The purpose of the Preliminary Design Submission (PDS) is to provide the Department with reasonable assurance that the design of the project is proceeding in a reasonable manner and that the designer has considered all areas that can have a major impact on the design of the project. The intent of this document is to serve as a guide to the designer to provide direction when preparing the PDS for the Department’s review and approval. This is not intended to be a checklist of submission requirements, but rather an example of the types of issues the designer needs to consider and address to create a clear understanding of the scope of the project. It is not necessary or desirable for the PDS to include all of the material listed in this document.
The PDS should essentially include all of the information that has been compiled for approval of the Environmental Document as well as any additional engineering work that has been advanced in support of or in conjunction with the Environmental Document. These guidelines list the different types of information that may need to be included in the PDS in order for the Department to adequately understand the unique design parameters and impacts of the project as well as the designer’s proposed solutions to address these conditions. The PDS should include only those items that are necessary to clearly indicate the designer’s intent or have critical impacts on the project’s design.
The content of the PDS is project specific and will vary from project to project depending upon the design issues involved. The designer, the Project Manager and the FHWA Area Engineer shall meet and review the information that the designer has developed in order to obtain approval of the environmental document. This review will determine the final content of the Preliminary Design Submission.
The review and approval of the PDS indicates that the Department and the designer have agreed to the conceptual design. This will allow the designer to proceed with the final design of the project. The next formal submission will be the Final Design Submission; however, it is the designer’s responsibility to maintain an open dialog with the Department throughout the design process. Continuous communication and coordination is essential between the designer, the Project Manager, and all Department Subject Matter Experts. Review, input and approvals will need to be solicited from the Department’s Subject Matter Experts as the design progresses. A list of Subject Matter Experts and their contact information is included in Appendix A of this document.
Feasibility Assessment Report Submission (FA) – Recommendation on project feasibility by the Division of Project Development and the Project Manager with supporting documentation.
Full Oversight – A project is a full oversight project when it receives any federal funding and requires complete review and approval responsibilities by FHWA.
Interim Submission – A report or a design submittal of a specific activity or activities, or portion of an activity, as defined by the Project Delivery Process Network and the Design Activity Manual. The Interim Submission will not be included in the Preliminary or the Final Design Submission. The Interim Submission will be determined via the Interactive Communication Procedure, and documented within the project’s Design Communications Report.
Preliminary Design Submission (PDS) – Includes the project scope, all engineering and environmental work that has been developed to date for the project, plans, text submission, construction schedule, Engineer’s estimate, the quality checklist and the Design Communications Report.
Final Design Submission (FDS) – Includes all plans, specifications, design calculations, quantities calculations, Engineer’s estimates (construction costs estimate), permits pertaining to the project, construction schedule, the quality checklist and the Design Communications Report.
Designer’s Plans, Specifications, and Estimates (DPS&E) – The DPS&E is when the designer is preparing the contract plans, preparing the final specifications, and final estimate, for submission to the PM preceding the advertising of the project.
Plan, Specifications & Estimate Submission (PS&E) – The last submission of all plans, specifications, design calculations, quantity calculations, and engineer’s estimates, incorporating all comments resulting from review of the Final Design Submission and from interactive
communications.
Quality Checklist – The quality checklist is an electronic file with a list of design items which the designer must check off to indicate if the items are in compliance with current practices and policies. The quality checklist is one component of quality management and is used to assure that the quality functions are integrated into the Design Process. Justification must be given for all items not in compliance with current practices and policies. The checklist is a mandatory requirement of the Preliminary and Final Design Submissions.
Design Communications Report (DCR) – The Design Communications Report (DCR) is a
collection of all communication and agreements / resolutions of design elements made during Interactive Communications for a particular project. The DCR is a mandatory requirement of the Preliminary Design, Final Design and Pre-PS&E Submissions.
Text Submission – A part of the preliminary design submission, that consists primarily of text. The text submission explains how conclusions were reached.
Environmental Impact Statement (EIS) – An EIS is an environmental document that is needed if there will be significant environmental impact resulting from the construction of a project.
Categorical Exclusion (CE) – A CE is an environmental document that is needed if there will be only minor or no environmental impact from a project.
Environmental Assessment (EA) – An EA is frequently done to determine if an EIS or CE document should be prepared.
The PDS consists of a Plan Submission, PDS Text Submission, a PDS Quality Checklist and Designer’s Certification, a Preliminary Construction Cost Estimate, and the Design Communications Report (DCR).
