Preliminary Engineering

Preliminary Engineering (PE)

The Preliminary Engineering phase formally begins when the Interagency Review Committee (IRC) approves and advances the Local Concept Development (LCD) Study to the LPE Phase, and a consultant is selected through the Consultant Selection Process. During PE, you should perform engineering tasks, perform technical environmental studies, conduct public outreach efforts, and obtain necessary approvals of the environmental documentation. Once you complete the necessary steps, the project can advance to Final Design.

Initiate Preliminary Engineering - Kickoff Meeting with Designer

You should hold a kickoff meeting with the Designer to initiate the Preliminary Engineering phase and discuss the project.

Required attendees should be determined by the LPA. This may include representatives from the LPA, Consultant, and NJDOT.

During the kickoff meeting, you should discuss the project location, limits, project purpose and need, and the Preliminary Preferred Alternative with the Designer.

During the kickoff meeting, you should discuss the following engineering requirements with the Designer.

Perform Preliminary Engineering

You should base the tasks you conduct during this phase on the complexity of the Preliminary Preferred Alternative. Your tasks may consist of the following:

Prepare Control Survey Report

  • This report documents the control survey and data required to establish primary and photogrammetry control within the project limits.

Conduct Topographic Survey

  • Conduct topographic survey to document existing field conditions and topographic features.

Prepare Base Maps

Prepare a ROW Report and ROW Impact Plan

  • Describe the proposed ROW acquisitions and easements required for the proposed improvements.
  • Accurately depict all ROW impacts (acquisitions) required for the proposed improvements.

Prepare Initial ROW Estimate

Prepare Project Access Plans and Access Impact Summary (if needed)

  • Identify each driveway within the project limits and any proposed alterations to each property's access.
  • Identify potential impacts to access, parking and/or circulation.

Prepare utility Base Plans

  • Use field survey data to show existing surface and underground utility facilities.

Send a Utility Verification Letter

Conduct Subsurface Utility Engineering (SUE) (if Applicable)

  • Conduct SUE if needed to determine the exact location of underground utilities.

Prepare a Utility Agreement (if Applicable)

  • Prepare a Utility Engineering Construction Agreement (UECA) and send it to utility companies for signature.
  • Conduct SUE in order to determine the exact location of underground utilities.

Prepare Horizontal & Vertical Geometry

  • Lay out the proposed geometric alignment and calculate the horizontal and vertical geometry.
  • Prepare roadway typical sections.
  • Prepare roadway profiles.

Prepare Preliminary Drainage Design

  • Analyze existing drainage system(s).
  • Initiate drainage design to determine the footprint of the proposed stormwater runoff system and determine conflicts with underground utilities.
  • Prepare preliminary drainage design plans.

Determine Traffic Engineering Facility Locations

  • Prepare preliminary traffic signal plans for new or modified traffic signals and identify potential utility conflicts.

Prepare Traffic Detour

  • Confirm if a detour will be needed for traffic control including pedestrians and bicyclists. If the detour plan that was proposed in Local Concept Development needs to be changed, coordinate efforts with outside agencies.

Prepare Structural Design Recommendation (if necessary)

  • Prepare a summary of the structural selection process, recommended structure type, and aesthetic treatments in addition to utility, ROW and environmental impacts.

Prepare Preliminary Roadway Plans

  • The plans include the horizontal and vertical geometry, drainage design, traffic signals, geotechnical design, structural design, access, and Right-of-Way impacts.

Use the NJDOT Geotechnical Data Management System (GDMS) (on-line soil boring data), Engineering Soil Survey Report by Rutgers University, available geologic publications, and asbuilt plans to gather the existing soil conditions. The report should include:

  • Soil-structure interaction related to foundations for structures
  • Stability and anticipated settlement for roadways
  • Major and special geotechnical features required to support roadways and structures
  • Construction concerns
  • Associated risks

Prepare Design Exception Report

  • If Controlling Substandard Design Elements remain as a result of the PE engineering design, prepare a Design Exception Report.
  • Refer to NJDOT Design Exception Manual for further guidance.

Use the Cost Estimating Guideline to guide your method of developing, documenting, reviewing, and updating construction cost estimates throughout the project development process. The cost estimate should:

  • Use a simple inflation factor of 3%
  • Factor in necessary cost drivers and contingencies
  • Document the estimate throughout the project development
    • Item number
    • Item name
  • Be clear about your assumptions
  • Be accurate – cost and scope drive many of the project team’s design decisions
  • Use unit prices from historical bid tabs

Prepare the Preliminary Engineering Report that documents all of the design and environmental efforts conducted during the PE phase.

  • The PE Report should include a summary of all work efforts, the Approved Project Plan, Environmental Document, Final Design Scope Statement, and any technical reports completed during PE.
  • The PE Report Table of Contents can be found here.

Prepare Environmental Documents

The complexity of the project and its surrounding environment will determine the environmental documentation you need.

Environmental Impact Statement (EIS)

  • You will need to prepare an EIS if it is known that the action will have a significant effect on the environment.

