Section 3: Planning and Preliminary Engineering Considerations
Planning and Programming
Coordination with Local Entities:
Local
public agency or entity agreements with city and county agencies
or a metropolitan planning organization (MPO) may often be developed
prior to the ISA for off-system or enhancement projects. These agreements
typically require local entities to be responsible for the remediation
of any identified hazardous material concerns. These agreements should
also delegate responsibilities for performing and funding site assessments,
additional investigation, permits, site closure, preventive action,
waste management, monitoring during construction and post-construction
monitoring.The potential liability and estimated costs for additional
testing and analysis, site closure and/or waste management may create
a need for additional approvals and/or funding from the local entity or
MPO. If site assessments identify known or possible hazardous material
contamination, then additional and continued coordination will be
necessary between the district and the appropriate local entity.
Project Scheduling: Site assessments, investigations, coordination,
and handling of hazardous material contamination can increase the
amount of time required to complete environmental documentation,
environmental clearances, right-of-way acquisition, and the plans,
specifications and estimates (PS&E). Additional time may be
needed to cost effectively handle hazardous material contamination,
during either the right-of-way acquisition process or construction.
Prior to development of transportation plans and project programming,
FHWA Interim Guidance
strongly advises
consulting
with regulatory agencies and reviewing regulatory lists of known hazardous
waste sites scheduled for cleanup. Whenever possible, known or possible
hazardous material contamination should be considered prior to project
scheduling. Involvement with hazardous material contamination should
also be considered when developing or changing funding and letting
schedules. Planning and programming staff should be advised of potential
concerns and warned that project scheduling might be affected. Scheduling
consideration guidance is available at TxDOT’s Environmental Compliance
Toolkits website.Comprehensive Development Agreements
For Comprehensive Development Agreements (CDA), such as Design/Build
projects, the hazardous materials process will be dictated by the
contract terms. The developer’s and TxDOT’s responsibilities with
regards to the identification and management of potential hazardous
materials sites will be specifically addressed in the contract.
The hazardous materials process can vary between CDAs, therefore,
it is important to read the contract terms to fully understand the
process and the entities’ responsibilities.
Disclosure and Right of Entry
Disclosure of the purposes of site assessments and investigations
for hazardous material contamination should be incorporated into
right-of-entry agreements. Any right-of-entry agreements required
by the property owner other than the approved TxDOT form agreements should
be reviewed by TxDOT’s General Counsel Division.
Due to potential hazardous materials liability and enforcement
actions, right of entry may be denied or difficult to obtain from
property owners. Under the Texas Public Information Act, any TxDOT information,
assessment, file or environmental document must be available as
a public record unless a related lawsuit is pending. Information
may also be discussed with regulatory agencies during the early
stages of project development. Therefore, confidentiality regarding
any contamination found during site assessments and investigations
cannot be guaranteed or implied. Other options to address property
owner confidentiality concerns include allowing the property owner
to review draft reports or oral reports prior to the preparation
of final reports, and separating recommendations from the assessment,
or investigation report findings. These alternate options should
be considered on a case-by-case basis.
If a property owner denies access, then portions of the site
assessments and investigations may have to be postponed until right
of entry can be obtained in later stages of project development
during the right-of-way negotiation, acquisition or eminent domain
process.
Early Coordination with Property Owners/Regulatory Agencies
As stated in
, further investigation and/or coordination
may be necessary to confirm the presence or absence of contamination
and to determine the extent and severity, appropriate methodology,
and preliminary costs of corrective or preventive action. Sites under
investigation, corrective action, enforcement, permit plans and/or
closure plans regulated by either EPA or TCEQ will require early
coordination to determine site status, obtain approval for intrusive
sampling and analysis plans, and determine design considerations
that might be needed during construction. Coordination may occur
with both the applicable regulatory agency(s) and the responsible
property owner or operator of the site.
When appropriate, assistance from appropriate state and federal
regulatory agencies should be sought to minimize involvement. Requests
for assistance or coordination with federal, state and local agencies
to assess the degree of contamination, scope of treatment and disposal
measures should also be considered, initiated and documented during
advanced planning and subsequent stages of project development.
Coordination with regulatory agencies, property owners or local agencies
may take place concurrently with project development.
Preliminary Design and Feasibility Studies
Early project planning should include conducting ISAs prior
to or in conjunction with the preliminary design and feasibility
study stages of project development. The potential for encountering
hazardous material contamination should be considered and incorporated
into the following:
- Design concept
- Preliminary design schematics
- Preliminary route location, feasibility and investment studies
- Preliminary right-of-way requirements
- Preliminary utility requirements
- Preliminary hydraulic or storm sewer design
- Preliminary cost estimates.
Preliminary Design Concept Conference
:
The information gathered from site assessments and investigations
should be discussed in design concept conference meetings for the
project. The Preliminary Design Concept Conference (PDCC) form,
developed by the TxDOT Task Force on Design Concepts, contains a
section to include pertinent hazardous material information. Districts should
contact the Design Division (DES) for more information about the
PDCC form.Environmental Permits, Issues, and Commitments Sheets:
An
Environmental Permits, Issues and Commitments (EPIC) Sheet was developed
to communicate information that should be considered in the PS&E.
