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Section 3: Supporting Papers Checklist

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Overview

The checklist portion of the form assists and guides the designer in providing the necessary supporting papers to the Austin divisions. The number of copies of the supporting papers and plans prints are outlined on the form by project type and are important to the smooth processing of the PS&E prior to letting. The specified number of copies are then distributed to the various divisions and sections which are responsible for reviewing different parts of the PS&E. This section discusses the following checklist items:

  • List of governing specifications and Special Provisions
  • General Notes
  • Plans estimate
  • New Provisions/Special Specifications
  • Triple Zero Special Provisions
  • Engineer’s sign, seal, and date supplemental sheets
  • Contract Time Determination Summary
  • Significant Project Procedures Form
  • Right-of-way and utilities certifications
  • Temporary road closure request
  • Construction speed zone request
  • Review Plans Prints.
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List of Governing Specifications and Special Provisions

Verify that the correct number of copies of the governing specifications and Special Provisions have been included in the submission package.

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General Notes

Verify that the correct number of copies of the General Notes have been included in the submission package.

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Plans Estimate

Verify the correct number of plans estimate have been included in the submission package.

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New Provisions/Special Specifications

If the completed PS&E required a new Special Provision or Special Specification, then Form 1814, Proposed Special Provisions or Special Specifications should be included in the supporting papers. Such new Special Provision and/or Special Specification requests should have been submitted by the district to CST at least two months prior to final PS&E. (See the example of a completed Form 1814.)

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Triple Zero Special Provisions

Use correct format for Triple Zero Special Provisions for “Detours, Barricades, Warning Signs, Sequence of Work, etc.” or “Important Notice to Contractors” (such as for unclear right-of-way or unclear utilities or others). See the information on the Design Division’s Intranet site at http://crossroads/org/des/tools/props/index.asp under shared documents for formatting instructions.

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Engineer's Sign, Seal, and Date Supplemental Sheets

Two original copies of the supplemental sheets with the responsible engineer's signature, seal, and date must be included with the PS&E package. These are eventually used in the respective final construction contract proposals (i.e., the state's and the contractor's).

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Contract Time Determination Summary

The required Contract Time Determination Summary is also included as a “supporting paper.” It consists of a brief summary of the projected production rates used for major work items, to arrive at the final estimate of construction time (measured in either work days or calendar days) It is required to be signed and dated by the responsible engineer.

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Right-of-Way and Utilities Certifications

One original signed copy of the certifications and two copies of the original signed copies must be submitted with the PS&E package as supporting papers. These certifications are

  • Right-of-way certification
  • Relocation advisory assistance certification
  • Right-of-way encroachment certification
  • Utility clearance certification.

    A discussion of each follows.

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Right-of-way Certification

A right-of-way and a relocation advisory assistance certification are submitted for every project. These certifications will be signed by the district engineer and submitted with the PS&E package in the quantity indicated. If the right-of-way is clear and no right-of-way acquisition was necessary, a Certification for Clear ROW (Acquisition not necessary) ( clrrow1) form should be used and submitted with the PS&E. If acquisition of right-of-way was necessary and was completed before PS&E submission, a Certification for Clear ROW (Acquisition complete - State Project) or Certification for Clear ROW (Acquisition complete - Federal Project) form ( clrrow2 and clrrow3) should be used and submitted with the PS&E depending if it is State or Federally funded. If right-of-way is necessary but not completely acquired (unclear) at the time of PS&E submission, a certification [shown in Certification for Unclear ROW - State Project ( unclr1)] and Certification for Unclear ROW - Federal Project (unclr2) (desirably) and a Triple Zero Special Provision are submitted which will list the unclear parcels, their owners, their locations, and their estimated acquisition dates. These are supplemented (on Federal-Aid projects only) by status form(s) listing the unclear parcels and their possible effects on delays to construction [see the example of ROW Status Form ( rowstat)]. The certification and status forms may be updated later if necessary, to provide the current information two weeks prior to the project’s Letter of Authority (for construction) date, which is shown on the Design Division’s PS&E review and processing schedule.

If right-of-way was not clear at submission but is clear two weeks prior to the Letter of Authority date, the district should then submit the appropriate Certification for Clear ROW. If right-of-way is still unclear two weeks prior to the Letter of Authority date, a Certification for Unclear ROW and status form should be resubmitted listing the remaining parcels, owners of the parcels, locations, and estimated dates of clearance. Choose the appropriate form depending on whether the project is state or federally funded. For federal oversight projects, this information will be forwarded to the FHWA for issuance of the Letter of Authority. Significant changes to parcel status might need to be conveyed to the bidders by addendum.

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Relocation Advisory Assistance Certification

A relocation advisory assistance certification is submitted for every project. If any right-of-way was acquired, certification of proper relocation assistance is necessary. If right-of-way was acquired, and displacement of people was not required, use the appropriate form shown in Certification for Relocation Assistance (No Displacements) - State Project ( reloc1) or Certification for Relocation Assistance (No Displacements) - Federal Project ( reloc2) and submit with the PS&E. If relocation has not been completed prior to submission of PS&E but was completed two weeks prior to the Letter of Authority date, then the appropriate form should be submitted. [See Certification for Relocation Assistance (Relocation Completed) ( reloc3)].

