Chapter 3 – Preliminary Engineering Procedures Publication 10C (DM-1C)

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Chapter 3 – Preliminary Engineering Procedures Publication 10C (DM-1C)

The Design Field View Submission is often the most important submission made on a project.
This submission not only impacts the scope of the project but may have extensive effects on the
schedule and budget. It requires a significant portion of the preliminary design effort. The Design
Field View Submission should be the result of extensive investigation and thorough evaluation
of various design alternatives.

The decisions made in preparing the Design Field View Submission are integral to the final
design process. All Design Field View efforts should be directed at resolving all outstanding
issues that must be detailed in the project's Final Design plans. This approach will enhance the
quality of the final design by minimizing unnecessary rework and conserving budget for
refinements and final checking.

a. Title Sheet. The title sheet should be approximately 50 percent complete, including the
following information as a minimum:

Right-of-Way notes (particularly for limited access roadways)

Tabulation of ALSO plans
All Design Designation data
Required "S" (structure) numbers
Station limits
Project Length
Limit of Work Stations

"S" numbers themselves may not be established at the time of the Design Field View
Submission. However, the required number of S's should be indicated reflecting the proposed
number of structures.

b. Index Sheet. The Index Sheet information is required for the development of typical
sections and presentation of the existing geometry. The Index Sheet should be approximately 50
percent complete, including the following information as a minimum:

Index map
Start and stop work stations
Tabulation of segment equalities
Record of existing road types
Sheet index block
Project location on state map
List of property owners

Preparing this sheet early may eliminate the need to re-station both existing and proposed
geometry. For a complete listing of required features, refer to Publication 14M, Design Manual
Part 3.

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c. Location Map and General Notes. More information is often needed for these drawings
than will fit on one sheet. Use as many sheets as necessary to present the required information.
As indicated in Publication 14M, Design Manual Part 3, the following information shall be
presented:

Tabulation of Overall Length and Construction Length.

List of Stationing Equalities.
Location Map.
List of Public Utilities.
Tabulation of Project Coordinates.
General Notes.
List of Segments and Offsets with Corresponding Stationing.
Earthwork Summary.

d. Typical Sections. Typical sections provide a detailed view of important roadway features.
They must be carefully selected and integrated into the project design for the roadway to meet
safety standards and its functional requirements. See Section 3.3-B13 for a detailed discussion of
typical sections.

e. Existing Geometry. Most PennDOT projects involve improvements to existing highways.

The existing geometry of these highways should be determined from "as-built" drawings
supplemented by field-surveyed measurements and presented on the project's construction plans
(see Publication 122M, Survey and Mapping Manual and Publication 14M, Design Manual. Part
3, Plans Presentation). This existing geometry should replicate the "as-built" geometry as
closely as possible based on reasonable efforts to fit the highway's "as-built" data to field
surveyed data. This "as-built" data provides a crucial link between the highway's existing right-
of-way lines and its physical construction.

Conventional survey instruments and photogrammetric techniques can produce measurements

and mapping that is far more accurate than historical methods. Discrepancies between a
roadway's "as-built" geometry and field-surveyed geometry are inevitable due to advancements
in survey techniques and equipment. Consequently, particular attention must be devoted to the
development of existing geometry by verification of as built data.

The existing geometry should be tied to established benchmarks of known coordinates and
elevations. The existing geometry should include bearings, curve data, all points of curvature,
indication of arc or chord definition and proper labeling of all baselines and curve data.

Any traverse points established by survey to locate beginning and ending points of a project
should be clearly identified on the plan. Benchmarks are typically shown on the construction
plan and depict the actual benchmark location. However, providing this data on the existing
geometry sheet at one convenient location is acceptable.

Construction plans for the Design Field View Submission should clearly depict all identifiable
legal and topographic features, including right-of-way lines, easements and both underground

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and overhead utilities. These features should be presented according to the graphic standards
contained in Publication 14M, Design Manual Part 3 and appropriately labeled with specific
types and sizes. Any abandoned utilities should be shown and labeled accordingly. Depending on
the project type and scope, identifying all pertinent existing features may require doing field
surveys to verify and supplement aerial mapping if available.

On projects involving the rehabilitation of an existing roadway, the existing geometry must be
established and tied to the project's horizontal and vertical control points. Modern survey
equipment and photogrammetry techniques can produce minor variations between the data
required to satisfy new survey and photogrammetry and the data considered "as-built.”
Combining deflection angles obtained from the current survey with radii obtained from "as-built"
will generally produce the most satisfactory Design Field View results.

