George W. McAuley, Jr., P.E. /s/ R. Wayne Willey, P.E. Acting Director Bureau of Project Delivery

Transcription

1 DATE: December 10, 2013 SUBJECT: Minor Projects Design Procedures for Consultant Designed Projects TO: District Executives FROM: George W. McAuley, Jr., P.E. /s/ R. Wayne Willey, P.E. Acting Director Bureau of Project Delivery This Strike-off Letter (SOL) rescinds and replaces SOL The Minor Project Design Procedures have been modified to allow their use on local projects. The objective of the Minor Projects Design Procedures is to transfer the Final Design responsibilities to the design consultant. The purpose is to streamline the design process by eliminating most submissions and approvals by the Department during Final Design. The Minor Projects Design Procedures for Consultant Designed Projects applies to all projects scoped as minor. The policy is located in Publication 10X, Design Manual Part 1X, Appendix AB, Minor Projects Design Procedures for Consultant Designed Projects. The pages of the following publications, originally modified for this policy and released by SOL on August 3, 2012, are being reissued: Publication 10X, Appendix N, Constructability Review Procedures, Page N-1 Publication 10C, Design Manual 1C, Pages 4-2, 4-5, 4-6, 4-51, 4-52, and 4-52a Publication 15, Design Manual 4, Pages A.1-18, A.1-45, A.1-62, A.1-65, and A.1-66 Additionally, the following page of Design Manual 4 is revised to remove a reference to Publication 541 (Local Bridge Program Delivery Guide) and replace it with a reference to Publication 740 (Local Project Delivery Manual): Publication 15, Design Manual 4, Page A.2-3 These changes will be incorporated into the next publication of these manuals. These procedures are effective for all minor projects, which are identified as minor on Scoping Field Views which were held after September 1, Bureau of Project Delivery - Administration 400 North Street Harrisburg, PA

2 Page 2 Please direct any questions regarding this policy to David J. Azzato, P.E., at or by at dazzato@pa.gov. Attachments 4822/CAS/ses/solminorprojectsprocedure cc: FHWA Office of Chief Counsel ADEs/Design ADEs/Construction District Portfolio Managers District Design/Plans Engineers B. A. Kendro, 8 th Floor, CKB G. W. McAuley, Jr., P.E., 7 th Floor, CKB B. G. Thompson, P.E., 6 th Floor, CKB BOPD Division Chiefs BOPD Section Chiefs L. A. Heltebridle, 6 th Floor, CKB B. J. Fields, 6 th Floor, CKB B. D. Hare, P.E., 6 th Floor, CKB S. J. Thorne, 5 th Floor, CKB E. Madden, ACEC/PA J. Wagner, APC B.L. Shepler, PTC M. R. Burkhead, P.E., 7 th Floor, CKB C. M. Shirk, P.E., 7 th Floor, CKB HDTS PDEs W. L. Sneering, 7 th Floor, CKB Bureau of Project Delivery Administration 400 North Street, Harrisburg, PA

3 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 APPENDIX AB MINOR PROJECTS DESIGN PROCEDURES FOR CONSULTANT DESIGNED PROJECTS AB.0. INTRODUCTION The Minor Projects Design Procedures for Consultant Designed Projects applies to all projects scoped as minor projects except for limited circumstances as approved by the District Executive. A listing of typical minor projects is provided in Publication 10, Design Manual Part 1, Transportation Program Development and Project Delivery Process, Chapter 2, Defining a Transportation Project. These procedures are only applicable to Local Lead projects (projects being led by a Local Project Sponsor) when their design consultant meets certain experience requirements outlined in Publication 740, Chapter 3. These procedures are not applicable to design-build projects and projects designed in-house. For minor projects designed by consultants, the Department Quality Control (QC) reviews and approvals in final design do not occur. QC reviews for minor projects are solely the responsibility of the design consultant. The Department is responsible for funding and fiscal administration. AB.1. PRELIMINARY DESIGN During preliminary design, work performed by the design consultants will be submitted for Department review and approval. It is important to resolve all issues in preliminary design and to have a very clear scope of work for the project prior to final design. The following activities that typically occur during preliminary engineering will be reviewed and approved by the Department: District Safety Review Committee Line, Grade and Typical Section Design Field View (DFV) Design Exceptions Environmental Clearance Environmental Commitment Mitigation Tracking System (ECMTS) DFV matrix Type, Size and Location (TS&L) All required Central Office approval requests must be submitted from the District. For more information on preliminary design activities refer to Publication 10C, Design Manual Part 1C, Transportation Engineering Procedures, Chapter 3, Preliminary Engineering Procedures. AB.2. FINAL DESIGN The design consultant will be responsible for the final design. The District will not review or approve any submittals from the design consultant during final design except for the following which typically occur in final design, and as noted in section AB.2.C: Foundation Report Hydrologic and Hydraulic Report (not applicable to Local Lead projects) Pavement Design Approval request (for Local Lead projects, only applies if more than 500 feet of work on a state route) Right-of-Way Clearance submission AB-1

