Scoping (approximately 6 months to 2 years)
When a Capital project is proposed, NYC DOT creates an initial project budget and adds the project to the list of the agency’s Capital needs. Projects are typically prioritized for funding based on a given project’s alignment with the agency’s strategic goals, review Street Design Policy and NYC DOT Design Reviews and Analyses. After a rigorous prioritization process, the project may be funded in the Capital Plan, which is updated three times per year. OMB must approve the addition of the project to NYC DOT’s Capital Plan before work can begin.
NYC DOT begins research into the project location and visits the site with various agency divisions and other stakeholders to discuss the project scope prior to funding the project. After funding, the agency refines the project scope and engages DDC to provide design and construction management services; this process generally takes six months to two years, depending on the project’s size and complexity. Prior to project initiation, NYC DOT works closely with DDC’s Front End Planning unit, as well as other stakeholders, so that the project’s scope, budget, and schedule are achievable and acceptable to all parties. NYC DOT divisions and other relevant agencies compile information that may have some bearing on the project — e.g., traffic analysis, crash data, environmental studies — and about other planned or ongoing work occurring in the project area or nearby.
Among many factors, scoping considers the impacts of climate change, including projected sea level rise, heat island effect, and coastal storm surge. Special attention is given to whether the project is located in a flood-vulnerable area, according to FEMA’s flood risk maps. Capital projects in high flood risk areas may involve many additional resiliency considerations from planting selection and salt tolerance to concrete and asphalt thickness. Project managers should refer to the latest version of New York City’s Climate Resiliency Design Guidelines, which provide more detailed guidance on these topics.
If the project includes non-standard elements, such as distinctive materials or furnishings, OMB reviews and comments on the preliminary project scope and budget.
The project is then transferred to DDC for detailed design and implementation using the Capital Project Initiation form (CPI). The CPI includes:
- Project purpose/justification
- Site plan and conceptual design, if applicable
- Project description
- Cost estimate
- Funding sources summary
- Other relevant reference materials
Design (approximately 1 to 3 years)
DDC usually awards a contract or task order to a consultant to design the project. For less complex projects, DDC may use in-house staff. DDC and the consultant conduct an analysis of existing conditions.
Schematic Geometric Design
The consultant creates a schematic geometric design — a basic design showing curblines and markings — upon which all NYC DOT divisions, as well as other relevant agencies, comment. Changes in Geometry or to the number of moving lanes often require further traffic analysis.
Final Design
Final Design begins the process of creating construction documents. Once DDC and its consultant incorporate all of NYC DOT’s comments on the schematic geometric design, the consultant produces the final design in three stages: 40%, 75%, and 100% completion. DDC circulates each set of drawings to all NYC DOT divisions, relevant public and private stakeholders, and to the relevant Community Boards and elected officials for their review. At 40% and 75% design, NYC DOT collates and transmits its comments to DDC, and the consultant incorporates the comments into the next design phase. DDC holds “alignment” meetings with the private utilities during final design, as necessary, to avoid conflicts with their infrastructure and so that there is minimal disruption to the construction schedule. Reference Reviews by Other Agencies and Utilities.
Acquisition/ULURP as Necessary (approximately 2 years)
Capital projects sometimes require the acquisition of private property (e.g., to build a new street or widen an existing street) and/or Uniform Land Use Review Procedure (ULURP) (e.g., to map a new street or change a street’s mapped width or grade). These processes will generally add two years to a project’s implementation timeline and need to be coordinated with the environmental review process.
Environmental and Design Review
Many teams across NYC DOT and partner agencies participate in the design development and review process. As the project develops, NYC DOT works with relevant oversight entities to complete the required environmental review and related approvals, which informs the decision-making process. Review Reviews by Other Agencies and Utilities and USWR Requirements.
The vast majority of projects NYC DOT undertakes are considered Type II projects under SEQR/CEQR and are thus exempt from local environmental review. They may also fall within one or more Categorical Exclusions (CE) under NEPA, requiring minimal documentation that is approved by the relevant state and federal agencies. However, some NYC DOT projects require additional review in the form of Environmental Assessment (EA)/Environmental Assessment Statement (EAS) and/or Environmental Impact Statements (EIS). An EA (NEPA) or EAS (SEQR/CEQR) can take three to six months to complete whereas an EIS can take two years or more.