Plan Submissions - The content of the plan submission will vary depending upon the unique aspects of each project. The Project Manager and the Designer shall determine the amount of detail that is required for their project’s PDS. This determination shall be based upon the plans that were developed in order to support the approval of the environmental document for the project, as well as any other plan sheets that have been developed that may clarify the Designer’s intent.
PDS Plan Submissions may include some or all of the following, depending on the amount of detail that is required, as determined by the PM and the Designer.
• Key Sheet
• Preliminary Roadway Plans (Typical Sections, Construction Plans, Profile Sheets, Tie Sheets, Grade Sheets, Cross Section Sheets)
• Preliminary Structural Plans
• Preliminary ROW Plans
• Preliminary Signing and Signal Plans
• Preliminary Staging / Traffic Control Plans
• Preliminary Lighting Plans
• Preliminary Drainage and Soil Erosion and Sediment Control Plans
• ITS Facilities Layout Plan
• Preliminary Access Cut – Outs
• Preliminary Jurisdictional Limit Plans
2. A completed PDS Quality Checklist and the Designer Certification shall be included.
3. A current copy of the Design Communications Report (DCR) documenting all interactive communications, agreements, and resolutions in the Preliminary Design stage shall be included in the PDS Submission.
4. A Preliminary Construction Cost Estimate using AASHTO TRNS*PORT CES in accordance with Construction Cost Estimating Guidelines shall be included.
5. A PDS Text Submission shall be included.
PDS Text Submission Requirements
Project Description
The Designer shall provide a detailed project description. It documents the following:
• Scope Statement
• Purpose and Need / Feasibility Assessment / Environmental Documentation
• Project Deliverables
• Preliminary Project Schedule and Milestones, for construction
• Preliminary Project Budget, for construction
• A list of design standards used
Public/Community Involvement
The designer should list all known stakeholders and report how they were engaged as well as list all known and anticipated public/community impacts and commitments in both the temporary construction and final constructed configuration of the project. The designer should discuss his approach in addressing all public/ community impacts and opportunities associated with the project.
EIS & EA Projects
The designer shall provide a summary of the EIS or EA document including the Project Need and Project Description.
CE Projects
The designer shall insert the approved CE Environmental Document without attachments.
Environmental Impacts & Commitments
The designer should address all known and anticipated environmental impacts and commitments in both the temporary construction and final constructed configuration of the project. The designer should discuss his approach in addressing all environmental impacts of the project.
The designer shall list the applicable design criteria for the specific project. An example of typical information is listed below:
Roadway Design CriteriaFunctional Classification | Urban or Rural Reference: (Highway Functional Classification – FHWA – March 1989) |
Highway Classification | Interstate, Principal Arterial, Minor Arterial, Collector Roads, etc. (See Section 2-02 NJDOT Design Manual 2001) |
Design Speed | Reference: (AASHTO Policy on Geometric Design of Highways and Streets 2004; also see Section 2-03.3 of the NJDOT Roadway Design Manual 2001) |
Design Vehicle | Reference: (Table 2-2 of the NJDOT Roadway Design Manual) |
Construction Year | Design Year | |
---|---|---|
ADT |
ADT |
|
AADT |
AADT |
|
DHV |
DHV |
|
Directional Distribution | Directional Distribution |
|
Percentage of Trucks |
||
Level of Service |
Level of Service |
Design Loading | |
Operational Importance Factor * | 1.05 - 1.0 |
Seismic Bridge Classification | |
Vessel Impact Classification | |
Under Clearances | |
Current and Future Traffic Volumes | ||
Percentage of Light and Heavy trucks | ||
18-Kip Load Equivalency Factors | ||
Life Cycle and User Delay Costs | ||
Directional and Lane Distribution Factors |
Construction Specifications
Standard ____________ years
Standard Input ____________
Metric _______ English_________
Geometrics
The designer should describe all geometric design issues for the project that are not addressed by the plan submission. Any outstanding or anticipated issues or impacts should be listed and the designer should clearly define the approach to addressing these items.
Pavement Design
The designer should discuss the pavement design considerations for the project. These considerations should be listed by roadway section and consider life cycle cost analysis. The designer shall identify all design issues and describe the approach in addressing these issues in the design phase of the project.
