Section 2: PS&E Submission Data Sheet (Form 1002)

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

  • It is a supporting papers checklist to be used by the designer in preparing the PS&E.
  • It is to provide the Austin divisions with a record of all supporting papers contained in the submission.
  • Page 3 of Form 1002 is the department’s official location where basic design criteria of each project are documented.
  • Page 3 of Form 1002 provides a request/approval document for design exceptions/design waivers and ADA/TAS design variances.
  • Page 4 of Form 1002 describes the types of projects that will require the use of accelerated construction contract provisions and serves as documentation of the type of accelerated contract provision included in the project. (Refer to Construction Strategies for more information.)

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 first three pages of the five-page form which must be completed:

  1. Project Identification
  2. State Transportation Improvement Program Information
  3. Supporting Papers Checklist
  4. Financing
  5. Environmental Status
  6. Agreements
  7. Airway-Highway Clearance
  8. Contract Time
  9. Project Manager in Charge of Construction Contract
  10. District Contact Person
  11. Estimated Cost of Pedestrian Elements
  12. 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 Papers Checklist

The checklist portion of the form assists and guides the designer in providing the necessary supporting papers to the Austin divisions. See Section 3 for more information regarding the Supporting Papers 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. A copy of the STIP page should be included in the PS&E submission.

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Environmental Status

Appropriate information on environmental status 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, 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 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 Chapter 2, Part A of the Airway-Highway Clearances (see h7460-1).

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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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Project Manager in Charge of Construction Contract

The project manager number for the responsible person in charge of construction should be listed here. This should not reflect the manager number of the person responsible for the preparation of the plans. As shown on the form, this number should match that shown on the Contract Summary (P5) Screen on DCIS. When checking DCIS, one should also verify that the project manager number shown on the Contract Summary (P5) Screen is in fact the person responsible for the construction of the project(s). The project manager number shown on the Project Identification (P1) Screen is the project manager responsible for the design of each specific project.

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District Contact Person

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

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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.

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Any additional remarks regarding this project should be indicated here and on attached sheets when necessary.

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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 secure an early approval of the basic design criteria used on the project. This page must be completed for all contracts, regardless of the need for a design exception. If a design exception is not necessary, complete the form and submit as early as possible. If an exception is necessary, fill out the form and submit in accordance with the instructions presented for “Design Exception Requests” in the discussion that follows. 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 (Design Division, Bridge Division, and Traffic Operations Division)

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, rolling, and mountainous. 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 or which is projected for new facilities. 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 an 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:

  • Requirements for design exceptions
  • 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 documenting such cases and receiving approval prior to construction. An example of a Form 1002, Page 3 and Request for Design Exception can be found at: Form 1002 and hreques~1. A design exception is not required when values exceed the guidelines for controlling design criteria. See Roadway Design Manual Notice 2010-1, 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 12 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 12 controlling categories are as follows:

  • Design speed
  • Lane width
  • Shoulder width
  • Bridge width
  • Structural capacity
  • Horizontal alignment
  • Vertical alignment
  • Grades
  • Stopping sight distance
  • Cross slope
  • Super-elevation
  • Vertical clearance.

See Roadway Design Manual Notice 2010-1, Chapter 1, Section 2, for details on design exception approval.

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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 can 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.

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ADA/TAS Design Variances

With the issuance of Stand-alone Manual Notices 99-5 design variances to the Texas Accessibility Standards (TAS) are now to be submitted to the Texas Department of Licensing and Regulation (TDLR) through the reviewing division (DES or TRF). The Department of Justice (DOJ) has certified TAS as equivalent to Americans with Disabilities Act Accessibility Guidelines (ADAAG)/PROWAG. Therefore, approval of a TAS variance by TDLR will be accepted by TxDOT as approval of a variance to the same criteria contained in ADAAG. Where a difference in criteria exists between TAS and ADAAG, the two variances will be handled individually, with TxDOT’s ADA Design Variance Committee being responsible for the ADAAG variance approval.

Districts are to complete page 2, section I, and page 3 of Form 1002, and include all information detailed in the Request for ADA/TAS Design Variance sheet (see http://crossroads/org/des/tools/forms/index.asp). Requests for design variances should be submitted to the responsible division (DES or TRF), 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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Alternative Construction Strategies

This is page 4 of Form 1002. Its primary purpose is to identify the acceleration provisions used for the project. This page must be completed for all contracts.

Time requirements for each project is a critical construction component. Because of increased traffic and congestion we must address non-continuous prosecution of the work. In addition, reduced construction time is a department goal that can be achieved through sound engineering. Utilities and other conflicts will be encountered during construction, however, across-the-board exceptions for using acceleration provisions will not be given for these expected conflicts. Coordinate utility and other third party work early in the project life, during the planning and design stages.

We have identified the types of projects that will require acceleration provisions and have developed guidelines for different strategies to reduce construction time. The projects described are considered critical for timely completion.

The strategies provided for accelerating construction may be used alone or in combination for each project. Strategies for acceleration need to be discussed during the Design Concept Conference.

