237.9 Submission of Plans and Supporting Documents

From Engineering_Policy_Guide
Revision as of 09:19, 10 February 2015 by Smithk (talk | contribs) (updated links to D-12 to accommodate SharePoint)
Jump to navigation Jump to search
Discuss the amount and type of excavation included in the project during the pre-bid conference

237.9.1 Final Design Plans Submittal

In preparation for the bid opening of a project, the district submits the following information in an electronic format to Design: Form D-12 (included in the email to plan.submittal@modot.mo.gov), electronically signed and sealed set of plans, job special provisions, estimate, electronic deliverables and other miscellaneous data necessary to process the project. The district retains all original data submitted in the ProjectWise document management system. Submittal of paper plans is not allowed unless specifically approved by Design.

Figures
Example of a Pre-bid Meeting Agenda
Forms
District Final Plans Checklist, Form D-12
Form D-15, Cover Letter
Form D-15, Equipment and Materials List
Conflict of Interest Form (MHTC Agenda Checklist)

All plans shall be designed in English units. No metric units or pay items will be allowed.

237.9.1.1 Plans. Detail plans submitted to Design must be a complete set of construction plans, except standard plans and bridge drawings and placed in the Contract Plans folder of ProjectWise. The district will submit the roadway plans and the Bridge Division will submit the bridge plans to Central Office Design.

237.9.1.2 Job Special Provisions. An electronic copy of the job special provisions (JSP) is provided via the ProjectWise document management system. The job special provisions must be submitted in Word format and placed in the Specification and Estimate folder in ProjectWise.

237.9.1.3 Estimate. An electronic copy of the project estimate is provided via the ProjectWise document management system. The file shall be in pdf format. The district or consultant estimate submitted to Design is not to contain any bridge estimates. Bridge will submit all bridge estimates.

237.9.1.4 Equipment and Materials List. All projects containing permanent highway lighting or traffic signal items, or temporary lighting and signal items to be retained by the Commission, require an Equipment and Materials List (Form D-15). An electronic copy of the form and the Form D-15 cover letter shall be transmitted via the ProjectWise document management system and placed in Specification and Estimate folder in ProjectWise. The file shall be in pdf format.

237.9.1.5 Conflict of Interest. The district shall ensure the conflict of interest status previously reported to program management is current. The district is to complete the MHTC Agenda Checklist, which can be found electronically in the Word forms under the MoDOT tab. This form is to be completed whether there has been a change in the status as previously submitted or not and placed in the Specification and Estimate folder in ProjectWise. For more information regarding conflict of interest, see Presentation for Location or Design Approval to the Commission and Plan Submittal and Filing.

237.9.1.6 Miscellaneous. The working days study and recommendation, utilities clearance certification letter, the Conflict of Interest form, and roadway estimate are submitted with every job. These items are placed in the Specification and Estimate folder in ProjectWise.

237.9.2 Electronic Information

237.9.2.1 Estimates

Before submitting plans and project documents, verify that key project data is accurately entered in MoDOT’s project estimating software. Consult the “PROJECT INFORMATION” screen to verify the accuracy of the project data shown. This includes, but is not limited to, the route number(s), log miles and/or stationing, job description, location description, longitude and latitude. Identify specific routes when giving the route information. If the project involves multiple routes, list each of their numbers or abbreviations. Enter the longitude and latitude of the project midpoint. Longitudes and latitudes are used to analyze the distribution of funds, projects and construction types and accurate completion of this information is vital. Longitude and latitude coordinates may be obtained from MoDOT’s county maps, USGS maps, GPS devices, or other means. Enter these numbers as degrees, minutes and seconds. If seconds cannot be determined, these may be entered as “00”.

237.9.2.2 Horizontal and Vertical Alignments

Before submitting plans and project information for Automated Machine Guidance construction methods, verify that all horizontal and vertical alignments in the coordinate geometry database (a.k.a. GPK file) contain the final alignments used for developing the plans submitted and are accurate. The coordinate geometry database should not include any preliminary alignments used in the development of the plans.