4 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 Utility Clearance submission Railroad Clearance submission Permit Applications (not applicable to Local Lead projects) Technically Infeasible Forms Proprietary Items Permanent and Temporary Traffic Signal Plans Road User Liquidated Damages Third Party Agreements Plans, Specifications and Estimate (PS&E) Traffic Control Plan (only applies to Local projects, and only if involving a detour route on a state route) For more information on final design activities refer to Publication 10C, Design Manual 1C, Transportation Engineering Procedures, Chapter 4, Final Design Plan Development. A. Quality Control (QC) by Design Consultant. The design consultant will perform the QC review process as outlined in the consultant s scope of work and the consultant s Quality Control Plan. The QC plan must include development of design review checklists for each type of review and associated criteria. The consultant is also responsible for executing their Quality Assurance (QA) procedures which ensures the QC procedures are performing as intended. B. Sealing. All plans must have the design consultant s professional engineering seal and/or professional land surveying seal as required. The District will not seal any plans. C. Approval and Signatures. When the District does not perform a review and the subsequent approval, the District is not required to sign the plans. For example, traffic control plans, which have a box for the District Traffic Engineer signature, will be revised so that no such box appears on the plans. Similarly, the District Bridge Engineer will not sign the structure plans. As required per Title 75 Pa.C.S., Vehicles, 6109(d) and Title 67 PA Code, Transportation, 212.5, the District will review and sign all permanent and temporary traffic signal plans. The design consultant will submit signal plans to the District for review, approval, and signature. The Right-of-Way plans must be signed and approved by the Department. Right-of-Way plans for Local Lead projects are not signed by the Department unless right-of-way is being acquired on behalf of the Department. The District Executive, Deputy Secretary and Secretary of Transportation will continue to sign the title sheet of all appropriate plans. See Publication 14M, Design Manual Part 3, Plans Presentation, for more guidance on required signatures. D. Status Updates. The design consultant must provide the District with monthly project status update reports for the duration of final design. The updates will include a brief summary of any project issues and an Open Plan schedule update per Publication 615, Scheduling Manual Operating Procedures for Design Schedules Using Open Plan / WelcomHome. The District may also hold periodic progress/status meetings with the design consultant if the project warrants. Any deviations from approved design documents will be included in the status reports. The design consultant is also responsible for notifying the District of circumstances that require reevaluation of the NEPA documentation. Those circumstances include: (1) changes to the project scope, impacts and/or mitigation; and (2) the passage of three or more years since a major authorization or phase change. E. Environmental Commitments. The design consultant is responsible for the ECMTS in accordance with Publication 10X, Design Manual Part 1X Appendices to Design Manuals 1, 1A, 1B, and 1C, Appendix T, AB-2

5 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 Environmental Commitments and Mitigation Tracking System (ECMTS) Process. This includes updating the ECMTS matrix with additional mitigation commitments that arise during final design. F. Third Party Coordination. The design consultant's responsibility for third party coordination during final design should be clearly identified during preliminary engineering. The design consultant will offer the Department the opportunity to participate in all third party coordination activities for which the consultant is identified as responsible. Third party coordination includes, but is not limited to, the following entities: Public Involvement Emergency Responders School Districts Local Governments Adjacent Property Owners Local Businesses Local Police State Police (requires Department participation) Other project stakeholders G. Grouped Projects. If a minor project is grouped with other projects that are designed by other parties, then the design consultant will coordinate the design, traffic control and any other design issues directly with the other designers. The District should group projects in preliminary design, but if grouping of projects occurs in final design, the District is responsible to inform all necessary consultants of the grouping. AB.3 LETTING AND POST BID A. Plans Specifications & Estimate (PS&E) and Project Letting. After the consultant s PS&E review, the design consultant will submit the PS&E to the District, with a letter certifying that all QC/QA reviews have been performed. In this certification letter, the consultant will also list all reviews which the consultant has performed including all third party coordination performed. See page AB-6 for a sample certification letter. Upon receiving the consultant s certification letter, the District will review and approve the PS&E package prior to advertisement in accordance with Publication 51, Bid Package Preparation and Policies Manual. As part of the PS&E review, the District will complete the PS&E Certification List in Publication 51, and attach the form to the Project Development Checklist in ECMS. The District will use the process outlined in Publication 51 and upload documents into EDMS (Electronic Document Management System) and advertise the project. During the advertisement period, the design consultant is responsible for preparing answers for all questions in coordination with the District. For information on advertising and letting see Publication 51. B. QA Review by District. The District will perform a Quality Assurance review on all minor projects. These QA reviews are to be conducted to ensure that broader projects requirements are met and should only include valueadding comments. The QA reviews will occur after advertisement, but prior to let. The District Quality Assurance Form on page AB-5 will be completed as part of this QA review and will be posted to the Project Development Checklist in ECMS. If a No is checked on the District QA Form, take appropriate action to resolve the issue(s). Projects should not be let until all issues are resolved from the QA review. C. QA Review by Central Office. Central Office will perform Quality Assurance reviews of a sampling of minor projects. In addition, Central Office may request to review any project they deem appropriate. These QA reviews will occur after advertisement in coordination with the District. AB-3