On page 4 of Form 1002, for each project, the district will be required to identify the acceleration provision(s) used for the project. Projects that do not include an acceleration provision are considered an exception. Exceptions will require advance approval by the Design Division.

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Time Determination

When determining time, the first emphasis should be continuous prosecution of work. Time requirements for accelerated completion should be considered for areas that have a significant impact to businesses and traffic flow. Time determination for PS&E should be accomplished to a degree of sophistication needed for the complexity of the project. Districts may use tools ranging from simple hand diagrams to critical path method (CPM) for the analysis. A project schedule shall be included with each PS&E submission to DES. The schedule shall be signed by the responsible Engineer in accordance with the Engineering Board rules and should undergo district review. Include the same requirement for consultant PS&E.

The following types of projects will require the use of accelerated construction contract provisions. On Form 1002, page 4 of 4, check all that apply to each project:

  • CheckboxInterstate or freeway project with lane closures during one or more phases of construction
  • CheckboxBridge closure (either as the entire project or a portion of a larger project)
  • CheckboxRoad closure
  • CheckboxAdded Capacity projects
  • CheckboxNon-freeway with ADT>10,000 and lane closures during one or more phases of construction
  • CheckboxProvides access to a nearby school, emergency services (hospital, fire, etc.), or major traffic generator
  • CheckboxProject affects access to adjacent businesses
  • CheckboxOther (Projects that are time critical such as traffic signal work at high accident locations) Explain:

    The project is not characterized by the above.

  • CheckboxNone of the above (Monetary Acceleration provisions are not required) Explain the type of work:

The following is a listing of individual strategies for construction acceleration that can be used alone or in combination.

  • Calendar Day (CD) Definition for Working Day – Use alone with standard contract administrative liquidated damages (CALD) with time calculated the final acceptance date. A five-day per week definition for working day is recommended for most applications. Calendar day definition for working day is required with all acceleration strategies.
  • Incentive Using Contract Administrative Cost – Pay for early completion at the standard CALD rate. Use calendar day definition and calculate days to the final acceptance date. This technique can be used for maintenance overlay and pavement repair projects. Set a maximum allowable bonus payment. Include a no excuse bonus provision for incentives. A “no excuse bonus” provision disallows time adjustments for the bonus time requirement when factors outside the contractor’s control delay completion.
  • Milestones with Incentives/Disincentives (I/D) – Identify specific project phases that have a significant impact on traffic or businesses. Include I/D for those phases only. Base the I/D on road user cost (RUC). Increased disincentives may be used alone, without incentives. Use CD definition for working day. Time is based on substantial completion of the phase. Set a maximum allowable bonus payment. Include a no excuse bonus provision for the incentives.
  • Substantial Completion I/D – Use I/D for early completion of the project. Calculate time to the substantial completion date. Use calendar day definition for working day and set a maximum bonus for early completion. Base the I/D on RUC. Increased disincentive may be used alone, without incentives. Include a no excuse bonus provision for the incentive.
  • Lane Rental Disincentive – Use for pavement maintenance work and managing intermittent lane closures to minimize impact to traffic for construction projects. Base the disincentive on RUC. Consider varying RUC values for daytime and nighttime work.
  • A+B Provisions – Consider for large and or highly critical projects where early completion should be a consideration for award. Include I/D for milestones or final substantial completion. Use calendar day definitions for working day. Set a maximum allowable bonus payment.

    NOTE: Both lane rental and liquidated damages cannot be imposed at the same time.

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Other Tools for Minimizing Construction Time

  • Use a 60, 90, 120, 180-day or other lead-time start date special provision in conjunction with acceleration provisions. The lead-time will allow the contractor to fully ramp up before work begins in the ROW. The lead-time provisions may be modified to address lead-time allowances for work in the ROW but off the roadway when said work does not create travel delay.
  • Work with local communities to make use of total intersection or road closure for isolated construction locations. Use milestones, calendar day definition for working day and I/D.
  • Use nighttime work in urban areas and cities to reduce congestion for payment operations. Consider construction noise, material delivery and traffic and worker safety in the decision.
  • Use good sign management. Display signs only when needed. Place barricades just before work in the ROW is to begin. Place work zone speed limit signs only when speed reduction is needed. Use reasonable speed reduction (i.e., no more than 10 mph below the regulatory speed) during construction and therefore provide for reasonable construction speed zones in design. Remove construction barricades when the only work remaining is vegetation and plant establishment and performance periods and use a barricade set up such as those shown on TCP (1-Series) when work is performed under establishment and performance periods.
  • Consider removal of barricades when time is suspended in the winter for final surface placement and all other work is substantially complete, a durable full width safe pavement surface is provided, permanent markings and final safety work are complete and the only work remaining is the final surface. Utilize a full barricade setup when the final pavement work is performed the following season.
  • Maintenance projects should include standard CALD for work that is time dependent. Consider using lane rental provisions in high traffic areas when working on the pavement or lane closures are required.
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