwever, requires cnsideratin f verall value, nt just individual csts. The many advantages f the Can-D prcess, discussed belw, ffset additinal csts during the early activities. ES.5 ADVANTAGES OF CAN-DO Can-D effectively puts int practice the fllwing advantages: Enhanced public and resurce agency invlvement thrugh mre effective cmmunicatin and public access t infrmatin Mre respnsiveness t custmers needs Increased acceptance and wnership by the varius participants thrugh better understanding f the prject Shared gals and visin fr the prject Imprved prject credibility amng plicy makers and the public Timely incrpratin f prperty wner infrmatin and cncerns int the NEPA dcument Minimized rewrk and duplicatin caused by late changes, envirnmental surprises, and plitical changes Mre accurate prject cst estimates and a mre fiscally cnstrained prgram Imprved prject management f the scpe, schedule, and budget Better, mre cmplete data fr cnsideratin at key decisin pints Mre predictable delivery time nce a prject is prgrammed ES-7

9 Can-D Reference Manual Flexible develpment versight Reduced hand-ffs (transfers f respnsibility) Increased accuntability Emphasis n aviding envirnmental impacts Reduced csts fr mitigating envirnmental cnsequences Imprved efficiencies Shrter develpment time (reduced frm slightly ver 11 years t abut 6 years fr a typical 4- t 6-mile prject with an EA/FONSI-level dcument) Ntes ES.6 HISTORY Develpment f the Can-D prcess began early in Iwa DOT and FHWA defined their verall gal: T streamline the prject develpment prcess. A Prcess Develpment Imprvement (PDI) team was established t review and reengineer the develpment prcess between the Cmmissin s apprval and the letting f majr (Type I) prjects. The gal was t reduce develpment time withut cmprmising prcess integrity and quality. During develpment and validatin f the Can-D prcess, the PDI team cnsulted a wide range f internal and external custmers. In Nvember 1997, the team prduced a reprt that utlined the new Can-D prcess. In February 1998, an Implementatin Team was chartered t manage and crdinate the implementatin f 10 recmmendatins frm the PDI team. The recmmendatins were priritized, with the gal f having the Can-D develpment prcess fully peratinal by the end f Iwa DOT ffices were encuraged t lk at ways t imprve the prcess. A prcess imprvement team identified and described tasks fr mnitring prjects develped using Can-D. Anther team recmmended a public invlvement prcess t supprt Can-D prject develpment. Several ther review teams were chartered at ffice levels. Their respnsibility was t study such inter-ffice issues as the level f detail needed fr digital terrain mdels, the cmpatibility f autmatin/cmputer-aided drafting and design (CADD), and the cmplete submittal f design plans. In additin, partnering effrts were undertaken by several Iwa DOT ffices and sectins. The first step in implementing Can-D was t ensure that Type I prjects entering the develpment prcess were using Can-D. Several prjects were identified as apprpriate fr Can-D, and PMTs were established. A majr fcus f the Implementatin Team was t train PMT members regarding their respnsibilities and t btain feedback n hw the Can-D prcess was functining. In December 1998, the Implementatin Team determined that the Can-D prcess was fully peratinal, recgnizing that pprtunities wuld arise t hne the prcess ver time. In January 1999, the Can-D prcess became functinal fr all new prjects requiring an envirnmental dcument. ES-8

10 Can-D Reference Manual In the spring f 1999, listening sessins were held t determine hw well the Can-D prcess was being integrated int prject develpment and hw PMTs were functining. Questins and unreslved issues were addressed, as reprted in Chapter 3, Guidance fr PMTs. Ntes A rerganizatin f Iwa DOT in early 2000 cnslidated essential Can-D functinal respnsibilities within the Districts and the Highway Divisin s Engineering Bureau. ES.7 IMPLEMENTATION STATUS OF CAN-DO When the Can-D prcess became functinal in 1999, pipeline prjects were t take advantage f the enhancements available using Can-D. A July 2002 plicy frmally established the Iwa DOT Highway Divisin s Can-D prcess fr develping highway prjects (see Figure 1-1, Iwa Department f Transprtatin Plicy N ). Can-D is the first step n a jurney t develpment excellence. The Highway Divisin is cmmitted t cntinuing its quality imprvement review f the develpment prcess. ES-9