6 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 AB.4. PROCURING OF DESIGN CONSULTANTS A. Advertisement and Selection. The project advertisement, both project specific and open-end agreements, must identify that a project could follow the Minor Projects Design Procedures and the selection criteria in the advertisement should consider the quality of the consultant s QC/QA program. The consultant s statement of interest, technical proposal, and prequalification package must include details of their QC/QA plans specific to the minor project process. The selection team members will evaluate the adequacy of the submission, especially the QC/QA details, in accordance with Publication 93, Policy and Procedures for the Administration of Consultant Agreements. The design consultant s scope of work must clearly identify that the design consultant is solely responsible for the project QC during final design and that the Minor Projects Design Procedures will be followed. If a project has been exempted by the District Executive, the advertisement will specify that Appendix AB procedures are not applicable. B. Consultant Accountability. As with all projects, the design consultant for minor projects is responsible for submitting a design which is in conformance with all Department standards, specifications, and publications and which meets the standard of care for design professionals. Any design errors, mistakes or omissions that do not reflect a standard of care, which are identified by the Department, will be the responsibility of the consultant to rectify, at no cost to the Department, in accordance with Publication 93, Policy and Procedures for the Administration of Consultant Agreements, Chapter 5, Consultant Agreement Support, Section 5.7, Design Error Process. The consultant will be held responsible for payment of all costs incurred above what the Department s cost would have been without design errors that are determined to be the responsibility of a consultant, including but not limited to, design and review costs, actual construction costs, and delay costs. AB.5. EXEMPTED PROJECTS As stated in Section AB.0, minor projects can be exempted from the Minor Projects Design Procedures for limited circumstances as approved by the District Executive. Districts must provide a list of exempted projects to the Bureau of Project Delivery, Highway Design and Technology Section Chief. The list must be provided annually by the end of January for all exempted projects that were bid in the previous calendar year including reason(s) why each project was exempted. AB-4

7 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 District Quality Assurance Form ECMS#: County: SR/Sec: Project name: Reviewer: Date: The Quality Assurance review is to be conducted to ensure that broader project requirements are met, in conformance with Department policy and procedures, rather than specific details involved in a quality control review. The Quality Assurance review will include the following items at a minimum: If No" is checked, please provide comment. Attach additional sheets as necessary. 1. Design is in conformance with the Design Field View decisions. YES NO N/A 2. Design is in conformance with Safety Review. 3. Design is in conformance with ProTeam decisions (as applicable). 4. Design addresses all mitigation measures from NEPA. 5. Design in accordance with approved TS&L and Foundation Report. 6. Correct Roadway Construction Standards utilized (i.e. barrier height, guiderail, end treatments, etc). 7. Specifications are in accordance with Department policy. 8. Other comments: Post one completed form per project to Project Development Checklist in ECMS. AB-5

8 Appendix AB Minor Projects Design Procedures Publication 10X (DM-1X) SOL December 2013 SAMPLE CERTIFICATION LETTER May 21, 2012 County SR, Section ECMS # Plans, Specifications and Estimate Certification Mr. /Ms. District Executive Engineering District 7-0 Attention: Dear Mr. /Ms. We are submitting a complete set of plans, specifications and estimate for the County, SR Section project. We hereby certify that a complete quality control and a quality assurance check have been performed. In addition, the following reviews have been performed: Constructability Final Plans Check Final Structure Plans Final Roadway Plans Traffic Control Review Signing and Pavement Markings ADA curb ramp reviews Environmental Commitments ECMTS Final Design matrix PS&E Third party coordination performed in final design includes detour coordination with Township, school District, state police, and ABC Warehouse for driveway access during construction. Public involvement includes a public meeting on / /. Please contact at ( ) - if you have any concerns or questions. Sincerely, Mr./Ms. Design Consultant Company AB-6

