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Section 3: Supporting Documents Checklist

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Overview

The checklist portion of Form 1002 assists and guides the designer in providing the necessary supporting documents for final PS&E submission 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. This section discusses the following checklist items:

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Plan Set

Verify that the electronic PS&E Portfolio is prepared in accordance with the e PS&E Submittal Instructions available at the intranet site http://crossroads/org/des/fs/index.asp.

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Project Proposal

Verify the the Project proposal has been built using the Construction and Maintenance Contract System, and is available on your district’s Miramo drive folder. Instructions for building proposals can be found at the intranet site http://crossroads/org/des/fs/index.asp�.

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List of Governing Specifications and Special Provisions

Verify that the correct Governing Specifications and Special Provisions have been included in the electronic transmittal package, or is available for printing through the ROSCOE program.

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General Notes and Specification Data

Verify that the correct General Notes file has been included in the electronic transmittal package, or it is available in the District’s Miramo folder.

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Plans Estimate

Verify the correct plans estimate has been included in the electronic transmittal package, or is available for printing through the ROSCOE program.

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Engineer's Sign, Seal, and Date Supplemental Sheets

One electronic supplemental sheet with the responsible engineer's signature, seal, and date must be included with the PS&E package. This is 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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Significant Project Procedures

Verify that the correct Significant Project Procedures is included with the electronic transmittal package. The Significant Project Procedures Form 2229 is available at http://txeform/eFormsWorkspace/�.

If construction speed zoning is desired for projects or portions of a project outside the limits of incorporated cities, the Request for Regulatory Construction Speed Zone Form 1204 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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Right-of-Way/Utility/Relocation/ Encroachments/Railroad Certifications�

The status of these items is shown on the Form 1002. The designer should check the appropriate status as either “Clear” or “To Be Clear” at the time of the submission of the 100% PS&E package. One original signed copy of the certifications must be submitted with the 100% PS&E package as supporting documents. These certifications are:�

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Right-of-Way Certification

A right-of-way certification is submitted for every project. The certification will be signed by the district engineer and submitted with the 100% PS&E package. The certification describes the status of the right-of-way acquisition process. Examples of the required certifications for the various conditions are shown below.�

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  • Right-of-Way Not Required – use clrrow1 to certify that the project will be developed without the acquisition of additional right-of-way.�
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  • Right-of-Way Acquisition Complete (State Project) – use clrrow2 to certify all the project right-of-way has been acquired in accordance with current State requirements.�
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  • Right-of-Way Acquisition Complete (Federal Project) – use clrrow3 to certify all the project right-of-way has been acquired in accordance with current Federal directives.�
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  • Right-of-Way Acquisition Not Complete (State Project) – use unclr1 to certify the project right-of-way has been acquired in accordance with current State requirements except the parcel(s) listed on the certification, which will be acquired in accordance with current State requirements.�
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  • Right-of-Way Acquisition Not Complete (Federal Project) – use unclr2 to certify the project right-of-way has been acquired in accordance with current Federal directives except the parcel(s) listed on the certification, which will be acquired in accordance with current Federal directives. In addition, for incomplete right-of-way on Federal projects, the rowstat form should be included with the certification to list the outstanding parcels and their possible effect on delays to construction.�

If the status of right of way acquisition has been updated since the submission of the 100% PS&E, a new certification letter is required.�

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Relocation Advisory Assistance Certification

A Relocation Advisory Assistance Certification is required for every project. The certification will be signed by the district engineer and submitted with the 100% PS&E package. If any right-of-way was acquired, certification of proper relocation assistance is necessary. Examples of the required certifications for the various conditions are shown below.�

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  • Right-of-Way Acquisition Not Required or Right-of-Way Acquisition does not Include Displacements (State Project) – use reloc1 to certify that the State funded project will be developed without the need for relocation assistance.�
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  • Right-of-Way Acquisition Not Required or Right-of-Way Acquisition does not Include Displacements (Federal Project) – use reloc2 to certify that the Federal funded project will be developed without the need for relocation assistance.�
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  • Relocation Process Complete (State Project) – use reloc3 to certify that the relocation process has been completed for all displacements in accordance with State requirements.�
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  • Relocation Process Complete (Federal Project) – use reloc4 to certify that the relocation process has been completed for all displacements in accordance with Federal directives �
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  • Relocation Process Incomplete (State Project) – use reloc5 to certify that the relocation process has been completed for all displacements, with the exception of those displacees listed on the certification who will be relocated in accordance with State requirements. �
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  • Relocation Process Incomplete (Federal Project) – use reloc6 to certify that the relocation process has been completed for all displacements, with the exception of those displacees listed on the certification who will be relocated in accordance with Federal directives.�

If the status of relocation assistance process has been updated since the submission of the 100% PS&E, a new certification letter is required.�

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Right-of-Way Encroachment Certification

The right-of-way encroachment certification is required for each project. The certification will be signed by the district engineer and submitted with the 100% PS&E package. An encroachment is typically an instance of privately-owned improvements existing on the State’s project right-of-way. There are two requirements that must be met to properly address right-of-way encroachments. The next paragraphs cover the requirements.�

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 (23 CFR 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 and safe flow of traffic. When an encroachment is discovered on a project, this support documentation should 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. 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 of the required certifications for the various conditions are shown below.