237.9.3 Project Submittal Schedule

All plans, specifications and estimates (PS&E), must be received in Central Office Design no later than 10 weeks prior to the bid opening date. Projects with full FHWA involvement and projects designed for the US Forest Service must be received in Central Office Design no later than 14 weeks prior to the bid opening date. A list of the federal involvement projects is available. This will provide the minimum amount of time required for processing and printing plans and proposals, obtaining FHWA approval and other required approvals, and advertising projects for bidding. The deadline for submitting extremely complex projects, or those projects requiring a pre-bid conference, must be coordinated with Design. All right of way clearances, utility adjustments, permits, agreements, bridge designs, archaeological and environmental matters, etc., are to be completed prior to the submission of plans for the bid opening. If these items are not complete at the time of the PS&E submittal, the project will be identified as late on the Division Tracker Measure.

237.9.4 Pre-Bid Conferences

Pre-bid conferences are held to increase potential bidders’ understanding of the plans and specifications. A pre-bid conference is not a substitute for a constructability review by the project team during plan development. Pre-bid conferences are required for all unique or complex projects, or projects with particularly difficult or unusual staging or construction methods. As a general rule, a pre-bid conference is to be held for any project with a programmed cost in excess of $20 million, although the cost of the project is not the only factor to be considered.

Pre-bid conferences are typically held one to two weeks after the advertisement of the project. The time and location of the pre-bid conference are set by the project manager in coordination with Central Office Design. Bidding documents are provided to potential bidders in sufficient time to provide an opportunity for review. Minutes and a listing of all who attended the pre-bid conference are to be completed by the project manager and sent to the reviewer in Central Office Design. The reviewer will post the minutes and listing on MoDOT’s Pre-Bid Notices website. Changes to the bidding documents as a result of the pre-bid conference will be handled as an addendum.

The MoDOT project manager is responsible for preparing an agenda for the pre-bid conference, and ensuring the proper topics are discussed. The following is a list of possible topics that may be discussed at the pre-bid conference:

  • Project overview
  • General discussion of the design philosophy used for this project.
  • Status of right of way acquisition (if not clear).
  • Status of utility adjustments (if not clear).
  • Any non-standard pay items or special bid items including “No Direct Pay” or lump sum items.
  • Any bid item including work that may not be readily apparent to the contractor.
  • Any item or condition out of the ordinary.
  • All special provisions, especially any unusual conditions.
  • Any constructability concern or anticipated difficulty during the construction.
  • General clarification of major bid items.
  • Discuss the available sub-surface information, the amount and type of excavation included in the project, and the availability of any necessary borrow material.
  • Traffic Control Plans and how they relates to any staged construction.
  • Options for staging of construction.
  • Critical schedules needing to be met, working days, completion date, and any critical sequences of construction.
  • Phasing of construction contracts and how this project relates to other projects in the vicinity (future bid opening schedules, potential conflicts, coordination of other contracts, etc.)
  • Special environmental concerns or practices that must be observed during construction including any permits and the special conditions imposed by them.
  • Other agencies involved with this project.
  • Identify any controversial items.
  • Public concerns expressed during the design of the project.
  • Unique design concerns, including special agreements made during right of way negotiations.
  • Any contractor questions which have been answered prior to the meeting.
DBE Goal
  • Define the lines of communication between the contractor and MoDOT regarding questions the contractor may have about the plans (clarifications of plans, errors, omissions, etc.). Identify the proper contacts for questions.
  • The DBE and Trainee goal requirements for the project.
  • Shop drawing procedures.
  • Answer any questions regarding the payment process or change order process and introduce the Resident Engineer and/or inspectors.

237.9.5 Checking Plans

The district shall thoroughly check all plans, drawings, computations, tabulations and other data prior to submitting them to Central Office Design. Only a cursory check of these items will be performed by Central Office Design after the PS&E submittal to Central Office. The district is completely responsible for the accuracy, precision and completeness of plans. Design personnel can advise the district by sending personnel into the district at any time during the preparation of plans upon request by the district.

Changes to plans that have been processed for the bid opening must be kept to a minimum. Changes to full federal oversight projects are to be approved by FHWA before they are issued. No substitution, addition, or deletion will be made to any project within five weeks of the bid opening, unless failure to make the correction will substantially affect the bidding or cost of the project. All other necessary proposal changes or plan revisions will be forwarded to district Construction and Materials upon completion of the bid opening for incorporation into the contract by change order or notification to the contractor at the pre-construction conference.