9 Appendix N - Constructability Review Procedures Publication 10X for Highway and Bridge Projects SOL APPENDIX N CONSTRUCTABILITY REVIEW PROCEDURES FOR HIGHWAY AND BRIDGE PROJECTS N.0 PURPOSE OF CONSTRUCABILITY REVIEWS AND PROCEDURES A. Constructability Reviews. NCHRP Report 390, Constructability Review Process for Transportation Facilities, defines constructability as "the optimum use of construction knowledge and experience in planning, design, procurement, and field operations to achieve overall project objectives." The purpose of a constructability review is to refine a project's design and increase its construction efficiency. Increased efficiency reduces the need for change orders and the inherent higher unit costs. Constructability reviews also have the potential to reduce disputes, cost overruns, and delays (NCHRP Report 390). The following general requirements are essential for successful constructability reviews: 1. Integration of constructability reviews into the early design process prior to PS&E submission. 2. Uniform and flexible methodology that can be implemented according to individual project requirements and the abilities and available resources of each District. 3. Proper tools for each District. This will include training in constructability as necessary and access to using the statewide open-end agreements for consultant services. 4. Experienced construction personnel involvement. B. Procedures. PennDOT has standard statewide procedures for the incorporation of constructability reviews in the project delivery process. This section identifies methods and resources necessary to implement effective constructability reviews. These procedures establish the uniform methodology to be followed and enable the District Executive (DE), Project Managers, and consultants to adapt constructability reviews to a variety of projects. These procedures also establish criteria for using statewide open-end consultant agreements to hire engineering consultants to provide constructability review services as necessary. The criteria include necessary items to be included in work orders for specific projects. N.1 CONSTRUCTABILITY TEAMS Constructability reviews for individual projects should be conducted by constructability teams at various stages throughout project development. Members of these teams should be experienced in construction, design, maintenance, contract management, and scheduling. For projects other than those described in Publication 10X, Design Manual 1X, Appendix AB, reviews should be conducted using constructability teams established by the DE and Project Manager. The teams should consist of the following staff: a. District personnel from Design, Construction, and Maintenance (always) b. Consultant staff (as needed) c. Central Office and FHWA staff (when determined to be necessary on complex projects). For projects described in Publication 10X, Design Manual 1X, Appendix AB, constructability teams will be established by the consultant, in coordination with the District Project Manager. These teams should include the same District staff as other projects. The extent to which constructability review teams are utilized will be dependent on the complexity of the individual project. The team could be required to be involved only at several points of time for minor projects or continually throughout project development for complex projects. The DE and Project Manager will determine the level of review effort for individual projects (this will be an integral part of developing the Scope of Work for consultant review projects). N.2 CONSTRUCTABILITY TASKS The DE and Project Manager will determine the level of review effort for individual projects. The following tasks are good guidelines for use in determining this effort. On minor projects, the tasks may be reduced. For major projects (particularly those requiring consultant services), these tasks will provide an opportunity to fully address construction N-1

10 Appendix N - Constructability Review Procedures Publication 10X for Highway and Bridge Projects SOL issues during the project development process. In addition, following these guidelines will provide information that can be referenced for use on future projects. A. Review of Plans. The review of plans and other information at various stages in the project development process involves the following issues: 1. Design a. Engineering and Environmental Scoping Field View b. Approximately 30% (Design Field View, including any preliminary Supplemental Plans) c. Approximately 75% (Including preliminary Pre-bid Construction Schedule) d. 95% (PS&E, including Special Provisions and Final Pre-bid Schedule) 2. Construction a. Pre-Construction Conference and Partnering Session b. Traffic Control Plan revision, project scope change, and 50% complete c. Post-construction After Action Review B. Conduct Meetings to Discuss Stage Reviews. C. Prepare and Disseminate Reports and Presentations. 1. Reports should be disseminated and presented to DE, Project Manager, and other parties as necessary. 2. The content of these reports and presentations should include a description of the project; description of the review stage; brief minutes of the stage meeting (could be an attachment); and a list of findings, recommendations, and to whom findings and recommendations were presented. 3. Lessons learned report after construction to be used for future projects. D. Prepare Implementation Plan for Recommendations. For additional information about constructability tasks, review stages, and philosophy, refer to NCHRP Reports 390, Constructability Review Process for Transportation Facilities, and 391, Constructability Review Process for Transportation Facilities Workbook. N.3 OPEN-END AGREEMENTS The following items are guidelines for using open-end agreements for consultant constructability review services. These guidelines are not exhaustive, but give a basis for what to expect in using these agreements. A. When to Use. 1. Complex Projects 2. Not Enough District Personnel Available 3. Determined by DE and Project Manager B. What Consultants Will Provide. 1. Expertise 2. Team Members 3. Reviews of Plans, Special Provisions, etc. 4. Facilitate Meetings 5. Compile Constructability Reports for Each Review Stage 6. Present Findings and Recommendations to DE and Project Manager 7. Prepare Implementation Plan under direction of DE and Project Manager C. What The District Will Provide. 1. Scope of Work for Work Orders 2. Expertise 3. Team Members (Could also include Central Office and FHWA) N-2

11 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL INTRODUCTION CHAPTER 4 FINAL DESIGN PLAN DEVELOPMENT This chapter discusses procedures necessary for Final Design Plan Development. It emphasizes procedures, rather than specific design criteria or plans preparation format, and wherever possible, provides references to additional sources with more specific information and guidance. Although these procedures are formulated primarily for highway and bridge design projects, they are organized in a logical sequence that is directly applicable to developing Final Design Plans for many other modes of transportation. The basic procedures for right-of-way acquisition, utility coordination, geotechnical investigations, geometric design, structural design, etc., do not change from mode to mode. Final Design begins at the direction of the District Executive following preliminary engineering and only after approval of the necessary environmental documentation and Design Approval. The Final Design Phase is typically preceded by preliminary engineering. Programming for funding is discussed in Publication 10, Design Manual Part 1, Chapter 5, Section 5.5. Refer to Publication 51, Bid Package Preparation and Policies Manual, and Publication 448, Innovative Bidding Toolkit, for more information on methods of construction, innovative bidding, proprietary items, liquidated damages, and other issues that affect final design. 4.1 FINAL DESIGN PLANS Final Design Plans are binding legal documents. They are prepared to identify project-related improvements, materials, quantities, and activities. The plans must include sufficient detail to inform project stakeholders (designers, reviewers, contractors, suppliers, etc.) of the actions required to advance the project from design through completion of construction. Final Design Plans must be accurate, concise, and complete. They must contain design data necessary for PennDOT to acquire right-of-way, obtain permits, and satisfy permit conditions. Final Design Plans must also provide reasonable information needed by the contractor to submit a sound, equitable bid and to build the project to PennDOT's standards. A. Contents. A complete set of Final Design Plans will contain Highway Construction Plans (including "Also" plans); Right-of-Way Plans (if required - many 3R projects require no right-ofway acquisition. See Publication 10, Design Manual Part 1, Chapter 2 for a discussion of Highway and Bridge project types); Preliminary Pre-Bid Construction Schedule; Specifications; Special Provisions; and Estimates. Depending on the scope and specific requirements of the project, the "Also" Plans may include: Traffic Control Plan Traffic Monitoring Plan Signing and Pavement Marking Plan 4 1