Pavement Design Considerations may include:
Structural Design
The designer shall discuss the structural and geotechnical recommendations developed to date for the project. These recommendations should be listed by structure and include both the structural and geotechnical elements for each structure. The designer shall identify all design issues and describe the approach in addressing these issues in the design phase of the project.
Below is a partial list of items a designer may need to address in this section.
Structural Design Recommendations may include:
The following activities may be required for development of the Preliminary Engineering Structural Design submission:
Survey Parameters
The designer should include a narrative summary of the survey report without tables and attachments. In addition, the designer should address all other known or anticipated survey issues. The following is a partial list of issues that may need to be addressed.
Intelligent Transportation Systems (ITS)
Depending on the project scope and complexity, it may be necessary to define and/or develop the ITS requirements.The designer should describe the ITS needs for the project, including locations of each ITS device, and the proposed methods of operation and integration of each device and system. The designer should identify and describe all ITS design issues for the project. All outstanding or anticipated design/ operational issues or impacts should be listed and the designer shall clearly define the approach to addressing these items in design. All design work related to the ITS needs that is required to be performed under other activities (i.e., Traffic Signal & Safety Engineering, Utility & Railroad Engineering, Survey, ROW Engineering, Structural Design, etc.) should be identified and addressed under the appropriate activities.
The major tasks to be performed by the designer include:
Landscape and Urban Design
The designer should discuss proposed Landscape and Context Sensitive Design enhancements for the project. Below is a partial list of items that may need to be addressed.
Additionally, based on input from the NJDOT Landscape and Urban Design Unit and the NJDOT project manager, the designer should include a recommendation as to whether the landscape architecture work will be performed by the NJDOT Landscape and Urban Design Unit or a landscape architectural design consultant.
Access Design
The designer should review all existing driveways within the project limits to determine if they are in conformance with the applicable requirements of the Access Code. The designer will provide a recommendation for each non-conforming driveway as to whether the Department should consider granting a waiver with supporting documentation or propose an adjustment, modification or revocation of access.
Hydrology & Hydraulics
The designer should discuss the drainage plan to collect stormwater runoff from the roadway surface, right of way, and tributary off-site areas, convey it along and through the right of way and discharge it to an adequate receiving area without causing adverse on- or off-site impacts. The design must strive to maintain compatibility and minimize interference with existing drainage patterns, control flooding of the roadway surface for design flood events, and minimize environmental impacts from highway related stormwater runoff. Consideration should also be given to avoid deep cuts and utilities whenever possible. Examples of items/issues that may need to be addressed are listed below:
Design Exceptions
The designer shall list and describe the proposed design exceptions for the project. This shall include a discussion of all substandard elements being improved to meet design standards by this project. The designer shall also discuss and provide solid, logical reasoning for not improving substandard elements in this project. Included in this discussion must be an accident analysis and diagrams and any proposed mitigative measures for any remaining substandard elements included in this project.
The design exceptions must be submitted for approval at the time of the PDS submission.
For projects with full FHWA oversight, design exceptions must be approved by FHWA.
Maintainability
The designer should describe all of the known or anticipated maintenance issues for the project as well as his approach to addressing each of these items including:
Utility and Railroad Engineering
The NJDOT Procedures Manual Section 10 Utilities describes the Utility Process, which is to be followed for Utility and Railroad design.
The designer should ensure that the following Utility and Railroad related milestones have been addressed. In addition, any outstanding utility issues on the project should be described along with the designer’s approach to addressing each.
Right-Of-Way Impacts
The designer should discuss all Right of Way issues pertaining to the project particularly those which may invoke a lengthy acquisition or condemnation process. The designer should discuss possible alternatives that could avoid or reduce impact to sensitive parcels as well as opportunities for scenic acquisitions and reforestation.
Jurisdiction
The designer should include the status of Jurisdictional Agreements as well as a description of any outstanding or anticipated Jurisdictional issues along with the designer’s approach in addressing these issues including maintenance of Streetscape Projects, special features and Context Sensitive Design Elements.
Bicycle/Pedestrian Impacts
The designer should describe all bicycle and pedestrian issues, impacts and commitments related to the project and the approach in addressing these items.
Constructibility
The designer should discuss the issues that affect the construction of the project. The designer should identify all constructibility issues expected to be encountered and describe the recommended methods or schemes to address these issues when developing the design of the project.
The following is a partial list of items a designer may need to address in this section:
Construction Cost Estimate
The Construction Cost Estimate will be prepared in accordance with the Construction Cost Estimating Guidelines. The designer will utilize the most current forms that are available. The manual is updated each year in the month of August.
