Once an alternative is selected and the transportation decision is documented, the project moves into the Final Design Phase (i.e., Phase 2). The final design must preserve resolutions to project-specific issues or special circumstances identified in preliminary design. Details prepared for the selected alternative in the Final Design Phase are used to develop plans for ROW acquisition, utility relocation, and construction.

On larger projects, project development is commonly broken into two phases. Larger projects require greater project definition through the Preliminary Engineering Phase to understand the type and amount of work needed in the Final Design Phase. For these projects, the PDM initially requests sufficient funding to complete preliminary engineering and environmental work. After a transportation decision is made and adequately documented, the PDM requests additional funding for the final design. Phase 2 requests are dealt with in the same manner as initial Design Funding Authorizations. 

When additional phases of work are added to the scope of a project on which consultant services are used for project development, the contract must be modified and the schedule adjusted. The Division of Professional Services assists the PM with contract modifications. A contract modification is negotiated using the same procedure as the original contract. 

The Division of Professional Services webpage contains helpful tools and guidance, including the Professional Services Guidance Manual. See also the Highway Design Guidance Manual (HD-205). 

Detailed plans and documents needed for ROW acquisition, utility relocation, permitting, and construction of the selected alternative are produced during final design (i.e., Phase 2 design). Resolutions for project-specific issues or special circumstances identified in the Preliminary Design Phase must be reflected in the final design. 

When activities in one subject-matter area influence work in another during final design, an iterative approach should be adopted during the revision process. Work between subject-matter areas can and should overlap. During this phase, the PM relies on the Critical Path Schedule to target work situated on the critical path and to identify strategies to keep the project moving forward. 

As details are refined throughout the roadway design plans, the PDT should gain a clearer understanding of the design’s impact on existing utility facilities. It may be necessary to investigate at a higher quality level the facilities that could be in conflict with proposed roadway construction (including temporary maintenance of traffic) to determine how extensive the impacts will be. Higher quality level subsurface utility data, when collected early in the final design phase, can help the PDT determine whether utility impacts can be avoided or minimized and facilitate ongoing utility coordination with facility owners.

SUE Quality Level A or B may be thought of as an activity performed during the utility phase, unless the potential impact is sufficient for the PDT to potentially consider a redesign. Examples of utilities that may prompt a redesign include large gas transmission lines, water mains, buried fiber optic cable, and other facilities whose relocation will result in costs or delays disproportionately large compared to the overall project budget and schedule.

Even if a utility relocation is not reimbursable (i.e., direct costs will not impact the project budget), the PDT may elect to avoid it if the relocation work significantly impacts the overall project schedule.

The PM has options to acquire Quality Level A detail. Using a letter agreement for statewide surveying services may be faster than waiting for a modification to the original consultant contract.

A proposed drainage plan for the selected alternative includes culverts and headwalls, inlets and storm sewers, bridges, temporary drainage, and project-specific drainage needs. Proposed drainage plans must contain economical and hydraulically feasible solutions that comply with KYTC’s policies, specifications, and standards. 

Once the drainage design meets the PDT’s expectations, all relevant information is placed in a drainage folder. The folder format facilitates the organization of documents as well as the review process. The PM provides the drainage folder to the Central Office. Drainage folders are required on all projects that:

• Contain major drainage structures, including structures used to transport water directly through, or which delay the flow of water into or away from, the highway system; or

• Include extensions of existing structures or improvements to those structures or drainage systems. 

The Division of Highway Design uses two drainage folders: preliminary and final. Typically, preliminary drainage folders are not required unless bridges, bridge-sized culverts, storm sewers, or major channel changes are among the drainage features. A third folder — the advance situation folder — is primarily used by the Division of Structural Design. The Highway Design Guidance Manual (HD-204.12 and HD 204.19), Highway Design Drainage Manual (DR-300), and Division of Structural Design Guidance Manual (SD-200) contain detailed instructions on procedure and format. 

A Drainage Inspection Meeting — which the PM is responsible for scheduling — is held for each project. It is often combined with the Final Joint Inspection Meeting, with comments on drainage design being incorporated into the meeting minutes. If a project or the drainage design are complex, a separate Drainage Inspection Meeting may be held. Whether the Drainage Inspection Meeting is combined with the Final Joint Inspection meeting or held independently, its purpose is to review material submitted in the preliminary folder and let SMEs ask questions about elements of the submittal they are unclear on. 