The EPIC sheet contains a section to include pertinent hazardous
material information. Known, unresolved hazardous materials issues
are also tracked in ENV division’s Environmental Compliance Oversight
System (ECOS) through the use of Issues, Identifications, and Resolution
(IIR) forms and assigned tracking tasks.Preliminary Design Schematics and Right-of-Way Maps:
If
not avoided, hazardous material contamination concerns will need
to be further addressed during later stages of project development.
Copies of the preliminary schematics should include references to
known or suspected hazardous material contamination or regulated
sites. Additional surveying of known or possible hazardous material
contamination concerns can be incorporated with either the preliminary
schematic or right-of-way maps. Whether surveyed or hand-drawn,
examples of possible concerns to note on preliminary schematics
or maps include, but are not limited to, monitoring or exploration
wells, contaminated fill, underground storage tanks, fill pipes,
pump islands and above-ground storage tanks.Alternative Analysis and Selection
U.S. Department of Transportation (USDOT) and EPA initiatives
encouraging redevelopment of brownfields will likely support transportation-related
brownfield redevelopment and may result in increased involvement
with hazardous materials during construction. Due to the added costs
and liability risks associated with hazardous materials involvement,
known or possible hazardous material concerns should be integrated
into the project coordination, alignment alternative, corridor/route
selection and decision-making processes. The financial impact on
transportation funds or budgets should be considered in the alternative
analysis.
Experience and understanding of procedures in right-of-way
negotiation and acquisition, property management as well as, design
and construction will be required in the decision-making process. Consideration
of other environmental issues, health and safety concerns, design
feasibility, liability and costs must also be part of the decision
to either avoid, minimize the involvement (redesign) or properly
handle the concern prior to or during construction. Preliminary
or required commitments should be identified or outlined during
advanced planning and the project decision-making process. As appropriate,
affected parties, local entities, and affected district functional
areas must agree to commitments for further investigation, regulatory
agency coordination, approvals and permits, corrective action and
site closure as well as, preventive action and/or waste management.
Appropriate investigation levels for ISAs of each alternative
should be comparable. In alternative analysis, known or possible
hazardous material sites should be compared qualitatively rather
than quantitatively. A comparison of the total number of regulated
or registered sites for each alternative is not sufficient, because
the costs and requirements for one type of regulated site or contamination problem
cannot be compared directly with those of a different type of regulated
site or contamination problem. However, similar sites with the same
types of contamination, priority and status, with similar project
involvement, could be compared.
As stated in the
, a decision must be made as to whether
the costs and delays of contamination involvement warrant the selection
of an alternate route. Additional factors such as other environmental
issues and right-of-way, utility, construction and maintenance costs
should be considered. For example, engineering design and utility
considerations are associated with constructing and maintaining
a roadway built on a landfill. Those considerations include increased
construction and maintenance costs due to possible bridge structures,
post-closure requirements, health and safety monitoring, methane
collection and monitoring, leachate filtration/monitoring systems
and settling. Other factors include liability issues and responsibilities for
possible groundwater contamination. The feasibility of avoiding
the landfill entirely, minimizing involvement with minor alignment
changes or constructing a bridge over the landfill requires evaluation
of the costs and benefits.
Project Development Considerations
Geotechnical Soil Borings/Soil Core Hole Drilling
Considerations:
If hazardous material contamination is
suspected, then any required soil core hole drilling for pavement,
retaining walls, bridges and other structures can be combined with
required environmental sampling and analysis to minimize costs.Additional provisions or contingency language may be needed
in the scope of services or proposals for geotechnical soil boring/soil
core hole contracts on a project-specific basis if contaminated
soil and/or groundwater might be encountered. For example, special
considerations for health and safety monitoring, personal protective
equipment, proper handling and disposal of soil cuttings, alternative
drilling techniques to prevent migration and plugging may be required
for soil core hole drilling.
Right-of-Way Considerations:
Regardless
of the potential for encountering contamination during construction,
special considerations for hazardous material concerns during the
right-of-way negotiation and acquisition process may be necessary.
Regulatory agency and property owner coordination may still be required,
depending upon the regulatory status of a site. For example, plugging
of groundwater monitoring or exploration wells may be required by
applicable regulations. Other concerns can include asbestos, underground
storage tank removal, permit status notifications, and site closure.Land use restrictions or post-closure care requirements may
be recorded in the deeds of parcels to be acquired. Corrective action
cases may need to be re-opened for sites or facilities due to proposed land
use changes. The terminology and requirements for corrective action
cases differ from those of a risk-based assessment for a facility
according to the federal or state regulatory status. For example,
requirements for a permitted landfill will differ from those for
a petroleum storage tank facility. Additional information on asbestos-containing
materials, petroleum storage tanks, leaking petroleum storage tank
facilities and other permitted or regulated sites is provided in
Chapter 3, “Right of Way.”