12 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Utility Relocation Plan Landscaping Plan Erosion and Sediment Pollution Control Plan Wetland Mitigation Plan Highway Lighting Plan Railroad Plan Contamination and Remediation Plan Roadway Test Borings Plan Pavement Sensor Plan Environmental Mitigation Plan Highway Advisory Radio Plan Flashing Warning Device Plan Sign Structure Plan Traffic Signal Plan Interconnect Plan Weather Monitoring System Plan Emergency Detour Plan Soil Profile Plan Contour Grading and Drainage Plan Structure Plans (including sound barrier plans) Cross Sections Existing Structure Plans ECMTS Report (refer to Appendix T in Publication 10X, Design Manual Part 1X, Appendices to Design Manuals 1, 1A, 1B, and 1C) - this is an Attachment to the plan, not really an Also Plan Intelligent Transportation System (ITS) Plans Other Each of these plans will consist of the specific drawing sheets and features described in detail in: Publication 14M, Design Manual Part 3, Plans Presentation. Publication 15M, Design Manual Part 4, Structures. Publication 16M, Design Manual Part 5, Utility Relocations. B. Preparation. Final Design Plans must be prepared in a logical sequence as information is obtained and decisions are made. The plans will be systematically reviewed at specified project milestones by the responsible review agencies, as appropriate, including the District, Bureau of Design (BOD), and the Federal Highway Administration (FHWA). The process assures that the plans conform to approved standards and meet the project objectives. For required project milestones for minor projects designed by consultants, see Design Manual 1X, Appendix AB. 4 2

13 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Publication 14M, Design Manual Part 3, Chapter 10, Traffic Signal Plans Publication 408, Highway Specifications, Section 900, Traffic Accommodation & Control and Section 1104, Traffic Signals Publication 149, Traffic Signal Design Handbook Publication 46, Traffic Engineering Manual Other current publications that may be consulted for additional information are: Manual of Traffic Signal Design, Institute of Transportation Engineers Highway Capacity Manual, Transportation Research Board Manual on Uniform Traffic Control Devices, FHWA A Policy on Geometric Design of Highways and Streets, AASHTO During Final Design, Traffic Signal Plans must be submitted to the District Traffic Unit for review and approval. The PS&E Submission must demonstrate that traffic signal locations and intersection geometrics provide for the safe and efficient movement of traffic and maintain or improve roadway capacity and level of service. This submission must also demonstrate that the corresponding signs for motorists and pedestrians provide information clearly. In addition, the final plans will be reviewed for consistency with design parameters, special provisions, and cost estimates. Temporary Traffic Signal Plans shall comply with Publication 213, Temporary Traffic Control Guidelines, and Publication 408, Section 901 Maintenance and Protection of Traffic During Construction. The Plans should also meet the requirements of the Transportation Management Plan, if required. See Publication 46, Traffic Engineering Manual, Chapter 6, for more information regarding Transportation Management Plans. C. Signing & Sign Lighting Plans. The procedure for determining final sign types, locations, messages and lighting requirements follows: First, the procedure for preparation of a preliminary Signing Plan shall be fulfilled. See Chapter 3 of this manual. The final signing and sign lighting plan shall indicate: - Highway plans indicating precise sign locations and right-of-way boundaries - Sign types - Precise cross-sections (at overhead and Type A sign locations) - Sign messages with all applicable dimensions - Recommended sign lighting, if applicable. The District Traffic Engineer shall review and approve the Signing Plans. PennDOT BOD shall review and approve the Sign Lighting Plan.* When sign lighting is included in Consultant and District designed signing plans, a Preliminary Sign Lighting Field View shall be scheduled by the District with the submission of the preliminary plans to the Central Office Bureau of Design. Simultaneously, the District shall furnish the appropriate electric utility company with a copy of the preliminary plan and request the utility's attendance at the Preliminary Sign 4-5