A separate drainage inspection report is prepared when a Drainage Inspection Meeting is held, or if the PM deems it appropriate. Regardless of how minutes are documented, discussions on drainage design are placed in the drainage inspection report. This report summarizes written comments from SMEs on the drainage design as well as the responses from the PM and/or drainage designer. It also documents that all personnel concur with the final drainage design (including modifications made based on SME reviews of the initial design). When project plans call for using larger drainage designs and features, the drainage inspection report recommends location, span arrangement, abutment type, and the sounding layout for drainage structures, piers, and abutments. The drainage report also documents if scour analysis is needed, which is determined during the geotechnical investigation. The PM must ensure the report includes the Central Office Drainage Engineer’s endorsement of the Drainage Inspection Meeting minutes and comments. 

The final drainage folder includes recommendations from the review process and serves as the permanent record of the project drainage plan. It contains all of the required information to support the selection of drainage items proposed in plans, and it documents final resolution(s) of drainage inspection comments. In the event of flooding and subsequent lawsuits by plaintiffs whose properties were damaged by high water, the final drainage folder contains the materials KYTC will cite as evidence to justify and defend its decision making. Variations of current practices and standards incorporated into the drainage plan are fully documented in the final drainage folder. 

 Designing the pavement structure to support the traffic load and distribute it to the roadbed requires the PDT to draw on resources from the Division of Planning, the Division of Structural Design’s Geotechnical Branch, and the Pavement Branch of the Division of Highway Design. With the support of these KYTC staff, the PDT documents the project-specific conditions and decisions made in the pavement design process. 

The Pavement Branch develops pavement designs and engineering analyses for all projects on the National Highway System (NHS) and projects having at least 20 million equivalent single axle loads (ESALs). For other projects, the PDT performs all project-related design activities including pavement design, engineering analysis, and documentation. Specific submittal and approval responsibilities are listed in the Highway Design Guidance Manual (HD-1001.2). Pavement Branch staff provide technical assistance, review and advice, training, and support. Consult the Pavement Design Guide when preparing pavement designs for new construction or full-depth reconstruction projects. 

Kentucky uses AASHTO’s mechanistic empirical (ME) pavement design process and AASHTOWare’s Pavement ME software. For most new and reconstructed pavements in Kentucky, designers use Pavement ME. A 20-year design life is recommended if Pavement ME is used to develop the structural design. Pavement Branch staff assist the PDT in tailoring solutions to project-specific conditions.

Optimal pavement designs adapted to the conditions and characteristics of each project location depend on engineering factors, including: 

• Traffic 

– Consider both total volume and the percentage of truck traffic when selecting pavement type. 

• Subgrade Characteristics 

– The load-carrying capacity of a native soil is of utmost importance in pavement performance. The Geotechnical Branch offers guidance and makes recommendations with respect to subgrade stabilization. 

• Construction 

– Speed of construction, maintenance of traffic stages, anticipated future widening, and ease of replacement may influence the selection of pavement type. 

• Cost 

– Initial construction costs, the cost of subsequent stages or corrective work, anticipated life, maintenance costs, and costs to road users during periods of reconstruction or maintenance are all important considerations. 

 The PDT initially selects hot mix asphalt (HMA) bound material or Portland Cement Concrete (PCC) pavement (flexible or rigid). Alternate Pavement Type Bidding (AD/AB) procedures may generate project savings if one pavement type does not hold a clear advantage over another.

Final Roadway Design addresses a collection of project-specific topics. The outcome of Final Roadway Design is a set of plans, profile sheets, cross sections, and the necessary detail sheets. During final design — if not earlier — roadway design staff engage in and complete work on numerous topics. Examples of topics on which work is completed include the following:

• • Intersections,
  • Roadside safety and guardrail design,
  • Item quantity takeoff measurements for the general summary, pavement summary, and drainage summary (bid item quantities and types),
  • Final earthwork volume measurements according to each material classification,
  • Construction estimate,
  • Erosion control plan details,
  • Construction notes, 
  • Traffic control plan (TCP),
  • Traffic Management Plan (TMP)(see HD-206.3), including the PIP,
  • Signing and pavement markings/striping plan,
  • Pedestrian and/or bicycle facilities design,
  • Proposed ROW and easements,
  • Deed descriptions for proposed ROW,
  • Finalization of plan deliverables (including electronic files). 