Environmental Assessment (EA)

  • You will need to prepare an EA if the significance of the environmental impact is not clear. If the EA finds the project has no significant impact, a Finding of No Significant Impact (FONSI) is issued.

Categorical Exclusions (CEs)

  • You will need to submit for a CE if no significant effect will be made on the environment. The majority of projects fall into this category.

Section 106 requires Federal agencies to take into account the effects of their projects on historic properties. As a recipient of a federal grant you must:

  • Consult with State Historic Preservation Office (SHPO) and Tribal Historic Preservation Offices (THPO)
  • Prepare a Cultural Resources Survey and Report
    • Identify the presence of Historic Properties that are on or eligible for the State or National Register of Historic Places (NRHP). Use LUCY and the LUCY MAP to find Historic Properties in your project area.
      • If an historic property is not listed on or has not previously been determined eligible for the NRHP then, as part of the Section 106 process, it should be evaluated by the Federal agency in consultation with the SHPO and THPO to determine if it meets NRHP eligibility. Steps for determining eligibility.
  • Obtain SHPO Concurrence
    • No Adverse Effect with Conditions or Adverse Effect
      • SHPO reviews the Cultural Resources Survey Report and provides concurrence and may provide recommendations to reduce and/or mitigate impacts.
    • No Resources, No Effect or No Adverse Effect
      • SHPO reviews the Cultural Resources Survey Report and provides concurrence with No Resources, No Effect or No Adverse Effect.

Use the NJDEP Section 106 Flow Chart and NJDEP Section 106 Regulations Flow Chart to guide your process.

The agency with jurisdiction over historic sites, recreation land, parkland, or wildlife and waterfowl refuges must provide written concurrence with the proposed project and anticipated impacts and mitigation. Common types of Section 4(f) evaluations are discussed below.

  • Prepare Individual Section 4(f) Evaluations
    • Prepare a Draft Individual Section 4(f) Evaluation to document the proposed project impacts, including temporary occupancy if applicable, to historic sites, recreation land, parkland, or wildlife and waterfowl refuges.
  • Prepare De Minimis Section 4(f) Evaluation
    • Document the proposed project’s de minimis impacts to historic sites, recreation land, parkland, or wildlife and waterfowl refuges.
      • For publicly owned public parks, recreation areas, and wildlife and waterfowl refuges, a de minimis impact is one that will not adversely affect the activities, features, or attributes of Section 4(f) property.
      • For historic sites, a de minimis impact means that the Federal Highway Administration (FHWA) has determined (in accordance with 36 CFR Part 800, regulations implementing Section 106 of the National Historic Preservation Act (NHPA)) that either no historic site is affected by the project or that the project will have "no adverse effect" on the historic site.
      • A de minimis impact determination does not require an analysis of feasible and prudent avoidance alternatives.

Further information related to Section 4(f) properties can be found here.

The New Jersey Department of Environmental Protection (NJDEP) Green Acres Program was created to protect environmentally sensitive open space throughout NJ. If a project impacts a Green Acres-encumbered property, approval from the State House Commission is required. Please click here for more information on the NJDEP Green Acres Program.

If Green Acres-encumbered properties are impacted by your project, the following tasks are required:

  • Inform the NJDEP Green Acres Program in writing regarding the project's anticipated impacts and mitigation.
  • Hold a Pre-Application Meeting with the Green Acres Program to discuss anticipated impacts, proposed mitigation, and application requirements.
  • Begin negotiations with the Green Acres Program to provide compensation for the proposed impacts to Green Acres-encumbered properties.
  • Study the surface and groundwater quality, upland forests, soils, wetlands, water bodies including aquatic species and habitats, floodplains and flooding, terrestrial species and habitats, and threatened and endangered species.
  • Conduct air/noise quality studies if needed.
  • Conduct a socio-economic study using the Community Profile developed during LCD and the Field Visit Checklist located in the Socioeconomic Guidance Manual.
  • Conduct a hazardous waste study if project involves sites with known or suspected contamination, underground storage tanks, or other hazardous waste. Visit NJDEP's Electronic Report Finder for more information.
  • Identify Environmental Permits.
    • Determine involvement with State/Federal permitting agencies. Environmental permit applications will be completed during the Final Design phase.
  • Stakeholder Coordination
    • Coordinate with project stakeholders.
  • Public Information
    • Select the communication methods that are best for your community.
      • Create a project website.
      • Post about the project on your municipal website.
      • Post about the project on your social media.
      • Post about the project on your public access channel.
      • List a phone number/email address for people to give feedback.
      • Visit Sustainable Jersey's Public Information and Engagement page for ideas for reaching your residents.
    • If necessary, hold a public meeting that is accessible to persons with disabilities.

Additional engineering activities may be necessary to modify the alignment to minimize adverse effects. An agreement must be reached between FHWA and SHPO.

Schedule pre-application meetings with necessary permitting agencies.

<     Local Concept Development   Final Design >