7.13 PS&E Submission, Review and Processing

Refer to TxDOT’s
PS&E Preparation Manual
 for detailed information on PS&E assembly, submittal and review processes.

7.13.1 Requirements For Proprietary/Sole Source Product Procurement and Approval

All requests for use of proprietary/sole source products must be submitted to the appropriate Engineering Division for review and approval based on subject matter expertise of the device in question. This request should be submitted during the construction/maintenance project’s design phase to allow for adequate review time of this request.
This request must include product details (e.g., model name, number, etc.) and justification for why this specific product is required. Examples of acceptable justifications include:
  • A specific project need justifies the use of a proprietary device or product in which no suitable alternate is available, or
  • There is a need for compatibility because of:
    • Function
      - operates with an existing facility (e.g., the city’s existing signal control system, which contains a significant percentage of intersections, is already working with only one brand and model of controller);
    • Aesthetics
      - matches the visual appearance of an existing facility (e.g., a specific light pole in a city historical area or specific light pole designated in the vicinity of previous projects);
    • Logistics
      - interchangeable with products in an agency’s maintenance inventory (e.g., due to scarce county financial and labor resources, specifying one type of MASH compliant end treatment already in use and maintained by the county which will be responsible for maintenance of this location); or
    • Safety
      - upgrade to higher safety criteria (e.g., desire to use latest crash test criteria device (e.g., MASH) when there is only one such proprietary device available for that category of device, and the other devices within that category meet a lesser criteria).
For requests initiated by a LG, it is the District’s responsibility to verify that the request justification is valid and state District concurrence in the request for approval.
A generic template for this request memo can be found on TxDOT.gov Design Forms and Guides webpage (Sole Source Request Form – template).
The final approval will be by the Division Director, or a designee as delegated by the Division Director. The final approved memo will be retained with the project File of Record.
Additional Subject Matter Expert points of contact for the form submittal can be contacted:
  • DES:
     Project Delivery Section Director
  • BRG:
     Bridge Standards Engineer
  • TRF-TM:
     Engineering Support Branch Manager (ITS & Traffic Signals)
  • TRF-TE:
     Engineering Operations Branch Manager (Signing & Illumination)
  • MNT:
     Field Engineering Support

7.13.2 District Conducts Final Agreement/Permit and Public Interest Statement Reviews

Before submitting the RTL plans to DES, the District must conduct a final agreement and permit review to ensure that supporting documents are in order and that the project is in full compliance with agreements and permits.
Determine if there are any proprietary or patented items in the plans, which will need a Public Interest Statement. FHWA policy prohibits the use of proprietary material or processes unless:
  • Item is purchased or obtained through competitive bidding with equally suitable unpatented items;
  • Department certifies that either the proprietary/patented item is essential for synchronization with existing highway facilities or no suitable alternative exists; or
  • Other equally acceptable materials are available; however, the department may require a specific material and FHWA approves its use as being in the “public interest”.
Materials and products that are determined to be equal may be bid under generic specifications. If only patented or proprietary products are acceptable, they must be bid as alternatives with all, or at least a reasonable number of, acceptable materials or products listed.

7.13.3 Collect Outside, Additional Funding Based on AFAs

AFAs define the cost participation and payment method for outside funding participation on a project. The AFA must have been executed early in project planning. Local participation may be based on either a Specified Percentage AFA or a Standard AFA (Fixed Price) (see
Table 3-5
).
After completing PS&E and finalizing the project cost estimate, review all local participation agreements to determine whether sufficient funds are received according to the AFA.
To enable the contract to be let, funds must be received by TxDOT no later than five (5) days before state let bid opening. The District Engineer must verify the funds have been received by sending a “Notice of Financial Clearance” to CST. If the District Engineer cannot or does not make this verification, the project is subject to delay caused by withdrawal of the contract from bid opening, conditional award of the contract pending receipt of funds or withholding the project from the monthly bid list.
At post-bid, CST will not release any contract that includes local funding without “Notice of Financial Clearance” and District Engineer verification that the LG has indicated the bid prices are acceptable.
  • Authority documents:
  • Coordination:
  •  District review staff
  •  DES – FPP section staff