For projects designed by Department of Highways staff, the PM furnishes the Division of Structural Design with all necessary data for analysis and design (including the Advance Situation Survey and Advance Drainage Folder). When a consultant prepares designs for bridges, box culverts, tunnel liners, retaining walls, and noise barriers, they are submitted to the Division of Structural Design for review and approval. The review process has five phases: 

1) Advance Situation Survey

2) Preliminary Plans, Stage 1

3) Preliminary Plans, Stage 2 (if required)

4) Final Plans, Stage 1

5) Final Plans, Stage 2

Detailed format and content requirements for the submittal are described in the Structure Design Guidance Manual, Drainage Guidance Manual, and Highway Design Guidance Manual. 

The purpose of a PM’s review of early-stage and final-structure plans is to ensure a structure’s design aligns with the project’s intent and does not conflict with other project details (e.g., utilities, MOT, environmental concerns) 

The Geotechnical Report should be completed prior to the Advance Folder submittal, otherwise the final structure design will be delayed due to the time needed to finish the geotechnical work. 

For bridges with wall-type abutments, a spill-through–type structure is generally more economical than a short-span structure with tall abutments. The selection of bridge type should be coordinated by the PM in concert with Division of Structural Design.

In many cases, the demolition and disposal of existing structures is addressed within the Standard Specifications. But in other cases, special demolition instructions may be needed, such as when the partial demolition of an existing structure carrying traffic is necessary. 

Project details that complicate structure design (and the other phases project development) include: 

• • Curved bridges 
  • Phased construction 
  • Steel bridges 
  • Railroad overpass or underpasses

Engineering Service Agreements are keep-cost agreements that KYTC uses to reimburse utility company staff or an approved consultant for relocation engineering and administrative work. These agreements may be established for engineering, accounting, legal, appraising, or consulting services. They can be used for any of the following reasons:

• • The utility company requires the immediate ability to invoice only the engineering work.
  • Utility relocation will be included in the highway contract, and the utility company will not be directly reimbursed for construction costs.
  • The Cabinet has determined that Utility Relocation Engineering should begin before U Phase Funding is available.

As noted in the entry, Project Time Management Article 4 Data Gathering, Sections 3, 4, and 5: Identify and Contact Involved Utility Companies and Locate Utilities, the preliminary utility engineering design relocation may be initiated before U Phase Funding authorization. Initiation may occur as early as the start of roadway design. If the work is eligible for reimbursement, D Phase Funds are used.

Early initiation is encouraged on the following project types:

• • Extensive utility work is needed and cannot be completed without early utility engineering.
  • Adhering to the project schedule is not possible without early utility engineering, and the letting date must be maintained.
  • The project includes complex utility relocations that require more extensive and time-consuming coordination efforts (e.g., impacts to gas transmission lines).
  • Utility easements must be procured, and preliminary engineering is required to identify the easement.

When engineering agreements are used, Preliminary Engineering (relocation design for the utility) is reimbursed by a separate agreement using a funding source that differs from what is used for utility relocation construction. Relocation construction may be reimbursed under a typical keep-cost or lump-sum relocation agreement. 

The Final Survey Report records project details and is submitted to the PDM. This report generally includes the following information: 

• • Project name and identification, including: 
    •  County, Route, Mile Post, or Project Identification 
  • Survey date, limits, and purpose 
  • A scaled map (e.g., KML file) of the project area that shows all primary and supplemental (horizontal & vertical) control monumentation established along with appropriate designation 
  • Dated signature and seal of the Kentucky Professional Land Surveyor in charge 
  • Closures of all traverses 
  • Document all pertinent information of all control on Control Monument Data Sheets 

Refer to the Highway Design Guidance Manual for more information.