Construction plans for the Design Field View Submission should clearly depict any topographic
features that are critical to the design concept. However, the plans should not be encumbered
with secondary final design information that may obscure these features. The purpose of the
Design Field View construction plans is to identify critical design issues to be discussed and
resolved at the subsequent meeting and field view. Typically, the resolution may require
modifications to the proposed line, grade, and typical sections. Until the preferred alignment is
approved and thoroughly refined in Final Design, much of this secondary information is
indefinite and should not be presented.

This approach is mutually beneficial to both the designer and reviewer. The reviewer can better
recognize and address critical features without the clutter of extraneous final design information.
The designer can avoid doing final design calculations prematurely and can therefore devote
more attention to the truly critical design issues.

An additional purpose of the Design Field View Submission is to afford PennDOT an

opportunity to prepare for the Safety Review and Value Engineering Review. These reviews are
most efficiently accomplished if the plan presentation is clear, concise and based on sound
engineering principles.

f. Existing Utilities. Obtaining existing utility data can be difficult and very time
consuming; the Design Team should request this information from utility owners immediately
following Notice to Proceed. The Design Team shall contact the District or the county Recorder
of Deeds to obtain a list of utility owners with facilities in the area. Using this list, the Design
Team shall advise each utility owner of the project and shall request information about any
facilities in the area of the project.

The letter of transmittal sent to the utility owners shall include a written description of the project
limits. It also shall contain a minimum 1:2,000 (1 in=200 ft) scale map locating the project by
County and Municipality (if applicable). The map shall include sufficient topographic detail to
show clearly the approximate project limits. See Figure 3.3 for a sample letter of transmittal.

The Design Team should exert as much effort as necessary to locate utility facilities in critical
areas of the project. This may require conducting supplemental field surveys to locate surface

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features including overhead wires, poles, valves, manholes, junction boxes, and pipeline
markers.

If sufficient data cannot be obtained from the utility owners, reasonable care should be taken to
develop a theoretical utility layout that can be verified with test pits. This layout can be very
valuable in evaluating the impact of the proposed improvements on existing utilities and
estimating construction costs. All utility locations presented on plans for the Design Field View
Submission should be verified with the appropriate utility owners immediately following the
Design Field View and Safety Review. See Publication 16M, Design Manual Part 5, Utility
Relocation for more information.

g. Plan Sheets. The plans for the Design Field View Submission should clearly display the
proposed design concept and identify any conflicts requiring discussion and possible design
exceptions. Information required for Design Field View Plan Sheets is shown in Figure 3.2. Note
that minor drainage features (inlets, pipes, and stormwater management basins) layout should be
developed using very preliminary calculations and engineering judgment based on previous
experience. Detailed calculations are not warranted for this layout. Major drainage structures
(culverts, stream and river bridges, etc.) should include the results of HEC-2 or HEC-RAS
program runs presented in the appropriate hydraulic information block.

Preliminary plans involving Railroad facilities should clearly identify existing Railroad features,
including Railroad mileposts, and crossing DOT numbers. On at-grade highway-railroad
crossings the existing elevation of each rail and the proposed finished grade of the highway at
each rail must be indicated on the plans.

h. Profile Sheets. The amount of detail included on profile sheets should be sufficient to
show clearly the proposed grade, but should not significantly exceed the minimum requirements
shown in Figure 3.2. Providing excess detail for this submission is unwarranted, can be a major
cause of unnecessary rework and can detract from the effectiveness of the submission. A
measured approach to profile preparation is recommended.

Minor line adjustments during final design should be expected. Because the proposed grade must
be specific to the proposed line, any final design refinements to the proposed line will require
adjustments to the grade. Profile design is an interactive process, heavily influenced by other
design considerations, including geometrics; structures; earthwork analysis; drainage; and right-
of-way.

Any existing or proposed features that could be potential vertical control points or otherwise
have a significant influence on the profile design (bridges, culverts, major overhead and
underground utilities, flood water elevations, Railroads, etc.) should be included on the profiles.

Superelevation (SE) data can be shown on the profile to help identify problems that may occur
with bridges or culverts, substandard transition rates due to reverse or broken-back curves, rates
that exceed the minimum, etc. If not shown on the profiles, this information should be presented
in another form.

i. Critical Cross Sections. The number of cross sections required depends on the location
and complexity of the project. New location projects with few existing constraints generally

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require only enough cross sections to figure out approximate right-of-way limits and earthwork
quantities.

These cross sections are needed to:

Support the proposed line, grade, and typical section design.
Identify and resolve any potential conflicts.
Show any major proposed drainage structures.
Show limits of the slope and any adverse impacts on adjoining property.