If relocation is not completed by the Letter of Authority date, the appropriate form shown in Certification for Relocation Assistance (Relocation Not Completed) - State Project ( reloc4) or Certification for Relocation Assistance (Relocation Not Completed) - Federal Project ( reloc5) needs to be submitted.

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Right-of-Way Encroachment Certification

The right-of-way encroachment certification is required for each project. An encroachment is typically an instance of privately-owned improvements existing on the State’s project right-of-way. The certification will be signed by the district engineer and submitted with the PS&E package with updates, if necessary, submitted at least two weeks prior to the Letter of Authority. There are two requirements that must be met to properly address right-of-way encroachments. The next paragraphs cover

  • Requirements for federally funded projects
  • Requirements under state law
  • Examples.

Requirements for federally funded projects. In order to advance a federally funded project, we must deal with encroachments as outlined in the Federal-Aid Policy Guide, Section 1.23. To meet these guidelines, the district can provide support documentation that leaving the encroachment in place will not impair the highway or interfere with the free flow of traffic. When an encroachment is discovered on a project, this certification documentation may be sent to the Design Division with copies to the Construction Division and the Right-of-Way Division. If this cannot be certified, then the encroachment must be addressed otherwise, which may involve removal or safety treatment, in order for the federal project to proceed and utilize federal funding.

Requirements under state law. The state requirements are derived from broad state laws involving the use of public property for private use. The current TxDOT interpretation applies this to highway ROW. The interpretation is that TxDOT must have a formal agreement with the owner of the encroachment to allow the encroachment to exist in the right of way. The options to comply with the state law have been determined to be: (1) remove the encroachment; (2) sell the area of the ROW to the owner of the encroachment; or (3) lease the area of the ROW to the owner of the encroachment. These options must be pursued even if approval has been obtained in compliance with the above Federal Regulation (CFR Sec. 1.23). To address these requirements, the district should work with the Right-of-Way Division with copies of this information sent to the Design Division and the Construction Division. These options must be pursued even if approval has been obtained in compliance with the Federal-Aid Policy Guide as discussed above.

Examples. If there are no right-of-way encroachments or the right-of-way encroachments have been cleared before the PS&E package is submitted or two weeks prior to the letter of authority date, then a Certification for ROW Encroachments (None or Clear) ( rowencr1) should be used . If the right-of-way encroachment needs to be removed or if it will remain in place, then a Certification for ROW Encroachment (Not Clear or To Remain in Place) ( cert3a) form is used and the “status” column should specify if the encroachment will be removed and by whom or if it will remain in place.

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Utility Clearance Certification

The utility clearance certification should be handled in much the same manner as the right-of-way certification and submitted for every project. If no utility adjustments are required or they are completed prior to PS&E submission, a Certification for Utility Adjustment (None or Clear) ( utiladj1) should be sent in with the PS&E. If utility adjustments are incomplete (unclear) at the time of PS&E submission a certification, a Certification for Utility Adjustment (Not Clear) ( utiladj2) and a triple zero Special Provision are submitted which list the unclear utilities, their owners, their locations, and their estimated clear dates. These are supplemented (on Federal-Aid projects only) by Utility Status ( utilstat) data sheet(s) listing the unclear utilities and their possible effects on delays to construction. The certification and status form may be updated later if necessary, to provide the current information two weeks prior to the project's Letter of Authority (for construction) date, which is shown on the Finance Division's review and processing chart at http://crossroads/org/fin/Guidance/ProgLetting.htm.

The status of all these items is shown in this same section of the Form 1002. [The designer simply checks off the appropriate status (“Clear” or “To be Clear”)].

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Temporary Road Closure Request

The documentation and district engineer approval for temporary roadway closure must be included with the PS&E submission to the Design Division. As stipulated in Task 5740, the district has authority for roadway closures and the process. The entire process is outlined in 5740.

If the roadway closure is approved, consideration should be given to an agreement with the local government that clearly outlines each entity’s responsibilities in the event the detour uses other than state highways. In addition, if increased liquidated damages in the construction project can be calculated as a result of the increased detour travel time (based on roadway user costs), then the increased damages should be identified as a Special Provision in the PS&E submission.

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Construction Speed Zone Request

If construction speed zoning is desired for projects or portions of a project outside the limits of incorporated cities, the Request for Construction Speed Zone forms (cszfmreq) should be prepared and submitted to TRF division to coordinate for commission action. The form is self-explanatory with instructions contained on the reverse side. Cities have the authority to establish construction speed zones within their corporate limits, and this should be encouraged since the city will likely be responsible for enforcement. If, however, a city desires the commission to establish the zones, then a written statement from the city is required.

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Review Plan Prints

Verify that the correct number of plan review prints for the specific type of project have been included in the submission package.

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