Section 2: PS&E Transmittal Data (Form 1002)

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When PS&E is submitted to the Austin Office for review, it is necessary for the PS&E Transmittal Data Form 1002 to be sent in with the submission. Form 1002 serves several purposes:

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  • It is a supporting documents checklist to be used by the designer in preparing the PS&E.
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  • It is to provide the Austin divisions with a record of all supporting papers contained in the submission.
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  • Page 3 of Form 1002 is the department’s official location where basic design criteria of each project are documented.
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  • Page 3 of Form 1002 provides a request/approval document for design exceptions/design waivers approved at the District level.

This form should be completed and carefully checked when preparing the submission to avoid overlooking any of the supporting papers. There are 13 sections on the form which must be completed:

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  1. Project Identification
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  3. Supporting Documents Checklist
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  5. State Transportation Improvement Program Status
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  7. Environmental Status
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  9. Financing
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  11. Other Participation
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  13. Agreements
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  15. Airway-Highway Clearance
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  17. Contract Time
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  19. District Contact Person(s)
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  21. Estimated Cost of Pedestrian Elements
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  23. Proposed Basic Design Data Information

Subsections covering each of these items, with step-by-step instructions to complete the form, follow.

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Project Identification

Information on the first four lines of the form relate to identifying important data relative to the project location, the controlling CSJ, the project number, length of project, limits of work and the proposed letting date. This information should be retrieved from the Project Identification Screen (P1) in the Design and Construction Information System (DCIS) (the project length would also match that shown on the plans Title Sheet).

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Supporting Documents Checklist

The checklist portion of the form assists and guides the designer in providing the necessary supporting documents to the Austin divisions. See Section 3 for more information regarding the Supporting Documents Checklist.

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State Transportation Improvement Program Information

The appropriate State Transportation Improvement Program (STIP) year and STIP page number should be shown. This information will be used to verify if the project has been properly included in the STIP, thereby showing that funding has been set aside for the project.

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Environmental Status

The status of the project’s environmental clearance should be entered here.

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A detailed accounting of authorized funding should be shown under this section. Projects from the same program should be listed under the controlling CSJ. The work program number should also be shown along with the authorized amount and the estimated cost. The estimated cost should reflect only the regular bid items, materials supplied by the state, state force account work, and the like. It should not include engineering and contingencies or portions of work financed by other governmental bodies. Estimated costs should then be subtracted from authorized funds to obtain an underrun or overrun. When overruns are encountered, reasons should be stated. This is necessary if additional funds are to be requested. Reasons stated should be significant enough to completely explain the overrun. Reasons such as “an underestimation of work” should be expanded to explain specific quantities and items.


Other Participation

Other participation, such as that supplied by a local government, should be noted here. If other participation has been included, specify what county, city, or other entity the agreement should be with, the amount of their participation (including preliminary engineering charges), and indicate if it is fixed sum or actual cost amount and minute order number if applicable. As noted, a copy of the executed agreement should be attached.

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If a railroad agreement is required, place a check by the “yes” space and fill in the name of the railroad. The agreement should be executed prior to PS&E submission. If, however, the agreement has not yet been executed, the date the request was made to the Railroad Division should be listed.

If a Section 404 Permit, Nationwide Permit, United States Coast Guard Permit, or other agreements are required, the appropriate “Yes/No” spaces should be selected along with other requested data.

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Airway-Highway Clearance

If airway-highway clearance is required, place a check by the “yes” space and indicate the date it is approved. For more information, see “Airway-Highway Clearances” in Chapter 2, Section 1 of this manual.

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Contract Time

Careful consideration should be given to the number of working or calendar days set up for the contractor’s working time. The number of working days should be the same number of working days shown on the contract time determination summary. The number of working days set up in the contract will be the number that is input on the Contract Summary (P5) Screen on DCIS.

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District Contact Person(s)

Specify the name(s) of the responsible district reviewer(s) and list the person’s telephone and fax number(s).

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Estimated Cost of Pedestrian Elements

The cost of any pedestrian elements (such as sidewalks, extra bridge width or curb ramps, pedestrian signals, crosswalks, entire cost of hike and bike trail projects, and building and enhancement projects) should be noted here. If the estimated cost of pedestrian elements exceeds $50,000 the project must be instected by a Registered Accessibility Specialist (RAS). Please see http://crossroads/org/cst/docs/RAS_Web_Page_20160128.docx for information on submitting a project for RAS inspection.

Documentation of TDLR registration, or review performed by the RAS should be submitted to DES as supporting documentation for final PS&E submission.

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Proposed Basic Design Data Information

Though it may appear to be another form, this is the third page of Form 1002. Its primary purpose is to document the basic design criteria established on the project. This page must be completed for all contracts. Some of the information in this page/form are:

A brief discussion of each appears in the subsections below.

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Proposed Standards (Structures, Roadway, and Traffic)

Proposed Design Standards refers to the basic criteria for structures, roadways, and traffic which form the basis of the project design. The designer will list the standards chosen in the spaces provided. For example, the proposed Traffic standard may be the Texas Manual on Uniform Traffic Control Devices, the roadway standard may be that for “Standards of Design for Multilane Rural Highways” (see Roadway Design Manual, Chapter 3, Multi-Lane Rural Highways) and the structures standard may be “HS 20” loading or a hydraulic design frequency.