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  • Right-of-Way Encroachments Do Not Exist or Right-of-Way Encroachment Removals Have Been Completed – use rowencr1 to certify that there are no right-of-way encroachments within the limits of the project.�
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  • Right-of-Way Encroachments Need to be Removed or Will Remain In Place – use cert3a to describe existing encroachments and to certify they will either be removed or they will remain in place. The “status” column should specify that the encroachment will either be removed and by whom or that it will remain in place.�

If the status of right-of-way encroachment has been updated since the submission of the 100% PS&E, a new certification letter is required.�

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Utility Clearance Certification

A utility clearance certification is submitted for all projects. The certification will be signed by the district engineer and submitted with the 100% PS&E package. The certification describes the status of the utility adjustment process. Examples of the required certifications for the various conditions are shown below.�

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  • Utility Adjustments are Not Required or Utility Adjustments Have Been Completed – use utiladj1 to certify that there are utility adjustments required or they have been completed prior to PS&E submission.�
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  • Utility Adjustments are Incomplete – use utiladj2 to certify that incomplete utility adjustments are present at the time of the PS&E submission. The certification lists the utility owner, the location of the utility to be adjusted and the expected completion date for the adjustment. For Federal-aid projects, the certification is supplemented by Utility Status ( utilstat) data sheet(s) listing the unclear utilities and their possible effects on delays to construction.�

If the status of utility adjustment has been updated since the submission of the 100% PS&E, a new certification letter is required.�

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Railroad Certification�

A railroad certification is submitted for all projects. The certification will be signed by the district engineer and submitted with the 100% PS&E package. The certification describes the status of the coordination with railroad companies when railroad ROW is within the project limits, A railroad crossing (advance warning signs within the project limits) is near the project limits or parallels the project, a traffic signal is or will be linked to railroad signal devices, and the traffic control plan will influence a railroad crossing. Examples of the required certifications for the various conditions are shown below:�

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  • No Railroad Work – This certification applies when no work within or near the limits of railroad ROW is included in the project. Use ( Railroad Certification - No RR work) to certify work is not being done on or near the railroad ROW and that a railroad right of entry agreement is not required. �
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  • Agreement Executed – work prior to construction – this certification applies to projects where the coordination and agreement are executed; railroad work is completed before letting; and only flagging is to be done during construction. Use ( Railroad Certification - Agreement Executed - Work Prior to Construction) to certify that railroad work will be completed before construction operations begins and the agreement with the railroad is executed. �
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  • Agreement Executed – work during construction – this certification applies to projects where the coordination and agreement are executed, and railroad work will be completed during construction. Use ( Railroad Certification - Agreement Executed - Work during Construction) to certify that railroad work will be completed during construction operations and the agreement with the railroad is executed. �
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  • Agreement not executed – work during construction – this certification applies to projects where the coordination is complete and the railroad agreement will be executed without causing a construction delay for the contractor. Use ( Railroad Certification - Agreement not Executed - Work during Construction) to certify that railroad work will be completed during construction operations begins and the agreement with the railroad not executed.�

If the status of the railroad work has been updated since the submission of the 100% PS&E, a new certification letter is required.�

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Important Notice to Contractors Special Provision for Unclear Certifications �

Contractors must be notified about unclear certifications in the project contract proposal. This is done through an Important Notice to Contractors Special Provision. A Triple Zero Special Provision needs to be prepared using the “Special Provision to Item 000” template provided on the Specifications page on the TxDOT web site.�

The owner and location information, estimated clearance dates, and effect on construction should be included as shown on the certification letters. The prepared special provision and 1814 form need to be sent to CST_RDWY_SPECS through Outlook for their approval. If the information on the Important Notice to Contractors Special Provision is updated before proposals are released to contractors, and updated special provision should be forwarded to CST_RDWY_SPECS. Design Division should also be contacted to rebuild the proposal with the revised Important Notice to Contractors. When proposals have been released to contractors 21 days prior to letting, a new special provision needs to be requested form the Construction Division Roadway Specification Section. This revised Important Notice to contractors Special Provision needs to replace the outdated Special Provision by and addendum.�

When a railroad agreement is not executed at the time of letting an “Important Notice to Contractor’s” special provision is required. The special provision is meant to inform the contractor of the location of work done in railroad ROW, estimated clearance of right of entry for construction operations, and anticipated effect on the construction. This special provision should reference and agree with the railroad scope of work PS&E plan sheets. �

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Standard Operating Procedure for Item 8 Delayed Start Special Provisions�

To ensure that the contractor can pursue construction activities without delays due to outstanding ROW, utility, and unexecuted agreement issues, the department has implemented a Standard Operating Procedure (SOP) for including a construction delay. For a project to include a delayed construction start date, a request to include delayed start provisions in the contract needs to be prepared with a management plan and submitted to DES for review and forwarding for Administration approval. This request for inclusion of delayed start should be sent to DES- Field Coordination Engineer for routing and approval by Administration one week prior to FIN posting of the candidate list of projects for letting according to the PS&E processing schedule on Letting Management's web page. The link to this web site is below: http://crossroads/org/fin/Guidance/LettingManagement.htm.

The management plan is a written, logical construction activity description with a schedule, right of way/relocation/encroachment/utility/railroad certifications and a selected item 8 delayed start provision template which clearly demonstrates reasonable construction progression of the project.�

The following situations are exempted from this SOP:

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  • Construction delays for material processing or mobilization cost saving initiatives that do not exceed 90 days �
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  • Delayed start work provisions for manufactured items including signal poles, mast arms, luminaries, high mast lighting assemblies, bridge beams, etc. �
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  • Seal Coat, ACP overlays, and microsurfacing only projects. �
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