237.9.6 Electronic Plans PS&E Submittal Guidelines

The Design process for submittal of Plans, Specification and Estimate (PS&E) is completely “paperless”. The electronic submittal process is completed via the ProjectWise engineering document management system. The following describes the process for electronically submitting all PS&E documents to Design for final processing.

237.9.6.1 Schedule for Submittal

PS&E Due Dates
To view the current PS&E due dates, please go into MoDOT's Bid Opening General Information Page, then scroll about halfway down to the "PS&E Due Dates" file located under "Documents".

All PS&E information should be saved and available in ProjectWise according to the current PS&E due dates (see box to the right). The project manager shall notify Design that the final plans are available for processing at the following e-mail address:

plan.submittal@modot.mo.gov

Please specify the job number and letting date in the subject of the e-mail.

237.9.6.2 PS&E Submittal

The PS&E submittal will contain the following information and any additional information pertaining to the project:

237.9.6.3 File Naming Convention, Roadway

237.9.6.3.1 Contract Plans Folder

The district shall only save the signed and sealed plan sheets and the electronic deliverables files in the Contract Plans folder under the appropriate district and job number. This folder is intended to only contain the final contract documents that are directly transmitted to INDOX for advertising for bids. Note: The Job Number (Job#) subfolder is automatically generated in the Contract Plans folder when the pdf is created from the original location. For consultant plans, the district will need to contact the CADD Training Center’s ProjectWise Administrator who will create the folder for you. The district can also contact Central Office Design and the project’s reviewer can provide this service.

237.9.6.3.2 Electronic Grading Data File Naming Convention

1. The Project Manager shall save all electronic design model data compressed into one single file using WinZip (or other compression software program) in ProjectWise at the time contract plans and other PS&E documents are submitted. This includes any soil boring data provided by the Construction and Materials Geotechnical Section. This file, called Electronic Deliverables, shall be placed in the “Contract Plans” folder within ProjectWise. The file naming convention shall be:
Job#_Electronic_Deliverables_OptionalDescription.zip
2. The district is responsible for all QA/QC of the files. It is the project manager’s responsibility to ensure all data is present and accurate. Sometimes the Electronic Deliverables file can become too large to post to INDOX. It is recommended that the file size be limited to approximately 100,000 KB. If this limit is exceeded, the district should consider creating multiple Electronic Deliverables files with a logical organization of the files included in the zip file.
3. The Bridge Division sometimes provides additional information bridge sheets that supply information on the existing bridge in a zip file. This file, limited to approximately 100,000 KB, shall be placed in the Contract Plans folder in the bridge sub-folder and called:
Job#_Additional_Information_OptionalDescription.zip

237.9.6.3.3 Specifications and Estimate Folder

All other supporting documentation for the PS&E submittal shall be saved in the Specifications and Estimate folder:

1. When the district first becomes aware of a new job, the project manager must create the job number file sub-folder within the Specifications and Estimate folder for the appropriate district. It is not automatically generated. Only the project manager or the ProjectWise Administrator can create the job number subfolder. Once the job number subfolder is created, any district design staff can save information into the folder. The applicable supporting documents, listed below, shall be saved by the district using the below file naming convention. The districts are responsible for creating any pdf files. Note: Any scanned documents from the district that will appear in the contract must be scanned at a minimum of 300 dpi. In the examples below, Job# = Job Number (i.e., J6I1234). Italicized items are optional.

  • Districts
- Specifications and Estimate Folder
- District Folder
- Job Number Folder
Job#-Creator’s Userid.PLUS
Job#.XML
Job#_AJR_FHWA_Approval.pdf (see EPG 234.1 Access to Interstate Highways)
Job#_Conflict_of_Interest_CommissionerName.pdf or doc
Job#_D-12_Checklist.doc or pdf
Job#_D-15_Cover_Letter.pdf
Job#_D-15_Equipment_Listing.pdf (can include cover letter)
Job#_Estimate.pdf (printed copy of District Estimate)
Job#_JSP_Roadway_OptionalDescription.doc
Job#_TMP_Summary.docx or pdf (see EPG 616.14.10 Transportation Management Plan)
Job#_Transmittal_Memo.pdf or doc
Job#_Work_Day_Study.pdf or xlsx
Job#_Agreements_TypeOf.pdf (i.e., J6I1234_Agreement_City.pdf)
Job#_Design_Exceptions.pdf (see EPG 131.1.1 When to complete a design exception)
Job#_Public_Interests_Finding.pdf or doc (see EPG 131.2 Proprietary Items and Public Interest Findings)