Cross sections for the Design Field View Submission should be sufficiently detailed to relay
clearly the proposed template to the existing grade. As with other Design Field View drawings,
the amount of detail provided on the cross sections should not significantly exceed the minimum
requirements listed below. Providing excess detail is unwarranted and can be a major cause of
unnecessary rework.

Specifically, the cross sections should show at least those features shown in Figure 3.2 and a
preliminary earthwork analysis. The latter should be developed on a broader interval than the
final cross sections. In areas of potential conflict, cross sections should provide sufficient detail
to allow the Design Team and the District to make fully informed decisions. This is particularly
true when justification of a design exception is required.

Cross sections may also show:

Environmentally sensitive areas to be avoided (cemeteries, wetlands, historic structures,
etc.)
Adjacent roadways, railroads, streams and drainage ditches
Stormwater management facilities, including the need for temporary construction
easements.

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FIGURE 3.3

SAMPLE LETTER OF TRANSMITTAL

County

SR

Township

Dear Sir:

We have been authorized by the Pennsylvania Department of Transportation to

make a survey and prepare Preliminary Engineering plans for preliminary studies of
alignment and profile for project name .

This project is located in Township, _____ County.

It begins at a point approximately hundred meters ( hundred feet) from the
intersection of Road and Traffic Route (State Route )
and continues along Road to a point approximately hundred meters (
hundred feet) from the intersection of and Road a distance of
approximately hundred meters ( hundred feet) from Traffic Route .

We are furnishing you with this information so that you may advise us of any
utility installations, either underground or aerial, that may be affected by the proposed
construction. If you have no installations in the area mentioned, please advise us to that
effect. Your response is requested by ___________. Please send response and direct any
questions related to this project to _____________ at ________________.

It is our intention to give your representative an opportunity to review our

proposed plans at a future conference in this office.

A location map is attached.

Very truly yours,

Project Manager

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j. Structure Plans. Although not requiring detailed hydrologic and hydraulic analysis, the
approximate openings of bridges over water must be determined before the Design Field View
Submission. Structure plans are not needed for the Design Field View Submission, but Type,
Size and Location (TS&L) information should be available. Thorough coordination of structural
issues is needed to develop a complete design concept and prepare an accurate cost estimate.
Bridge skews, span lengths, and substructure arrangements (full height, mid height or stub
abutments) determine structure depths that may control the profile design. Retaining wall designs
can greatly affect project cost, construction staging, traffic control issues, and the selection of
roadway safety appurtenances including guide rail, barrier, etc.

For Railroad grade separations, the existing, required and proposed (actual) vertical and
horizontal clearances must be clearly shown on the TS&L plans for the proposed structure. Refer
to Publication 15M, Design Manual Part 4, Volume 1, Part B, Section 2 and latest edition of
Publication 371 for additional details pertaining to Railroad horizontal and vertical clearances.

In the development of the TS&L plans for bridge projects over Railroad facilities, early
coordination and involvement with the Railroad shall be in accordance with the latest edition of
Publication 371, Grade Crossing Manual, Chapter 4. This would allow for the Railroad’s input to
various design parameters being considered. Also refer to Publication 15M, Design Manual Part
4, Volume 1, Chapter 1, Section 1.9.3

For bridge projects over Railroad facilities the submission of the TS&L shall include a copy of
the Railroad’s letter of approval in accordance with Publication 15M, Design Manual Part 4,
Volume 1, Chapter 1, Section 1.9.3.3.1 (e)(13) 5.

The Design Field View Submission should include a description and sketches of all proposed
structures. The submission should also summarize the assumptions and considerations that led to
the selection of the preferred structure type. It is important to document these design
considerations for the reviewers and subsequent design activity. Important information includes
the assumed superstructure depth used to set the profile.

k. Mass Diagrams. A mass diagram is a very flexible and useful design tool for studying
earthwork distributions and optimizing the sequence of grading operations. Mass diagrams are
particularly useful on projects involving large quantities of earthwork and/or complicated
construction staging. These diagrams should be generated as alternate line and grade
combinations are investigated. The diagrams should be included in the Design Field View
Submission to support the proposed preliminary line and grade design.

On new corridor location projects, for example, the earthwork distribution that balances cut and
fill quantities with minimum haul distances often determines the limits of design and
construction sections. Alternatively, highway reconstruction projects that have a net earthwork
balance often involve temporary roadways. These roadways require material to be borrowed or
wasted because material is temporarily unavailable or in excess supply at various times in the
project schedule. A mass diagram can also help determine economical waste disposal and/or
borrow site locations for projects that cannot be balanced on site.