Survey pickup will be necessary at multiple times throughout final design as the designers encounter details that are new or require confirmation. (The PM is encouraged to collect survey needs and strategically order the survey as efficiently as possible). Examples of this type of small-scale survey work include the identification of a new building or feature, a disputed property boundary between two parcels, a developing slide, or septic lines. Having accurate knowledge of where existing structures are located and their boundaries is particularly important to the design process. 

Through consultation with the Geotechnical Branch, the PDM determines the level of geotechnical investigation required for the project. This level of effort ranges from advisory to a full-scale geotechnical analysis, with fieldwork, lab work, and reports for roadway, structures, or both. Traditionally, the investigation begins after the Preliminary Line and Grade Meeting has been held and the alignment selection has been made. However, geotechnical information sought and received earlier in the project development process is invaluable for the PDT’s decision making. For example, with early geotechnical recommendations for cut and fill slopes, much more accurate estimates of the disturbed area and the amount of ROW needed can be produced. 

The Highway Design Guidance Manual, Drainage Guidance Manual, Geotechnical Guidance Manual, and Structures Manual all contain information on the level of geotechnical investigation appropriate for a given project feature. Increased geotechnical investigation is needed where springs, landslides, mines, karst, faulted strata, acidic shale, mineral deposits, or other topographic or subsurface features are present. 

More extensive geotechnical field data collection and analysis are required for large drainage structures than for smaller structures. A large drainage structure is one that meets one or more of the following criteria: 

• • All bridges 
  • Culvert pipes with a diameter (or equivalent) greater than or equal to 54” 
  • Culvert pipes with improved inlets 
  • All cast in place box culverts 
  • All precast or metal box culverts 4’ span x 4’ rise or larger 
  • All bottomless (3-sided) structures

Final plan development relies heavily on geotechnical report recommendations. The Geotechnical Branch provides the following sheets for inclusion in the roadway plan set: Geotechnical Notes Sheets, Geotechnical Symbols Sheets, and Soil Profile Sheets. Soil profile sheets are developed at a scale appropriate for the project. The soil profile can be used to establish cut and fill slopes. CBR values can be used to develop the pavement design, cut and embankment stability sections, and rock refill. The designer determines the quantities of rock available from roadway excavation and the quantity needed for rock roadbed, embankment, and rip rap using information from the geotechnical report. Embankment foundations and/or transverse (profile) benches, granular embankment, or a proving period may be needed. 

Traffic control devices regulate, inform, warn, or guide drivers. Examples of traffic control devices include signing, pavement markings, electrical traffic control devices (including traffic signals), and lighting. The PM is responsible for identifying and including appropriate traffic device plans in the total plan set. 

Once the PM identifies project locations that may require signal, signing, and/or lighting plans, they notify the District Traffic Engineer and Central Office Traffic Operations. (To facilitate this process, the PM should notify the District Traffic Engineer of project meetings and inspections as early in the process as feasible.) The District Traffic Engineer will send a written request and provide appropriate supporting information to Central Office Traffic Operations. 

The Division of Traffic Operations provides oversight when a consultant is hired to design signing, signals, or lighting devices. Oversight takes place during plan development and through a review of final plan details. Alternatively, Traffic Operations may design devices in-house and coordinate project details with the PM. Road projects generally include the design and installation of one or more of the following devices:

• Signs: Plans are prepared for new sign installations for interstates, parkways, and other high-volume, limited-access roads that include interchanges. See the Traffic Operations Guidance Manual (TO-400) and Highway Design Guidance Manual (HD-1201.2).

• Pavement Markings & Delineation: Like signs, pavement marking plans are prepared for interstates, parkways, and other high-volume, limited-access roads that include interchanges. See the Traffic Operations Guidance Manual (TO-500) and MUTCD.

• Electrical Traffic Control Devices: The PDT may choose to modify existing electrical devices or install new electrical devices on a project (e.g., traffic signals, advance warning flashers, railroad-warning system, flashing beacons, school flashers). When this occurs, District Traffic Operations forwards the recommendation to Central Office Division of Traffic Operations (on the PM’s behalf). It contains roadway plan details, traffic counts, traffic projections, and crash history. See the Highway Design Guidance Manual (HD-902) and Traffic Operations Guidance Manual (TO-600) for more information.