Utility or Pipeline Agreement and Adjustment Considerations:
Abandoned
utilities or pipe-lines containing crude oil, polychlorinated biphenyls
(PCB) or asbestos-containing materials (ACM) may have to be removed
during construction. TxDOT utility installation notices, joint use and
standard utility agreements typically include general statements
about following applicable federal, state, and local regulations.
The responsibilities for handling or disposing of hazardous materials
must be determined. On a case-by-case basis, specific hazardous
material or spill reporting requirements should be considered in
the agreements. If unknown or unanticipated contamination is encountered
during utility maintenance, adjustments or installation, the utility company
should be required by the agreement to notify the district so that
possible involvement during any proposed construction can be determined.The potential for encountering contamination should be addressed
early in project development to prevent or minimize delays in completing
utility adjustments. Adjustments to utilities or pipelines that
involve hazardous materials may impact construction projects. A
district may decide that a particular project requires joint bids
with the municipalities to handle utility adjustments during construction.
Whether the utilities are adjusted prior to or during construction,
the extra time needed to arrange for special handling of contamination
may delay construction, or impact construction scheduling. For example,
installation or adjustment of telephone fiber optic cable within
contaminated soil may require special protection, such as trench
lining and/or soil disposal.
Hydraulic and Storm Sewer Design Considerations:
If
handled improperly, de-watering and storm sewer installation in
contaminated soil or groundwater are at the greatest risk of worker exposure
and further releases into the environment. If unanticipated contamination
is encountered and special provisions or arrangements have not been
made, then construction delays and/or contractor disputes or claims
are likely. Areas needing significant excavation, trenching, tunneling and/or
de-watering typically require more assessment and/or further investigation
to determine if contamination will be encountered during construction.
If de-watering of contaminated groundwater is necessary, then specialty
contractors, engineering controls, monitoring and testing, temporary
collection, filtration, approval from regulatory agencies and/or
discharge permits may be required.Design Changes and Re-Evaluations:
The
following steps should be performed for design changes and re-evaluations:- Review documentation for original and/or subsequent ISA(s). If an ISA has not already been performed, one is required for the portions of the project that have not already been constructed.
- Review documentation for any investigations performed after the original environmental documentation, such as investigations to confirm the presence of, determine the extent of or determine proper handling requirements for contamination.
- Determine if any changes, new information or circumstances require further assessment, research or investigation. Re-evaluate the original ISA to determine if assumptions based on preliminary design or right-of-way requirements are still valid.
- Perform follow-up site visits and update regulatory database list searches.
Plans, Specifications and Estimates (PS&E) Considerations
:
If site remediation cannot meet regulatory closure requirements
prior to construction or during the right-of-way acquisition process,
then monitoring of remediation systems and their access may need
to be integrated into the design of the proposed project. Coordination
with regulatory agencies and the property owner/responsible parties
may be necessary to ensure that the roadway construction does not
adversely affect remediation, site closure and/or post-closure care
of the site.The management and disposal of contaminated soil, groundwater
and waste must be conducted in accordance with applicable federal
and state requirements and in a manner that will not adversely affect
human health and/or the environment. If a hazardous material concern
cannot be avoided prior to construction, a preventive action plan,
such as a Soil and Groundwater Management Plan, will serve to reduce
the impact of contamination encountered during construction. A preventive action
plan may include, but is not limited to, the following:
- Construction phasing
- Health and safety plans or considerations
- Waste management reuse or disposal options
- Permitting requirements
- Monitoring
- Sampling and analysis plans
- Specifications for engineering controls
- Filtration systems
- Ventilation systems
Special specifications, provisions or contingencies can be
incorporated into the PS&E to reduce the potential for construction
delays, claims, forced accounts, or field change orders. Employed
by the local entity, TxDOT or the prime highway contractor, specialty
contractors, or subcontractors can be used to implement the preventive
action plan during construction. Incorporating special specifications,
provisions or considerations into the development of the PS&E
is further discussed in Chapter 4, “Design.”
Property Management or Maintenance Considerations:
If
a site cannot meet regulatory closure requirements prior to construction
or during the right-of-way acquisition process, then closure may need
to be obtained after project construction. Additionally, a site
may have post-closure requirements for maintaining vegetation, caps
or drainage after construction. Any post-closure responsibility
must be communicated to the district maintenance staff.Project Files
District and division project files are consulted at various
stages of project development. A completed copy of the ISA checklist
or report should be kept in the district project files. Due to possible
cost recovery and right-of-way documentation requirements, incorporating
or developing central hazardous material files or electronic databases
for tracking information by project and/or parcel should be considered.
Supplemental documentation should be organized and catalogued
in the project files. Supple-mental documentation includes, but
is not limited to, the following:
- Detailed site observations
- Photographs
- Location(s) of identified concerns
- Correspondence
- Records of communications for all interviews
- Copies of regulatory lists or file information reviewed
- Copies of or references to aerial photographs
- Maps
- Field logbooks
- Field data
- Specialty contractor or subcontractor agreements
- Chain-of-custody records
- Analytical laboratory data
- Quality assurance and quality control reports
- Computer files
- Reports