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A mass diagram is prepared by showing the project stationing on a straight baseline or "zero
line" and plotting cubic meters (yards) of cumulative cut and fill (see Figure 3.4). Wherever
accumulated fill, starting at the project's beginning station exceeds accumulated cut, the mass
curve will be below the zero line. If there is an excess of cut, it will be above the line. The mass
diagram does not indicate total cubic meters (yards) of either cut or fill.

To produce an initial mass diagram, plot cut and fill volumes from cross sections prepared at 40
to 80 m (150 to 300 ft) intervals over the entire length of the project. Depending on the relative
amount of permanent and temporary earthwork, these quantities may be combined or plotted
separately. This initial diagram can provide a reasonably accurate indication of the project's
earthwork distribution. By iteratively refining the diagram and adjusting the grade, a designer
can determine the optimum earthwork distribution for a given alignment.

l. Design Exceptions. Publication 13M, Design Manual Part 2, Chapter 1 requires that,
when minimum design values of controlling criteria cannot be met, a design exception request
shall be prepared with full justification provided for the retention, limited improvement, or
partial mitigation of these features. The approval of a project design feature not conforming to
the minimum controlling criteria should be made only after consideration is given to all project
conditions such as service life, safety benefits, compatibility with adjacent sections of
unimproved roadways, and the length of time the highway will function under an acceptable
level of service.

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Design exception requests on Federal Oversight Projects require written approval from the
FHWA when AASHTO criteria cannot be met. Design exception requests for PennDOT
Oversight Projects require written approval from the Director, Bureau of Design, or the District
Executive, depending on delegation authority. Design exceptions for both PennDOT Oversight
and Federal Oversight Projects are submitted in letter format to the approval authority.

See Appendix P, Design Exceptions, in Publication 10X, Design Manual Part 1X, Appendices to
Design Manuals 1, 1A, 1B, and 1C for further discussion of procedures for preparing Design
Exception requests.

m. Cost Estimate. A very important aspect of Preliminary Engineering is the determination

of the approximate construction cost of a project. For the Design Field View Submission, the
cost estimate should be prepared in consideration of all major construction items including:

Pavement
Drainage and Stormwater
Erosion and Sediment Pollution Control
Structures
Guide rail and concrete barrier
Earthwork
Maintenance and Protection of Traffic
Utility relocations
Roadway lighting
Concrete curbs, curb ramps, and sidewalks
Demolitions
Landscaping
Erosion and Sediment Pollution Controls
Mitigation measures
Any unusual conditions, including hazardous substance mitigation, mine voids, etc.
The cost of each of these items should be calculated following an analysis of current unit prices
and determination of required construction quantities. It is important to provide as
comprehensive a listing of items as possible and to document all relevant assumptions. Quantity
estimates, cost calculations, assumptions and all other "backup" data should be organized in a
three-ring binder for future reference. The cost estimate should be prepared on an electronic
spreadsheet in the format specified by the District.

For additional guidance regarding the preparation of the Design Field View’s Construction Cost
Estimate, refer to Publication 352, Estimating Manual.

Enough information may not be available to prepare detailed quantity computations. In this
situation, the cost estimate for the Design Field View Submission may not enable the District to
make important decisions concerning cost, schedule, and project funding. The Project Manager
should monitor project costs closely and inform the District Portfolio Manager immediately of

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any significant cost increases. Many important value engineering decisions are based on
preliminary cost estimates.

n. Traffic Control. Prior to the Design Field View, it will be known if the project is
considered "significant.” A "significant" (see Publication 46) project requires a draft TMP to be
submitted with the Design Field View submission. If a project is determined to be "not
significant" a TMP is not required, however the Design Field View submission should still
contain a preliminary TCP.

4. Design Field View Submission. The purpose of a Design Field View Submission is to:

Facilitate review comments on the proposed Preliminary Design of the preferred

alternative
Acquaint reviewers with the project site before the actual Design Field View
Obtain Design Field View Approval for the project's preferred alternative
Confirm project impacts as indicated in the NEPA document (includes verifying
mitigation commitments and updating the ECMTS report – refer to Appendix T in
Publication 10X, Design Manual Part 1X, Appendices to Design Manuals 1, 1A, 1B,
and 1C).
Review and obtain comments on the preliminary design prior to final right-of-way and
construction plan development
Most projects that require a Design Field View Submission require only one submission.
Depending on the nature of the project, the Design Field View Submission is typically approved
at the end of Preliminary Engineering, before the start of Final Design.