The roadway design criteria shown will generally be stated as “2R”, “3R” (see Chapter 4 of the Roadway Design Manual), or “4R” (see Chapter 3 of the Roadway Design Manual) with additional specificity listed whenever possible. 2R design guidelines (standards) are only used on non-freeway related projects (see the Roadway Design Manual, Chapter 5). Notations that certain standards are not applicable to the project should be entered on the form as necessary. For example, a 2R project may only use the TMUTCD and “BC” standard sheets as a design standard (in addition to “2R” as the roadway standard) and a “Transportation Enhancement” project (architectural work) may only reference the Americans with Disabilities Act (ADA) and Texas Accessibility Standards (TAS) requirements as a structures standard. Such notation of non-applicability may also apply to the other Form 1002, Page 3 entries, discussed below.

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Design Speed (Applicable)

The applicable design speed is the speed chosen to design the highway facility. The design speed criteria is outlined in the Roadway Design Manual, Chapter 2, and is a result of highway functional classification, terrain, and traffic. Variation from these criteria requires a design exception. The speed selected should be entered in this space. There may be more than one value entered, depending on the different types of highway facilities involved in the project.

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Terrain refers to the general vertical lay of the land on which the highway facility was/is designed. The type of terrain was determined prior to the preparation of the PS&E and was used in selecting other design criteria, such as design speed and level of service. Terrain classifications are flat or rolling. The selected terrain should be entered in this space.

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Traffic refers to the average daily traffic on an existing or proposed facility. Existing traffic is that traffic which presently exists on a facility. Twenty-year projected traffic is the average daily traffic estimated for a facility twenty years from current year. Traffic volumes can be obtained from county traffic maps or from the Transportation Planning and Programming (TPP) Division. The traffic must be entered in the spaces provided for each project. If multiple highways or projects are encountered in a contract, data should be given for each highway in the contract. This data is used for several purposes, which include the selection of pavement, cost overrun justification, congestion relief indices, etc.

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Highway Functional Class

Functional classification is a description of a roadway system’s usage. These classifications are selected prior to PS&E preparation and are used in the selection of design criteria. Functional classifications may be found on functional classification maps, which are obtained from the TPP Division. The proper classification should be entered in the appropriate space (urban or rural). For functional class maps see:

Due to the ever changing nature of land use on the fringes of urban areas, we often encounter locations that are functionally classified as rural but have either begun to take on urban characteristics due to new development or are expected to do so in the near future. In these cases, districts will typically use urban design standards in lieu of rural design standards. We recommend that districts use an asterisk on the classification with a corresponding note similar to the following: “Urban street guidelines were used for this area because of existing and anticipated development.”

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Design Exceptions

The next paragraphs discuss these design exception topics:

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  • Requirements for design exceptions
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  • Controlling criteria

    Requirements for design exceptions. A design exception is required whenever the guidelines for certain controlling criteria specified in the department design manuals are not met. Although design and construction of projects that do not meet the recommended guidelines are sometimes justifiable, districts are responsible for approving and documenting the exceptions on Form 1002. A copy of the approved design exception package should be sent to the Design Division. An example of a Form 1002, Page 3 and Request for Design Exception can be found at: Form 1002 and Design Exception. A design exception is not required when values meet or exceed the guidelines for controlling design criteria. See Roadway Design Manual, Chapter 1, Section 2, for details on design exception approval.

    Controlling criteria. For new construction and reconstruction projects, the Federal Highway Administration (FHWA) has designated 13 controlling categories of roadway design criteria which will require design exceptions. When the minimum standard for any of these controlling criteria cannot be met, a design exception request must be made. The 13 controlling categories are detailed in the Roadway Design Manual.

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Design Waivers

When criteria in the Roadway Design Manual, Chapter 1 are not met in a non-controlling category, a design exception is not required. However, variations from the guidelines in these cases are handled by design waivers prepared and approved at the district level. Design waivers will be granted as the district authorizes in accordance with sound engineering judgment. The complete documentation should be retained in the district project file but documented on this form with the original signature. They should also be sent to DES for permanent filing.

For a complete list of non-controlling criteria for each project category, see Design Waivers section of the Roadway Design Manual, Chapter 1, Section 2.

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TAS Design Variances

A request for a design variance for any deviation from the Texas Accessibility Standards (TAS) are to be submitted to the Texas Department of Licensing and Regulation (TDLR) through the Construction Division (CST). Specific design requirements to accommodate the needs of persons with disabilities are established by the ADA Public Accessibility Guidelines for pedestrians in the Public ROW (PROWAG) and the Texas Accessibility Standards.

Districts are to complete page 2, section I, and page 3 of Form 1002, and include all information detailed in the Request for TAS Design Variance sheet (see http://crossroads/org/des/ada/docs/ADA.doc). Requests for design variances should be submitted to the Construction Division (CST), as soon in the design process as it’s determined that a standard design value can not be met. This holds for any minimum design standard, ADA/TAS related or not.

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