2. Other information related to the project will be saved in ProjectWise under the Specifications and Estimates folder by the originator of the document. Therefore, it is very important that the project manager creates the job number file folder at the first awareness of a new job, so the folder is available for others to save their information. Although the below information may not be saved in ProjectWise by the project manager, it is still the responsibility of the project manager to verify the information is available in ProjectWise at the PS&E submittal due date. The district should continue to be aware of all issues associated with the below documents.

  • Environmental Section
Job#_PermitName_Permit#.pdf (i.e., J6I1234_NWP_14.PDF) (see EPG 127.19.1.3 Process)
Job#_Permit_nonpcn.pdf (non preconstruction notification)
Job#_RES_Final.pdf Link 127.1
Job#_RW_Clearance_type_date.pdf
Job#_Utilities_Clearance_Cert.pdf
Job#_Asbestos_Report_OptionalDescription.pdf
Job#_Pavement_Type_Selection.doc or pdf
Job#_ Road User Costs.doc or pdf

237.9.6.4 Electronic JSP Review and Submittal Process, Roadway

1. The initial submittal of the Job Special Provisions (JSPs) will not contain the engineer’s seal, but must contain the engineer’s signature block. The template for the engineer’s signature block is available on MoDOT’s Job Special Provisions webpage under the “Roadway Job Special Provision Template and Formatting Instructions” JSP.

2. Upon completion of the initial review, the reviewer will provide review comments to the project manager by e-mail and request the District’s response. Responses to review comments will be saved as Call#_Job#_Review_Comments_Responses.docx under the appropriate job number in the Specifications and Estimate folder. The district will notify the reviewer by e-mail that the Response to Comments, including a marked pdf copy of changes made to the estimate and revisions to the plans are available in ProjectWise.

3. Upon finalizing the review process, the reviewer will convert the JSPs into a pdf, add any additional information such as D-15 Equipment and Material Lists, nationwide permits, or asbestos reports and prepare the document for the engineer’s seal. The reviewer will then notify the project manager via e-mail that the final Request for Bid document (Bid Book) and the JSPs are saved in the Contract Plans folder and are ready for the district’s review and approval.

4. After reviewing the final documents, the project manager will apply the engineer’s seal to the roadway JSPs and change the state of the file to “Signed and Sealed”.

5. The project manager shall contact the reviewer via e-mail that the final documents are ready for posting to the INDOX site.

6. JSPs sealed by a Consultant shall contain the consultant’s name, address, phone number, and certificate of authority in the seal block.

237.9.6.5 Applying Engineer’s Seal to JSPs

There are a variety of different scenarios for applying the engineer’s seal. Any combination of signing/sealing the JSPs is relevant to the process for posting projects to INDOX.

1. If the JSPs contain only one seal, either wet or electronic, simply apply the engineer’s seal and save as an Adobe Acrobat pdf file.

2. JSPs containing multiple wet seals, simply apply all wet seals, scan the document and save the file as a pdf.

3. If the JSPs contain multiple seals, with only one electronic seal and any number of wet seals, the wet seals should be applied first, the document scanned, and a pdf of the file should be placed in the Specifications and Estimate folder of ProjectWise. The reviewer should be notified so they can prepare the documents for an electronic seal. When the document is ready, the reviewer will notify the PM that the document is in the Contract and Plans folder of ProjectWise and that it is ready for their electronic seal.

4. If the JSPs contain multiple seals, with more than one electronic seal, the electronic seals may be applied to the JSPs and saved as one file. All the electronic seals must be applied using Adobe Acrobat X Pro or a newer version of the software. The last person sealing the document must optimize the document for fast web viewing or the document cannot be opened in WebTransport. Please note that it is recommended that only one electronic seal be applied to a JSP as files have become corrupt when multiple electronic seals have been applied.