14 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Lighting Field View. The Preliminary Sign Lighting Field View shall be conducted by District personnel for the purpose of: - Informing the utility of PennDOT's sign lighting needs - Locating power supplies - Investigating possible right-of-way difficulties involving service pole connections - Any other coordination required to expedite providing energy to the highway signs. The District Traffic Engineer will, as necessary, be represented at the Preliminary Sign Lighting Field View. The District Utility Relocation Unit should always be represented to assure conformance to Federal and State utility accommodation policies. Submit final sign lighting plans to the Bureau of Design for approval.* Upon final approval of the sign lighting plan by the Bureau of Design*, a reproducible copy of the approved plan shall be forwarded to the electric utility by the District Executive. The District's forwarding letter should request the utility's prompt completion of the necessary engineering and early coordination of the lighting requirements. Sign structure plans that are Consultant prepared shall be reviewed in the District and approval given by the District Executive.* Sign structure plans that are District prepared, using the Standards for Bridge Construction or Bridge Design, should be thoroughly checked in the District and approval given by the District Executive. Sign structure plans that are prepared by the District, and require a special design, should be submitted to the Bureau of Design, Bridge Quality Assurance Division for review and approval. If sign structures are to be mounted on bridges, the bridge plans shall include the necessary sign structure connections and the bridge design computations must include the effects of the sign structure loads on the bridge. The design must specify the appropriate bridge standards for sign structures. The District may choose a consultant to review and approve shop drawings for sign structures. The consultant may not have prepared the original design specifications. Fabrication control shall be the responsibility of the Bureau of Construction and Materials. * Projects designed using Design Manual 1X, Appendix AB do not require Department review and approval of consultant submittals in final design. D. Pavement Marking Plans. Pavement Marking Plans should generally not be addressed until Final Design. Particular attention should be devoted to interchanges with unusual gore areas, intersections with dual left-turn lanes and other geometrically complex areas. Where possible, pavement markings should be presented on a composite plan with reflectors, delineators, and signing. Depending on the type and complexity of the project, the plans presentation of pavement markings may be limited to major safety items. Other typical markings may be adequately presented by reference to standard details. The required level of detail should be coordinated with the District Traffic Unit. Where possible, the project base mapping should be used to develop the composite plan at a scale of 1:1,000 (1 in=100 ft) to 1:2,000 (1 in=200 ft) commensurate with the complexity of the project. The following items should be included in the plan: 4-6

15 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Appendix N discusses constructability review teams and tasks, and provides guidelines for using open-end agreements for consultant constructability review services. Also included is a useful checklist of issues to be considered in constructability, biddability, and cost estimate reviews. B. Preliminary Plan Check. The Central Office, Bureau of Design, Field Liaison Engineers shall hold three specific types of plan checks. These plan checks include periodic visits to Consultants and Districts (see Section 4.13D), preliminary plan check, and final plan check. The purpose of the preliminary plan check is to eliminate at an early date possible delays that would otherwise be discovered during the Final Plan Check; to make sure that the most recent directives have been received and are being followed; and to check on the follow-up of design review comments from the Central Office, District, and Federal Highway Administration (FHWA). The time when a preliminary plan check should be scheduled will be determined by the Field Liaison Engineer at the periodic visits or by the request of the District Executive. In all cases, the time of the review will be coordinated with the District Executive. Refer to Publication 14M, Design Manual Part 3, Highway Plans Presentation, for information on plan presentation requirements. C. Final Plan Check. The final plan check is performed by representatives of the Bureau of Design - Field Liaison Engineer, District Executive (or designee), and consultant, if applicable. The duties and responsibilities of the representatives attending the plan check are as follows: Field Liaison Engineer: Has the authority of the Bureau of Design, Highway Quality Assurance Division Chief. Is in charge of the final plan check. Is requested to prepare a Plan Review Report on any items that are not correct at the time of the final plan check. Completed copies must be submitted to the District Executive and the Bureau of Design, Contract Development and Award Section, Chief. Will conduct Final Design Plans Checks for all Moderately Complex and Major projects, any Minor projects involving right-of-way acquisition, and all Formal Plan Revisions (see Publication 10, Design Manual Part 1, Tables 2.1, 2.2 and 2.3 for information on Project Complexity Levels), except for projects following the procedures in Publication 10X, Design Manual 1X, Appendix AB. The District Executive shall: Provide qualified personnel to perform all required design review. These reviews shall include checking alignment and grade, length of project, safety, hydraulics, structures, traffic, quantities, etc. The District Executive will be responsible for the accuracy of the work performed by these personnel. 4-51