Construction Schedule
The designer should develop a Preliminary Progress Schedule and Narrative using the Capital Program Management Construction Scheduling Standard Coding and Procedures for Designers and Contractors Manual as a guide.
The project schedule shall provide a duration range based on past project history vs. construction cost and should address all known construction elements proposed for development by the design. It should factor in all elements contained in the Preliminary Design Submission and also reflect other influences such as multi-year funding, public commitments, high Road User Costs and minimization of construction seasons. The designer should also include a preferred start date and the reasons for choosing it, (ie. Complete construction in one construction season or beginning stage cannot be started due to winter or permit conditions, etc.)
Proposed Bidding Method
The designer should discuss the issues that affect the need to accelerate a project’s construction schedule and recommend one of the four bidding methods defined in the Capital Program Management Construction Scheduling Standard Coding and Procedures for Designers and Contractors Manual if acceleration of the project is desirable.
The designer should indicate the reasons for the method selected and shall take into account such things as high road user costs, seasonal requirements, community and business impacts, emergency serviceability or safety factors, user delays etc. The designer should also address the ROW, Utility, Environmental and funding needs required to execute the method.
Specifications
The designer should include the following if the information has been developed:
The descriptions must be sufficient to justify the appropriateness or applicability of the non-standard or unique work instead of the current standards. It is not required to provide detailed plans and specifications with the justification, however, the justification must clearly detail why a comparable standard item and/or standard specification can not be used. The description should also address any potential maintenance issues with that non-standard work. The designer should determine if similarly proposed work is currently under review and development to issue a standard, and whether that is applicable for use on the project.
Materials
The Designers shall discuss the use of any non-standard materials or products, especially specialty concrete mixes and related testing requirements. Additionally, Designers need to consider if materials meet the Buy American requirements.
New Technologies and Products (NTP)
The designer, utilizing the guidelines set forth in CAN 55R and Section T above, should discuss his evaluation and selection of new technologies and products to be used including a list of Non-standard items that will require development of a new specification.
The selection of non-standard items can be obtained by one of two methods:
Others (as needed, per the Designer and Project Manager)
Issues not covered under previous subheadings will be discussed through Interactive Communications, and documented in the Design Communications Report.
The content of the plan submission will vary depending upon the unique aspects of each project. The listing below includes all of the types of plans that may warrant inclusion in the PDS, as well as detailed listings of what may be included on each type of sheet. The Project Manager, the Quality Assurance Team Leader, and the designer shall review the listing in order to determine which type of plan sheets are required and the amount of detail that is required on each sheet. This determination shall be based upon the plans that were developed in order to support the approval of the environmental document for the project as well as any other plan sheets that have been developed that may clarify the designer’s intent.
Preliminary RoadwayPreliminary Structures
Preliminary plans for all structures may include, but are not limited to:
Preliminary Signing & Signal Plans
Prepare preliminary Striping and Signing plans in accordance with NJDOT Sample Plans.
Prepare Signal Plans in accordance with Section 16 of the NJDOT Procedures Manual
Preliminary Staging/Traffic Control Plans
Prepare preliminary Traffic Control Plans and Staging plans in accordance with NJDOT Design Manual - Roadway, Section 14, “ Guidelines for Traffic Control Plans and Details” and Sample Plans.
Preliminary Lighting Design Plans
The preliminary plans shall be completed in accordance with Section 16.3 and 16.5 of the NJDOT Procedures manual. A sample lighting plan sheet E-1, is available as part of the NJDOT sample plans.
Preliminary Drainage and Soil Erosion & Sediment Control (SE & SC) Design Plan
The Drainage and SE & SC plans shall be completed in accordance with the New Jersey Department of Transportation Procedures Manual and Sample Plans and should include at least the following information:
ITS Facilities Layout Plan
Prepare ITS Facilities Layout” plans at 100 scale if required for the project.
Preliminary Access Cut-outs
In coordination with the “Access Design” portion of the PDS (Letter H in the Design Elements section under Text Submission), the designer is responsible for preparing individual access cutouts for each driveway impacted by the State highway project. The individual access cutouts will be prepared in accordance with the “Office of Access Design, Designer Requirements for Revocations, Modifications, and Adjustments of Access.” The designer will prepare 2 copies of draft cutouts for review.
Preliminary Jurisdictional Limit Maps