5. The signature block should list the JSPs that apply to each engineer’s seal. If there is only one engineer’s seal that applies to all JSPs, then you may list all sections or abbreviate the listing (i.e., All, A to G, A - G, etc.). You should list the sections (A - G) if Additional Information is attached to the JSP. The Project Manager will be taking responsibility for the Additional Information if "All" is used.

237.9.6.6 File Naming Convention for Addendums

The file name for all revised plan sheets for the first addendum must contain a _R001 at the end of the existing file name; the second addendum will contain a _R002; etc. The project manager shall notify the Reviewer via email that the addendum is ready for processing in ProjectWise.

001_TITLE_J6I1234_I1_R001.pdf
002_TS_01_J6I1234_I100_R001.pdf
130517_F01_J6I1234B_Electronic_Deliverables_R001.zip
130517_F01_J6I1234B_Addendum Letter_R001.pdf
130517_F01_J6I1234B_Addendum Letter_R002.pdf
130517_F01_J6I1234B_Addendum Letter_R003.pdf
130517_F01_J6I1234B_Bid_Book.pdf
130517_F01_J6I1234B_Bid_Book_R002.pdf
130517_F01_J6I1234B_JSP_Roadway.pdf
130517_F01_J6I1234B_JSP_Roadway_R001.pdf
130517_F01_J6I1234B_JSP_Roadway_R002.pdf
130517_F01_J6I1234B_JSP_Bridge_R003.pdf

Please note that this file naming convention is for addendums/kites only and should not be used for revisions that are made to the plans before the project is advertised for bids. In other words, when the district receives comments back from Design Division for revisions or changes to certain plan sheets, please request the reviewer to DELETE those sheets and REPLACE them in ProjectWise at this point in time. If the original sheet is not deleted before the new sheet is placed into the Contract Plans folder, the _R001 will automatically be added to the file name of the new file. The _R001 should be manually removed from the file name by the district before the engineer seals the file if this occurs. The _R001 is to be used only for changes/revisions associated with addendums/kites that would be AFTER the plans have been advertised for bids and not during the standard revision process that occurs before the plans are advertised.

The files contained within the Contract Plans folder in ProjectWise should only be those that are part of the final bid documents made available to contractors on the INDOX electronic plans room site. Therefore, if you make changes to a sheet prior to the job being advertised for bids, please ask the reviewer to delete the sheet in ProjectWise before adding the revised sheet. This will eliminate any confusion when an addendum is needed for the project.

If there are multiple revisions to a plan sheet, and it is clearer to create an entirely new plan sheet, the district should mark an “X” through the existing plan sheet, add the triangle symbol with a number in the triangle, add the note “Sheet Deleted” and create a new plan sheet. The new sheet number should be updated with an “A” (i.e., if deleting Sheet 21, then the new sheet number will be 21A), and the sheet added should be designated with the triangle symbol with a number in the triangle and the note “Sheet Added”. The file naming convention for the deleted sheet will automatically be updated (through the pdf creation) with the _R001 because a revision was made to the existing sheet, as below. The deleted sheet should still contain the engineer’s seal.

Sheets Deleted and Added
Sheet Deleted = 009_TS_21_J0I0985_I100_R001.pdf
Sheet Added = 009_TS_21A_J0I0985_I100_R001.pdf

The newly created sheet will not automatically have the _R001 added because there was no file with that name existing when the sheet was added. Therefore the _R001 must be added to the end of the file name, by renaming the file, to associate the file to the addendum. The district must rename the sheet before the engineer seals the file or the reviewer will need to rename the file.

Note: Once the plans have been advertised for bid, any revision to the plans must be treated as an addendum.