16 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Consultant: Provide qualified personnel to complete the details specified in the Plan Review Report, including descriptions of any design exceptions or special design(s) requiring environmental mitigation. Prepare the Preliminary Estimate, including bridge and roadway quantities, supporting data and a list of Structural Special Provisions. The District will forward the above-mentioned forms and a complete set of bridge plans to the Bureau of Design, Bridge Quality Assurance Division for a plan check. This information must be available prior to completion of the final plan check. Will notify the Field Liaison Engineer (if required) when the plans will be ready for the final plan check. This notification need not be by letter but should be made at least three weeks in advance of the desired date to allow for scheduling the plan check two weeks in advance. Will prepare an evaluation report indicating the completeness and accuracy of consultant's work, if applicable. These evaluation reports will be used to determine future assignment of work to the consultant. Will conduct the final plans check and complete the Plan Review Report for all projects not requiring Field Liaison Engineer participation (see last bullet under Field Liaison Engineer above), except for projects following the procedures in Publication 10X, Design Manual 1X, Appendix AB. Is required to have the plans and related documents adequately checked prior to the final plan check to eliminate any delay in checking the project. Will send a copy of the letter of transmittal to the Bureau of Design, Highway Quality Assurance Division when the plans are submitted to the District. Will have the Project Engineer, together with adequate design personnel, make any required corrections, and attend the final plan check. It is expected that all required corrections will be made by the consultant prior to leaving the final plan check location. Will provide sufficient sets of prints and the tracings at the final plan check. Will conduct the final plan check for projects following the procedures in Publication 10X, Design Manual 1X, Appendix AB. Refer to Publication 14M, Design Manual Part 3, Highway Plans Presentation, for information on plan presentation requirements. D. Periodic Visits to Consultants and Districts. The purpose of this visit will be to check on the status of all highway projects being designed by the Consultant or District; to determine problems that are causing or could cause delay in the progress of projects; and to assure that the consultant's activities are coordinated for all Districts. This visit by the Bureau of Design Field Liaison Engineer and Project Development Engineer is intended to supplement the visits by District Liaison personnel. 4-52

17 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL Should any District Executive desire to have a representative attend a periodic visit in the consultant's office, contact should be made with the Bureau of Design. The Central Office Field Liaison Engineer shall set a mutually agreeable date for this periodic visit. The District Executive will be notified, in writing, concerning follow-up action needed to resolve any special problems discovered during the visit. It is anticipated that the periodic visit will be combined with the Preliminary Plan Checks when possible a

18 Chapter 4 Final Design Plan Development Publication 10C (DM-1C) SOL THIS PAGE IS INTENTIONALLY LEFT BLANK 4-52 b

19 DM-4, Chapter 1 Administrative Considerations May 2012 Table Bridge Drawings Block Dimensions DESCRIPTION WIDTH HEIGHT Title Block (Standards for Bridge Construction, Standards for Bridge Design) 8 4 3/4 Professional Engineer's Seal Block (and Prepared By) 6 3 Professional Engineer's Seal Block (block only) 3 * 3 * Bridge Supplemental Drawing Block (1/4@ line spacing) 8 OPEN Bridge Revision Block 7 1/2 OPEN *For BRADD, general plan sheet block will be 2 3/8 x 3. For all other BRADD sheets, the sheet block will be 2 3/8 x 2 3/8. Figure Example of Dimensions and Details for Design Drawings A.1-17

20 DM-4, Chapter 1 Administrative Considerations August Title Blocks Refer to Figure Show the following on the first sheet only: + SUPPLEMENTAL DRWGS. Show BRIDGE ENGINEER or CHIEF BRIDGE ENGINEER on the first sheet only. ***For projects designed using the procedures in Publication 10X, Design Manual 1X, Appendix AB, the bridge engineer signature line should be removed. Figure Example of Title Block Basic Information The outline of the title block, dividing lines, and information basic to all projects will be reprinted on the sheets furnished by the Department or CADD generated sheets meeting the requirements of PP The other necessary information shall be added by the designer and shall be shown on each sheet of design drawings as applicable. The county, route, section, segment, offset, station, features intersected, sheet number and S-number shall be shown in a manner similar to the example in Figure PP The offset is to the beginning of the bridge, and the station shown should be at the approximate center of the bridge or at intersecting base lines as applicable. Segments and offsets for existing bridges shall be consistent with the BMS database Description of Structure The number of spans and a brief description of the bridge type (steel, prestressed concrete, etc.) shall be shown below the general information in the title block Description of Drawings A brief description of what is contained on the sheet should be shown below the description of the structure for each sheet of drawings, e.g., General Plan, General Notes and Quantities, Abutment No. 1, Pier No. 3, Framing Plan Spans 10 and 11,etc. A.1-18