Final Design Field View Submissions are typically prepared for projects advanced from Scoping
Field View directly to Final Design with little to no Preliminary Engineering activity. Pavement
reconstruction and bridge replacement projects on which line, grade, and typical sections are
already established are prime examples of projects well suited to Final Design Field View
Submissions. Final Design Field View Submissions are most beneficial if prepared early in Final
Design (e.g., about 35 percent completion). Review comments can then be incorporated without
causing rework or unnecessary changes.

A Design Field View Submission may be requested for a specific aspect of the project, such as
utilities, drainage or traffic control, if necessary. Occasionally, on complicated or very
controversial projects, the District or Central Office may request a Line and Grade submission as
well as a Design Field View Submission. The Design Field View Submission should identify and
support all significant design assumptions and decisions that are not readily apparent on the
plans. See Figure 3.2 for a checklist of Design Field View Documentation and Submission
requirements. Note that plans should be ½ sizes unless requested otherwise by Central Office or
FHWA.

For PennDOT Oversight projects, the District will forward the Design Field View Submission to
the Central Office, Bureau of Design. If necessary, additional copies may be requested by the
Bureau of Design. For "significant projects”, a draft Transportation Management Plan must be

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submitted with the Design Field View Submission. See Publication 46, Traffic Engineering
Manual, Section 6.3.

For Federal Oversight projects, the District will forward two copies of the Design Field View
Submission to the Central Office, Bureau of Design. The Bureau of Design will forward one of
these copies and the suggested dates for the field view to the FHWA. The field view will be
attended by the FHWA, District Office, Bureau of Design, and the Design Agency. The District
Office will confirm the time of the field view with the Bureau of Design.

D. Design Field View and Approval

The need for a Design Field View Submission is determined at the Scoping Field View based on
the project's oversight status, complexity and anticipated environmental impact. Design Field
View submissions are typically made at approximately 30% PS&E completion. The purpose of
the actual Design Field View is to evaluate the Design Field View Submission under field
conditions. This is an important opportunity to:

Meet with the Central Office Bureaus, FHWA and affected review agencies
Obtain pertinent review comments
Reach consensus on critical issues
Identify aspects of the project requiring special attention in Final Design

The Design Field View complements the Design Field View Submission and is typically held
within several weeks of its submission. Depending on the project's oversight status and
complexity, the FHWA and various Central Office Bureaus may elect to participate. A Design
Field View is expected for Federal Oversight projects and typically requires the highest level of
participation. For certain Minor (See Publication 10, Design Manual Part 1, Tables 2.1, 2.2 and
2.3) PennDOT Oversight projects, the Design Field View Meeting may be waived.
Representatives of the Design Team should be prepared to justify the design, identify any
required design exceptions and/or conflict areas, and explain all design assumptions.

Depending on the nature of the project, a Design Field View may be conducted at the end of
Preliminary Engineering or during Final Design. On complicated projects, the District or Central
Office may request both a Preliminary Engineering and a Final Design Field View.

Design Field View minutes serve as the official record of key decisions reached during the field
view. The District Project Manager is responsible for preparing the field view minutes and
distributing them to all attendees. The minutes should include a project index map, location map,
typical sections, anticipated design exceptions, and an updated cost estimate to be forwarded to
the Center for Program Development and Management. For Federal Oversight projects,
signatories to the approval of the minutes must include the FHWA Area Engineer and the Bureau
of Design Project Development Engineer.

Design Field View Approval indicates that all Preliminary Engineering requirements have been
met and the Preferred Alternative is approved for Final Design development. Design Field View
Approval will occur following Environmental Clearance/Design Approval. In the case of

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PennDOT Oversight projects, this approval is typically provided by the District Executive or the
Director, Bureau of Design. In the case of a Federal Oversight project, however, the FHWA
provides this approval.

E. Design Approval

Design Approval is an administrative action taken by PennDOT at the conclusion of Preliminary

Engineering to officially certify the route location and major design features of a highway.
Design Approval is granted only after Environmental Clearance is obtained. Legal notices are
placed in local newspapers to advise interested parties of requests for and receipt of design
approval. With Design Approval, a project is clear to advance to Final Design.

F. Programming of Construction Funding at NEPA Approval

The TIP must include construction funding prior to NEPA approval; all project phases must be
accurately programmed on a fiscally constrained transportation plan (TIP or LRTP) prior to
NEPA clearance. Therefore, it is critical at this time to update the previous scoping estimate with
the available project information as well as review cost contingencies. The amount of effort to
update the estimate at the end of the Design Field View stage will depend on the amount of time
elapsed since the NEPA approval estimate update and the impact of additional project
information.

The Design Field View construction cost estimate is to be compared against the construction cost
estimate developed at the Scoping Field View, and if necessary, updates must be made to the
construction cost estimate through the District's Planning and Programming process.

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