237.9.6.7 Bridge Plans

1. The Bridge Plan Sheets, Bridge JSPs and information only sheets will be saved in a separate file folder than the roadway documents included in the PS&E submittal package. The plans and information sheets will be saved in the following location:

  • Documents Folder
- Contract Plans Folder
- District Folder
- Job Number Folder
- Bridge Number Folder

The Bridge JSPs will be saved in the following location:

  • Documents Folder
- Contract Plans Folder
- District Folder
- Job Number Folder

2. All other supporting documentation for the PS&E submittal will be saved in the below location. Bridge Division will save the following into ProjectWise for Design Division access. All files in the folder may not be needed, but below is the following that Design Division will need. Italicized items are optional:

  • Documents Folder
- Specifications and Estimates Folder
- District Folder
- Job Number Folder
- Bridge Number Folder
Job#_ Bridge_Supplemental_Report.doc
Job#_Cost_Estimate.pdf
Job#_Estimate.bam
Job#_Estimate.bdw
Job#_Estimate.ces
Job#_Estimate.ctg
Job#_Memo_To_Design.doc
Job#_Layout_Sheets_Summary.doc

Construction and Materials Geotechnical Engineering will save the soundings for a bridge into the Job Number folder. The Bridge Division memo to the district will indicate which bridges have soundings to ensure district will include sounding logs in the Bridge Electronic Deliverables.

  • Construction and Materials Geotechnical Section
- Documents Folder
- District Folder
- Job Number Folder
Job# _Electronic_Deliverables_Bridge.zip

237.9.6.8 Consultant Designed Projects

All plans for consultant-designed projects shall be submitted to Central Office in electronic form. The consultant may choose either of the two methods described below.

1. Scanned plan sheets: The consultant can continue to sign and seal plan sheets using traditional wet seals and handwritten signatures as required by state statute. All consultant signed and sealed plans must also include the company's Certificate of Authority number in the title block.
The consultant is responsible for scanning each signed and sealed plan sheet to individual Adobe Acrobat Files (pdf format) following the file naming convention. No TIFF images shall be accepted. The scanned files shall use a resolution of 300 dpi on a D-size (22 in. x 34 in.) sheet. In addition to the scanned images, the consultant shall submit one full size set of the original signed and sealed set of plans.
2. Electronically signed and sealed plan sheets: The consultant may use the Adobe Acrobat electronic signature technology to sign and seal each plan sheet. If choosing to electronically sign and seal the plans, the consultant shall submit the certificate of authenticity for each professional engineer signing and sealing the plans to the Design Management Systems Administrator for signature verification purposes. All consultant signed and sealed plans must also include the company's Certificate of Authority number in the title block.

Consultants shall submit a copy of the electronic files to the District Project Manager for roadway projects or to the Structural Project Manager for bridge projects in DVD or CD-ROM media. The district or division is responsible for saving the pdfs of all signed and sealed plan sheets in the Contract Plans folder of Project Wise in accordance with EPG 237.9.6 Electronic Plans PS&E Submittal Guidelines. The district design team and the Bridge Division will be responsible for saving all supporting PS&E submittal documentation in the Specifications and Estimate folder of ProjectWise.

237.9.6.9 Posting of Plans

Ultimately, Bidding and Contract Services will transmit the project files for advertising. The files will consist of all the plan sheets, the Bid Book, Roadway JSPs, Bridge JSPs and any electronic data files (i.e., geotechnical or bridge soundings).

Call#_Job#_Bid_Book.pdf
Call#_Job#_JSP_Roadway.pdf
Call#_Job#_JSP_Bridge.pdf
Call#_Job#_Electronic_Deliverables_OptionalDescription.zip

237.9.6.10 Plans Distribution

The Print Shop provides copies of the bidding documents which are Plans, Cross Sections, and Proposals (Bid Book and JSPs) to MoDOT’s divisions and districts and agencies outside of MoDOT. Below is a listing of their distribution of bidding documents:

When the Projects are Advertised:

  • Bridge Division- 2 set of plans and 1 set of proposals for any project with bridge construction. Cross sections are not provided.
  • Design Division – 2 set of plans and proposals for all projects. Cross sections are not provided.
  • District – 5 sets of plans and proposals and 3 set of cross sections for all projects.
  • Construction and the Materials Division – 1 set of proposals

When the Projects are Awarded:

  • District – 8 sets of plans and proposals and 3 set of cross sections for all projects.
  • Department of Natural Resources, Division of Geology and Land Survey – 1 set of plans.
  • FHWA – 1 sets of plans, proposals and cross sections for all full federal oversight projects.
Retrieved from "https://epgtest3.modot.org/index.php?title=237.9_Submission_of_Plans_and_Supporting_Documents&oldid=35074"