21 DM-4, Chapter 1 Administrative Considerations August 2012 Table Review and Approval Responsibility for PennDOT Oversight Projects PennDOT OVERSIGHT PROJECTS (Interstate projects with cost $3 million, other NHS projects costing < $15 million and Off NHS Projects) in accordance with the June 2007 Stewardship and Oversight Agreement AND NON-FEDERALLY FUNDED PROJECTS INCLUDING LOCAL PROJECTS Item/Category BDTD TS & L (1) District Br. Engr. Final Plans Approvals (2,3) BDTD District Br. Engr. 1. Deck rehabilitation Superstructure rehabilitation Substructure rehabilitation Culvert extension Wall rehabilitation Deck & superstructure replacement - 7. New bridges & bridge replacements with bridge cost < $15 million 8. New bridges & bridge replacements with bridge cost $15 million - (see remarks) (see remarks) (see remarks) (see remarks) 9. Culverts Retaining walls < 30 ft. height Arches 60 ft. Span L Mechanically stabilized earth walls Sound Barrier Walls Retaining walls 30 ft. 15. Arches > 60 ft. 16. Designs which use non-aashto load distribution factors 17. Unusual structures 18. Anchored walls 19. All design exceptions to structural design criteria and policies Remarks BDTD is only responsible for multi-span steel bridges, steel bridges having skew < 70, curved girders, complex and unusual bridges, bridges designed using 3D analysis, and fracture-critical bridges. BDTD is only responsible for multi-span steel bridges, steel bridges having skew < 70, curved girders, complex and unusual bridges, bridges designed using 3D analysis, and fracture-critical bridges. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Final plan approval authority may be transferred to Dist. Br. Engr. on case-by-case basis. Over STRAHNET, coordinate with FHWA for exceptions to 16.0 ft. minimum vertical clearance and changes to clearances currently less than 16.0 ft.. See DM-2, Section Other design exceptions must follow guidance as defined in DM-1X, Appendix P and be coordinated with HDD. 20. Non-redundant structures All experimental or demonstration items Light poles Review and approve for structural capacity only. See Appendix B. 23. Sign structures No formal approval is required. 24. DMS structures - - Note: (1) Includes Conceptual and Final TS&L submissions for Design-Build projects. (2) Includes Final Plans for Design-Build projects. (3) For projects designed using the procedures in Publication 10X, Design Manual 1X, Appendix AB, all final plan QC reviews are the responsibility of the design consultant. A copy of all approvals by Dist. Br. Engr. and completed Q/A forms must be sent to BDTD. Scour, seismic retrofit, safety, expansion dams, and load capacity items must be addressed for all work categories. All design exceptions for structures must be approved by BDTD and/or FHWA. Exceptions or waivers of HBP program eligibility criteria must be approved by FHWA Division. A.1-45

22 DM-4, Chapter 1 Administrative Considerations May Permit Applications and Hydrologic and Hydraulic Report Permit Applications and Hydrologic and Hydraulic Reports shall be prepared to meet the design requirements of Design Manual, Part 2, Chapter 10; Design Manual, Part 4, Chapter PP7; PennDOT Drainage Manual, Publication 584; active Strike- Off-Letters (SOLs); and applicable requirements for regulatory permits. The following procedures and guidelines apply to all PennDOT projects (Federal-Aid and 100% State) for the submission and review of Hydrologic and Hydraulic Reports: 1. All information required for meeting design and regulatory requirements for individual permits, small projects and General Permit-11 (GP-11) shall be prepared and submitted in electronic copy through the Joint Permit Application (JPA2) system. General Permit-3 (Bank Rehabilitation, Bank Protection, and Gravel Bar Removal) and General Permit-8 (Temporary Road Crossings) may be prepared and submitted electronically if they are a part of a project as an attachment to a GP-11. All other permit applications shall be prepared and submitted in hardcopy. Permits for local projects may be prepared in the JPA2 system but shall be submitted in hardcopy. The information developed shall be reviewed by the District Environmental Manager and District technical staff to ensure compliance with all applicable design, environmental, and regulatory requirements. The information developed shall: a. include the results of the hydrologic and hydraulic analyses associated with design of the waterway structures or encroachments, b. incorporate pertinent prior National Environmental Policy Act (NEPA) documents by reference or excerpt, c. address coordination activities with environmental resources agencies, and d. reflect any commitments or agreements reached which may affect the processing of the permit application. 2. For permit applications prepared and submitted in hardcopy, one copy of the permit application package shall be sent to the Bureau of Project Delivery for quality assurance (Q/A) review. Hydrologic and Hydraulic Reports for municipal structures using Federal-aid funds also shall be submitted by the Engineering District to Bureau of Project Delivery for quality assurance (Q/A) review (see Step 5 below). For permit applications prepared and submitted in hardcopy, the Engineering District shall submit one additional copy of the Hydrologic and Hydraulic Report to the Bureau of Project Delivery for transmittal to the Federal Highway Administration (FHWA) for review and approval of projects involving any of the following issues: a. Significant or controversial channel changes. b. Significant or controversial backwater easements. c. Significant bridge scour (usually manifested by high stream velocity, severe waterway constriction, deep foundation and/or expensive scour mitigation measures). d. Permanent impoundments or causeways involving roadway embankments. e. Major bridges with costs of more than $15 million. 3. For Joint Permit Applications, the Engineering District shall perform necessary coordination with the applicable counties and municipalities pursuant to 25 Pa.Code (d)(1)(v-vi) pertaining to the Stormwater Management Act (32 P.S et seq.) and the Floodplain Management Act (32 P.S et seq.). For permit applications involving communities with Stormwater Management Plans, or Floodplain Management Plans, implemented under the Acts, the Engineering District shall request from the local municipality a written statement that the proposed project is consistent with local stormwater management plans and with local floodplain management plans. If the Engineering District cannot obtain a written statement of consistency, the Engineering District must provide sufficient documentation with the permit application to demonstrate consistency with local plans implemented under the Acts. 4. For Joint Permit Applications, the Engineering District shall consider local land use plans. 5. The Engineering District shall complete and sign the appropriate permit application form or letter and send three sets of the permit application packet (including a completed application form or letter, and the required attachments) to the appropriate regulatory reviewing authority or submit the permit application to them through the JPA2 system. More or fewer sets of the permit application packet may be required by the regulatory review authorities, depending on the type of permits or nature of permit requests involved. For Joint Permit Applications, the primary regulatory review authority will coordinate review A.1-46