• Lighting (e.g., conventional light poles, high-mast lighting): The process for requesting lighting designs and plans is described in the Highway Design Guidance Manual (HD-902.7) and Traffic Operations Guidance Manual (TO-701 through TO-716).

• Miscellaneous: The PM should confer with the Division of Traffic Operations when making decisions about rumble strips, runaway truck ramps, and work zone traffic control (see TO–801 through TO-803). 

In 2012, the Division of Highway Design (No. 03-12) and Division of Traffic Operations (No. 01-12) issued a joint memo that explains procedures for developing plans for electrical devices as part of a roadway design project. Plans must be developed in accordance with:

• • Kentucky Transportation Cabinet (KYTC) CAD Standards, 
  • Kentucky Standard Specifications for Road and Bridge Construction, 
  • Traffic Operations Guidance Manual, 
  • Highway Design Guidance Manual,
  • Division of Traffic Operations’ Roadway Lighting Standard Detail Sheets, 
  • National Electrical Code, 
  • National Electrical Safety Code, 
  • MUTCD, and 
  • AASHTO’s Roadway Lighting Design Guide.

The PDT considers numerous factors when establishing limits for the proposed ROW. The extent of ROW must be sufficient to accommodate the construction and maintenance of the new roadway and structures. Access control type(s) affects new ROW limits as well as the location of entrances or approach tie-ins. Deed research undertaken as part of survey work clarifies the existing ROW and property boundaries and is used to identify prior easements or rights (e.g., mineral rights or access) that must be addressed during ROW acquisition. It may be appropriate to acquire permanent fee-simple ROW, permanent easements, temporary easements, or some combination of these. 

Whenever ROW plans are modified, a Right-of-Way Revision Sheet is added to the ROW plans. It is inserted directly after the layout sheet and numbered R1a; see the CAD Standards for Highway Plans. Each time a revision is processed, the Right-of-Way Revision Sheet should be updated electronically, reprinted, and inserted into the plans. For some projects, the Director of Division of Right of Way and Utilities may adopt an informal version of this revision process. Regardless of the method used, it is important to meticulously track all changes. The District Right of Way Supervisor keeps the Director of the Division of Right of Way and Utilities apprised of the status of the project plans and deeds. 

Contract plan sets are the highway plans awarded through the letting process. They are a product of the project development process and consist of the roadway, structures, traffic, and/or utility relocation plans. When contract roadway plans and proposals are submitted to the Division of Highway Design’s Plan Processing Branch, all electronic file submittals must adhere to the standards outlined in the CADD Standards for Highway Plans. These standards have been established to ensure files are put to the best possible use during the review, publication, construction, and archival processes. The standards represent the minimum requirements for the development of highway plans and are available online at: http://transportation.ky.gov/CADD-Standards/Pages/default.aspx 

During the Final Joint Inspection Meeting the PDT and project-specific SMEs (e.g., environmental, ROW, utilities) review the project design and the proposed contract plans and documents. Construction, maintenance, traffic, structures, and drainage staff may be invited to attend and offer input. The proposed plans are distributed in either electronic or paper (i.e., hard copy) format to attendees prior to the meeting so they can perform a detailed technical review of the project’s design and prepare feedback. This technical review provides reasonable assurance that the project design is complete, accurate, and of high quality. 

Another goal of the review is to confirm that the roadway design information found in contract documents will effectively communicate the engineering details, facilitate construction contracting, and help to achieve project construction that is consistent with KYTC requirements and specifications. 

All projects should have a Final Joint Inspection Meeting. One is held when the contract plans are approximately 80 percent complete. The plans reflect approved decisions from the DES, as well as all ROW and utility information, including identified relocations, detailed MOT information, and traffic plans. (Proposed construction phasing plans for the preferred alternative should be available for review at the joint inspection; see the Highway Design Guidance Manual (HD-206)). Other Design Review Meetings can be combined with the final inspection (such as a structure review for bridge replacement projects or the drainage inspection). The PM makes the contract plans available to the PDM and the Location Engineer. The Final Joint Inspection Meeting is scheduled to ensure that the PDT has at least two weeks to review the plans. When appropriate, contract plans are made available to the FHWA and city or county. A construction cost estimate detailing biddable quantities is included.